I-SEARCH (tm) V1.89P Retrieved Documents Listing on 10/14/93 at 04:04:23. Database: USCODE Search: (18:CITE) ------DocID 23783 Document 1 of 1438------ -CITE- 18 USC TITLE 18 -EXPCITE- TITLE 18 -HEAD- TITLE 18 - CRIMES AND CRIMINAL PROCEDURE -MISC1- THIS TITLE WAS ENACTED BY ACT JUNE 25, 1948, CH. 645, SEC. 1, 62 STAT. 683 Part Sec. I. Crimes 1 II. Criminal Procedure 3001 III. Prisons and Prisoners 4001 IV. Correction of Youthful Offenders 5001 V. Immunity of Witnesses 6001 AMENDMENTS 1970 - Pub. L. 91-452, title II, Sec. 201(b), Oct. 15, 1970, 84 Stat. 928, added Part V. Table Showing Disposition of All Sections of Former Title 18 --------------------------------------------------------------------- Title 18 Former Sections Title 18 New Sections --------------------------------------------------------------------- 1, 2 2381 3 2382 4 2383 5 953 6 2384 7 2389 8 2390 9 2387 10 2385 11 2385, 2387 12 Rep. See Cr. Proc. R. 41(c). 13 2385, 2387 14-17 2386 21 958 22 959 23 962 24 961 25 960 26 T. 22 Sec. 461 27 T. 22 Sec. 462 28 T. 22 Sec. 463 29 T. 22 Sec. 464 30 959 31 967 32 963 33 964 34 965 35 966 36 963, 964, 965, 966, 967 37 756, 3058 38 T. 22 Sec. 465 39 5, 3241 51 241 52 242 53 Rep. 53a 2236 54 372 55 592 56-58 593 59 592, 593 61 594 61a 595 61b 600 61c 601 61d 604 61e 605 61f 598 61g 594, 595, 598, 600, 601, 604, 605 61h T. 5 Sec. 118i (See Rev. T. 5 Table) 61i T. 5 Sec. 118j (See Rev. T. 5 Table) 61j, 61k Rep. 61l T. 5 Sec. 118k (See Rev. T. 5 Table) 61m 608 61m-1 611 61n 595 61o T. 5 Sec. 118l (See Rev. T. 5 Table) 61p T. 5 Sec. 118m (See Rev. T. 5 Table) 61q Rep. 61r T. 5 Sec. 118n (See Rev. T. 5 Table) 61s 595 61t 610 61u 595 61v-61x Elim. 62-62b 612 71 497 72 494 73 495 74 1002 75 1016 76 912 76a, 76b 701 76c 707, 916 76d 707 76e 705 77 Rep. 77a 913 78 914 79 1003 80 287, 1001 81 289 82 641, 1361 83 286 84 1022 85 1023 86 1024 87 641 88 371 89 871 90 T. 34 Sec. 1167 (See Rev. T. 34 Table) 91 201 92 285 93 434 94 1381 95 1232 96 2152 97 1382 97a 1383 97b 757 98 11, 957 99 2112 100 641 101 641, 3435 102 Rep. 103 1852 103a, 103b 1851 104 1853 105 1854 106 1855 107 1856 107a 1863 108 3613 109 1862 110 1857 111 1858 112 1859 113 1860 114 1861 115 T. 25 Sec. 202 116 1362 117 2074 118 111 119 496 120 551 121 2231, 2232, 2233 122 T. 19 Sec. 70 123 912 124 211 125 543 126 541 127 1019 128 2233 129 507 130 1017 131 506 132 499 133 5 134, 135 Rep. 136 498 137-143 Rep. 144 2194 145 41 146 508 147 509 148 3056 149 210 150 211 151 210, 211 171 872 172 652 173 653 174 650 175 648 176 643 177, 178 649 178a 371 179 3497 180 3487 181 6514 182 641 183 654 184 435 185 646 186 645 187 647 188 2075 189 2073 190, 191 Rep. 192 1901 193 291 194 1091 195 1018 196 1912 198, 198a 283 199 205 200 204 201 1913 202 216 203 281 204 431 205 432 206 433 207 202 208 602 209 603 210 606 211 607 212 602, 603, 606, 607 213 T. 5 Sec. 118o (See Rev. T. 5 Table) 214 1902 215 2072 216 1905 231 1621 232 1622 233 1506 234, 235 2071 236 505 237 206 238 207 239 208 240 210 241 1503 241a 1505 242 Rep. 243 1504 244 755 245 1501 246 752, 1071 247 752 248 753 249 754 250 873 251 4 252 752, 1792 253 1114, 2231 254 111, 2231 261 8 262 471 263 Rep. 264 474 265 472 266 476 267 477 268 473 269 642 270 478 271 479 272 482 273 483 274 480 275 481 276 484 277 485 278 490 279 331 280 332 281 486 282, 282a 491 283 487 284 488 285 489 286 492 287 Rep. See Cr. Proc. R. 41(a), (b), (f). 288 11 289 335 290 Rep. 291 333 292 475 293 336 294 371 301 12 302 1729 303 1693 304 1696 305 1697 306 1696 307 1694 308 1695 309 1696 310 1730 311 1731 312 1706 313 1707 314 1704 315 2115 316 2116 317 1702, 1708 318 1703, 1709 319 1703, 1710 320 2114 321 1705, 1708 321a 1725 322 1700 323 1698 324, 325 1701 326 1724 327 1699 328 1720 329 1712 330 1726 331 1721 332 1727 333 1713 334 1461 335 1463, 1718 336 1302 337 1303 338 1341 338a 876, 3239 338b 877, 3239 338c 1714 338d Rep. 339 1342 340 1716 341, 342 Rep. 343-345 1717 346 5, 1717 347 500 348 501 349 11, 502 349a 503 350 504 351 1723 352 1732 353 1722 354 288 355 1711, 3497 356 440 357 1719 358 1728 359 1692 360 12 361 1715 381 5, 1364 382 831, 832 383 835 384 833 385 832, 833, 834, 835 386 832, 833, 834, 835 387 1301 388 1264 389 1265 390 1263 391 42 392 43 393 44 393a 43, 44, 3054, 3112 394 42, 43, 44 395 T. 16 Sec. 667e 396 1462 396a, 396b 1761 396c-396e 1762 397, 398 2421 399 2422 400 2423 401 2421 402(1) T. 8 Sec. 1557 402(2), (3) 2424 403 Rep. 404 2421 405-407 Rep. 407a 1231 408 10, 2311, 2312, 2313 408a 1201 408b 10 408c 1201 408c-1 1202 408d 875, 3239 408e 1073 409 659, 660, 2117 410, 411 659 412 660 412a 1992 413 Rep. 414(a) 10 414(b), (c) 2311 415 2314 416 2315 417 2311 418, 418a, 419 Rep. 419a(a) 2311 419a(b) 10 419b 2316 419c 2317 419d Rep. 420 T. 4 Sec. 112 420a to 420e-1 1951 420f-420h 1821 421, 422 1585 423 1584 424 1582 425 1585 426 1587 427 1586 428 1588 429-442 T. 46 Sec. 1351-1364 (See Rev. T. 46 Table) 443 1583 444, 445 1581 446 1584 451 7 452 1111 453 1112 454 1111, 1112 455 113 456 1113 457 2031 458 2032 459 2198 460 2198, 3286, 3614 461 1115 462 114 463 2111 464 81, 1363 465 81, 1363 466 661 467 662, 3435 467a 1025 468 13 469-474 2199 481 1651 482 2191 483 2192 484 2193 485 1655 486 2195 487 2271 488 1658 489 1659 490 2276 491 2272 492 2273 493 1661 494 1654 495 1652 496 1653 497 1656 498 1657 499, 500 969 501 9 502 5, 2275 503, 504 2277 505 1081 506 1082 507 1083 508, 511-518 Rep. 518a 1384 519-521 Rep. 522 1991 523 244 532-535 Rep. 536 T. 50 Sec. 42 541 1 542 3566 543 3567 544 3563 545 3564 546, 547 3231 548 1151, 1153, 3242 549 1151, 1153 550 2 551 3 552 1660 553 3236 554 Rep. See Cr. Proc. R. 6(f). 554a Rep. See Cr. Proc. R. 6. 555 Rep. See Cr. Proc. R. 7(a). 556 Rep. See Cr. Proc. R. 6(d), 52(a). 556a 3288, 3289 556b Rep. 557 Rep. See Cr. Proc. R. 8, 13, 14. 558 Rep. See Cr. Proc. R. 7. 559 Rep. See Cr. Proc. R. 7. 560 Rep. See Cr. Proc. R. 7. 561 Rep. See Cr. Proc. R. 12(b)(5). 562 3432 562a Rep. See Cr. Proc. R. 10. 563 3005 564 Rep. See Cr. Proc. R. 11, 12(b)(3). 565 Rep. See Cr. Proc. R. 31(c). 566 Rep. See Cr. Proc. R. 31(a), (b). 567 1111 568 3570 569 3565 570 3612 571-573 Rep. 574 3241 575 3059 576 3401 576a 3402 576b-576d 3401 581 Rep. 581a, 581b 3281 582 3282 583 3290 584 3283 585 T. 26 (I.R.C. 1939) Sec. 3748(a) (See T. 26 (I.R.C. 1986) Sec. 6531) 586 T. 26 (I.R.C. 1939) Sec. 3748(b) (See T. 26 (I.R.C. 1986) Sec. 6531) 587 3288 588 3289 589 3288, 3289 590 Rep. 590a 3287 591 3041 592 Rep. 593 Rep. See Cr. Proc. R. 5(a). 594 3045 595 Rep. See Cr. Proc. R. 4, 5. 596, 597 3141 598 3144 599 3142 600 3143 601 Rep. See Cr. Proc. R. 46(f)(1), (2). 602 3047 603 4084 604 3049 605 3012 611-616 Rep. See Cr. Proc. R. 41. 617 3105 618, 619 3109 620-626 Rep. See Cr. Proc. R. 41. 627 Rep. 628 2231 629 1621 630 2235 631 2234 632 5 633 Rep. 641 3569 642, 643 T. 46 Sec. 7, 8 (See Rev. T. 46 Table) 644 T. 28 Sec. 1822 645 3611 646 3617 647 3616 651 3184 652 3185 653 3186 654 3188 655 3190 656 3191 657 3189 658 3181 659 3192 660 3051, 3193 661 752, 1502 662 3182, 3195 662a 5001 662b 3042 662c 752, 3183, 3195 662d 3187, 3195 662e 755 663 3194 664 Rep. 665 755 666, 667 Rep. 668 3195, 3498 669-676 D.C. Code, Sec. 23-701, 23-702, 23-705 681 Rep. See Cr. Proc. R. 37. 682 3731 683 Rep. 687 3771 688 3772 689 3771, 3772 691 Rep. 692 4086 693-700 Rep. 701 4007 702 Rep. 703 4006 704 D.C. Code, Sec. 24-424 704a D.C. Code, Sec. 24-423 705-707 Rep. 708, 709 436 709a 3568 710, 710a 4161 711 4166 712, 712a Rep. 713 4163, 4165 714 4202 715 Rep. 716 4203, 4204 716a 4203 716b 4164 717 4205 718 4206 719 4207 720 Rep. 721 4281 722 Rep. 723 3570 723a 4201 723b Rep. 723c 4205 724 3651 725 3653 726 3654 726-1, 726a T. 28 Sec. 604 727 3655 728 3656 729 T. 28 Sec. 1495, 2513 730-732 T. 28 Sec. 2513 733-733b 4085 741 4001 742-744 Rep. 744a 4122 744b 4125 744c 4122, 4123 744d-744f 4126 744g 4124 744h 4162 744h-l Rep. 744i, 744j 4121 744k 4122 744l 4126 744m 4127 744n 4128 744o-744r Elim. 745 Rep. 746 4281 746a 4282 746b 4283 747-749 Rep. 750 T. 5 Sec. 678b (See Rev. T. 5 Table) 751, 752 4005 753 4041 753a 4042 753b 4002, 4042 753c 4003 753d 4009 753e 4001 753f 4082, 4083 753g 4008 753h 751 753i 752, 1072 753j 1791 753k 3050 754 4004 761 Rep. 762 4083 763-776, 791-801, 811-815 Rep. 816 4321 817-819, 831-840 Rep. 851 4125 852 Rep. 853-855 4125 871-875 Rep. 876 4241 877 4242 878 4243 879, 880, 901-906 Rep. 907 4081 908 1791 909 751 910 752, 1072 911, 912 Rep. 921 5031 922 5032, 5033 923 5033 924 5034 925 5035 926 5036 927 5037 928 Elim. 929 Rep. ------------------------------- POSITIVE LAW; CITATION Section 1 of act June 25, 1948, ch. 645, 62 Stat. 683, provided in part that: 'Title 18 of the United States Code, entitled 'Crimes and Criminal Procedure', is hereby revised, codified and enacted into positive law, and may be cited as 'Title 18, U.S.C., Sec. - .' ' LEGISLATIVE CONSTRUCTION Section 19 of act June 25, 1948, ch. 645, 62 Stat. 862, provided that: 'No inference of a legislative construction is to be drawn by reason of the chapter in Title 18, Crimes and Criminal Procedure, as set out in section 1 of this Act, in which any particular section is placed, nor by reason of the catchlines used in such title.' SEPARABILITY Section 18 of act June 25, 1948, ch. 645, 62 Stat. 862, provided that: 'If any part of Title 18, Crimes and Criminal Procedure, as set out in section 1 of this Act, shall be held invalid the remainder shall not be affected thereby.' EFFECTIVE DATE Section 20 of act June 25, 1948, ch. 645, 62 Stat. 862, provided that the revision of this title shall be effective Sept. 1, 1948. EXISTING RIGHTS OR LIABILITIES Section 21 of act June 25, 1948, ch. 645, 62 Stat. 862, provided in part that any right or liabilities now existing under repealed sections or parts thereof shall not be affected by the repeal. REPEALED, TRANSFERRED, AND OMITTED SECTIONS All former sections of Title 18 were repealed, transferred to other titles, or omitted by said act June 25, 1948, except for sections 595, 644, 726-1, 726a, 729, 730, and 732 which were repealed by act June 25, 1948, ch. 646, 62 Stat. 687, the act revising and codifying Title 28, Judiciary and Judicial Procedure, into positive law. -SECREF- TITLE REFERRED TO IN OTHER SECTIONS This title is referred to in title 8 sections 1160, 1255a, 1282, 1324, 1324c, 1325, 1326, 1327, 1328; title 12 sections 1441a, 4204, 4224; title 15 sections 1245, 5408; title 16 sections 256b, 590n, 668dd, 3373, 3375, 4224, 4306; title 20 section 1221e-1; title 21 sections 333, 841, 844, 848, 858, 863, 960; title 28 sections 535, 994; title 29 section 1136; title 33 section 2609; title 38 section 3405; title 41 sections 54, 423; title 42 sections 263a, 274k, 290cc-32, 300d-20, 300h-2, 300i-1, 300j-23, 300dd-9, 300ee-19, 405, 408, 1383, 1395ss, 3537a, 3537b, 7413, 9603, 9612; title 46 sections 12507, 31306, 31330; title 46 App. section 808; title 47 section 223; title 48 sections 1424-4, 1614, 1694; title 49 App. sections 1472, 1809, 1811. ------DocID 23803 Document 2 of 1438------ -CITE- 18 USC Sec. 18 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 18. Organization defined -STATUTE- As used in this title, the term 'organization' means a person other than an individual. -SOURCE- (Added Pub. L. 99-646, Sec. 38(a), Nov. 10, 1986, 100 Stat. 3599, and amended Pub. L. 100-185, Sec. 4(c), Dec. 11, 1987, 101 Stat. 1279; Pub. L. 100-690, title VII, Sec. 7012, Nov. 18, 1988, 102 Stat. 4395.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 made technical correction of directory language of Pub. L. 99-646, Sec. 38(a), similar to that made by Pub. L. 100-185. 1987 - Pub. L. 100-185 made technical correction in directory language of Pub. L. 99-646, Sec. 38(a). ------DocID 23900 Document 3 of 1438------ -CITE- 18 USC CHAPTER 18 -EXPCITE- TITLE 18 PART I CHAPTER 18 -HEAD- CHAPTER 18 - CONGRESSIONAL, CABINET, AND SUPREME COURT ASSASSINATION, KIDNAPING, AND ASSAULT -MISC1- Sec. 351. Congressional, Cabinet, and Supreme Court assassination, kidnaping, and assault; penalties. AMENDMENTS 1982 - Pub. L. 97-285, Sec. 2(b), (c), Oct. 6, 1982, 96 Stat. 1219, substituted 'CONGRESSIONAL, CABINET, AND SUPREME COURT ASSASSINATION, KIDNAPING, AND ASSAULT' for 'CONGRESSIONAL ASSASSINATION, KIDNAPING, AND ASSAULT' as chapter heading and substituted 'Congressional, Cabinet, and Supreme Court assassination, kidnaping, and assault: penalties' for 'Congressional assassination, kidnaping, and assault; penalties' in item 351. 1971 - Pub. L. 91-644, title IV, Sec. 15, Jan. 2, 1971, 84 Stat. 1891, added chapter 18 and item 351. ------DocID 25100 Document 4 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 18 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS V -HEAD- Rule 18. Place of Prosecution and Trial -STATUTE- Except as otherwise permitted by statute or by these rules, the prosecution shall be had in a district in which the offense was committed. The court shall fix the place of trial within the district with due regard to the convenience of the defendant and the witnesses and the prompt administration of justice. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 30, 1979, eff. Aug. 1, 1979.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. The Constitution of the United States, Article III. Section 2, Paragraph 3, provides: The Trial of all Crimes, except in Cases of Impeachment, shall be by Jury; and such Trial shall be held in the State where the said Crimes shall have been committed; but when not committed within any State, the Trial shall be at such Place or Places as the Congress may by Law have directed. Amendment VI provides: In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law * * * 28 U.S.C. former Sec. 114 (now Sec. 1393, 1441) provides: All prosecutions for crimes or offenses shall be had within the division of such districts where the same were committed, unless the court, or the judge thereof, upon the application of the defendant, shall order the cause to be transferred for prosecution to another division of the district. The word 'prosecutions,' as used in this statute, does not include the finding and return of an indictment. The prevailing practice of impaneling a grand jury for the entire district at a session in some division and of distributing the indictments among the divisions in which the offenses were committed is deemed proper and legal, Salinger v. Loisel, 265 U.S. 224, 237. The court stated that this practice is 'attended with real advantages.' The rule is a restatement of existing law and is intended to sanction the continuance of this practice. For this reason, the rule requires that only the trial be held in the division in which the offense was committed and permits other proceedings to be had elsewhere in the same district. 2. Within the framework of the foregoing constitutional provisions and the provisions of the general statute, 28 U.S.C. 114 (now 1393, 1441), supra, numerous statutes have been enacted to regulate the venue of criminal proceedings, particularly in respect to continuing offenses and offenses consisting of several transactions occurring in different districts. Armour Packing Co. v. United States, 209 U.S. 56, 73-77; United States v. Johnson, 323 U.S. 273. These special venue provisions are not affected by the rule. Among these statutes are the following: U.S.C., Title 8: Section 138 (see 1326, 1328, 1329) (Importation of aliens for immoral purposes; attempt to reenter after deportation; penalty) U.S.C., Title 15: Section 78aa (Regulation of Securities Exchanges; jurisdiction of offenses and suits) Section 79y (Control of Public Utility Holding Companies; jurisdiction of offenses and suits) Section 80a-43 (Investment Companies; jurisdiction of offenses and suits) Section 80b-14 (Investment Advisers; jurisdiction of offenses and suits) Section 298 (Falsely Stamped Gold or Silver, etc., violations of law; penalty; jurisdiction of prosecutions) Section 715i (Interstate Transportation of Petroleum Products; restraining violations; civil and criminal proceedings; jurisdiction of District Courts; review) Section 717u (Natural Gas Act; jurisdiction of offenses; enforcement of liabilities and duties) U.S.C., Title 18: Section 39 (now 5, 3241) (Enforcement of neutrality; United States defined; jurisdiction of offenses; prior offenses; partial invalidity of provisions) Section 336 (now 1302) (Lottery, or gift enterprise circulars not mailable; place of trial) Section 338a (now 876, 3239) (Mailing threatening communications) Section 338b (now 877, 3239) (Same; mailing in foreign country for delivery in the United States) Section 345 (now 1717) (Using or attempting to use mails for transmission of matter declared nonmailable by title; jurisdiction of offense) Section 396e (now 1762) (Transportation or importation of convict-made goods with intent to use in violation of local law; jurisdiction of violations) Section 401 (now 2421) (White slave traffic; jurisdiction of prosecutions) Section 408 (now 10, 2311 to 2313) (Motor vehicles; transportation, etc., of stolen vehicles) Section 408d (now 875, 3239) (Threatening communications in interstate commerce) Section 408e (now 1073) (Moving in interstate or foreign commerce to avoid prosecution for felony or giving testimony) Section 409 (now 659, 660, 2117) (Larceny, etc., of goods in interstate or foreign commerce; penalty) Section 412 (now 660) (Embezzlement, etc., by officers of carrier; jurisdiction; double jeopardy) Section 418 (now 3237) (National Stolen Property Act; jurisdiction) Section 419d (now 3237) (Transportation of stolen cattle in interstate or foreign commerce; jurisdiction of offense) Section 420d (now 1951) (Interference with trade and commerce by violence, threats, etc., jurisdiction of offenses) Section 494 (now 1654) (Arming vessel to cruise against citizen; trials) Section 553 (now 3236) (Place of committal of murder or manslaughter determined) U.S.C., Title 21: Section 17 (Introduction into, or sale in, State or Territory or District of Columbia of dairy or food products falsely labeled or branded; penalty; jurisdiction of prosecutions) Section 118 (Prevention of introduction and spread of contagion; duty of district attorneys) U.S.C., Title 28: Section 101 (now 18 U.S.C. 3235) (Capital cases) Section 102 (now 18 U.S.C. 3238) (Offenses on the high seas) Section 103 (now 18 U.S.C. 3237) (Offenses begun in one district and completed in another) Section 121 (now 18 U.S.C. 3240) (Creation of new district or division) U.S.C., Title 47: Section 33 (Submarine Cables; jurisdiction and venue of actions and offenses) Section 505 (Special Provisions Relating to Radio; venue of trials) U.S.C., Title 49: Section 41 (now 11902, 11903, 11915, 11916) (Legislation Supplementary to Interstate Commerce Act; liability of corporation carriers and agents; offenses and penalties - (1) Liability of corporation common carriers; offenses; penalties; Jurisdiction) Section 623 (now 1473) (Civil Aeronautics Act; venue and prosecution of offenses) NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The amendment eliminates the requirement that the prosecution shall be in a division in which the offense was committed and vests discretion in the court to fix the place of trial at any place within the district with due regard to the convenience of the defendant and his witnesses. The Sixth Amendment provides that the defendant shall have the right to a trial 'by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law. * * *' There is no constitutional right to trial within a division. See United States v. Anderson, 328 U.S. 699, 704, 705 (1946); Barrett v. United States, 169 U.S. 218 (1898); Lafoon v. United States, 250 F.2d 958 (5th Cir. 1958); Carrillo v. Squier, 137 F.2d 648 (9th Cir. 1943); McNealey v. Johnston, 100 F.2d 280, 282 (9th Cir. 1938). Cf. Platt v. Minnesota Mining and Manufacturing Co., 376 U.S. 240 (1964). The former requirement for venue within the division operated in an irrational fashion. Divisions have been created in only half of the districts, and the differentiation between those districts with and those without divisions often bears no relationship to comparative size or population. In many districts a single judge is required to sit in several divisions and only brief and infrequent terms may be held in particular divisions. As a consequence under the original rule there was often undue delay in the disposition of criminal cases - delay which was particularly serious with respect to defendants who had been unable to secure release on bail pending the holding of the next term of court. If the court is satisfied that there exists in the place fixed for trial prejudice against the defendant so great as to render the trial unfair, the court may, of course, fix another place of trial within the district (if there be such) where such prejudice does not exist. Cf. Rule 21 dealing with transfers between districts. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT This amendment is intended to eliminate an inconsistency between rule 18, which in its present form has been interpreted not to allow trial in a division other than that in which the offense was committed except as dictated by the convenience of the defendant and witnesses, Dupoint v. United States, 388 F.2d 39 (5th Cir. 1968), and the Speedy Trial Act of 1974. This Act provides: In any case involving a defendant charged with an offense, the appropriate judicial officer, at the earliest practicable time, shall, after consultation with the counsel for the defendant and the attorney for the Government, set the case for trial on a day certain, or list it for trial on a weekly or other short-term trial calendar at a place within the judicial district so as to assure a speedy trial. 18 U.S.C. Sec. 3161(a). This provision is intended to 'permit the trial of a case at any place within the judicial district. This language was included in anticipation of problems which might occur in districts with statutory divisions, where it could be difficult to set trial outside the division.' H.R.Rep. No. 93-1508, 93d Cong., 2d Sess. 29 (1974). The change does not offend the venue or vicinage provisions of the Constitution. Article III, Sec. 2, clause 3 places venue (the geographical location of the trial) 'in the State where the said Crimes shall have been committed,' while the Sixth Amendment defines the vicinage (the geographical location of the jurors) as 'the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law.' The latter provision makes 'no reference to a division within a judicial district.' United States v. James, 528 F.2d 999 (5th Cir. 1976). 'It follows a fortiori that when a district is not separated into divisions, * * * trial at any place within the district is allowable under the Sixth Amendment * * *.' United States v. Fernandez, 480 F.2d 726 (2d Cir. 1973). See also Zicarelli v. Gray, 543 F.2d 466 (3d Cir. 1976) and cases cited therein. Nor is the change inconsistent with the Declaration of Policy in the Jury Selection and Service Act of 1968, which reads: It is the policy of the United States that all litigants in Federal courts entitled to trial by jury shall have the right to grand and petit juries selected at random from a fair cross section of the community in the district or division wherein the court convenes. 28 U.S.C. Sec. 1861. This language does not mean that the Act requires 'the trial court to convene not only in the district but also in the division wherein the offense occurred,' as: There is no hint in the statutory history that the Jury Selection Act was intended to do more than provide improved judicial machinery so that grand and petit jurors would be selected at random by the use of objective qualification criteria to ensure a representative cross section of the district or division in which the grand or petit jury sits. United States v. Cates, 485 F.2d 26 (1st Cir. 1974). The amendment to rule 18 does not eliminate either of the existing considerations which bear upon fixing the place of trial within a district, but simply adds yet another consideration in the interest of ensuring compliance with the requirements of the Speedy Trial Act of 1974. The amendment does not authorize the fixing of the place of trial for yet other reasons. Cf. United States v. Fernandez, 480 F.2d 726 (2d Cir. 1973) (court in the exercise of its supervisory power held improper the fixing of the place of trial 'for no apparent reason other than the convenience of the judge'). -CROSS- CROSS REFERENCES Constitutional restrictions on venue of criminal prosecutions, see Const. Art. III, sec. 2, cl. 3 and Amend. VI. Divisions within judicial district, see sections 81 et seq. of Title 28, Judiciary and Judicial Procedure. Judicial districts within State, see sections 81 et seq. of Title 28. Transfer from district - For plea and sentence, see rule 20. Or division for trial, see rule 21. Venue - Capital cases, see section 3235 of this title. Creation of new district or division, see section 3240 of this title. Murder or manslaughter, see section 3236 of this title. Offenses begun in one district and completed in another, see section 3237 of this title. Offenses not committed in any district, see section 3238 of this title. ------DocID 9582 Document 5 of 1438------ -CITE- 7 USC CHAPTER 18 -EXPCITE- TITLE 7 CHAPTER 18 -HEAD- CHAPTER 18 - COOPERATIVE MARKETING -MISC1- Sec. 451. Agricultural products defined. 452. Supervision of division of cooperative marketing. 453. Authority and duties of division. 454. Advisers to counsel with Secretary of Agriculture; expenses and subsistence. 455. Dissemination of crop, market, etc., information by cooperative marketing associations. 456. Rules and regulations; appointment, removal, and compensation of employees; expenditures; authorization of appropriations. 457. Separability. ------DocID 11474 Document 6 of 1438------ -CITE- 8 USC Sec. 1 to 18 -EXPCITE- TITLE 8 CHAPTER 1 -HEAD- Sec. 1 to 18. Repealed or Omitted -MISC1- These sections, relating to citizenship, were affected by the Nationality Act of 1940, former section 501 et seq. of this title. That act was passed on Oct. 14, 1940, to consolidate and restate the laws of the United States regarding citizenship, naturalization, and expatriation, and, in addition to certain specific repeals thereby, all acts or parts of acts in conflict with its provisions were repealed by former section 904 of this title. See the notes below for history of individual sections. Section 1, relating to citizenship of persons born in the United States, was repealed by act Oct. 14, 1940, ch. 876, title I, subch. V, Sec. 504, 54 Stat. 1172. It was from R.S. Sec. 1992, which was revised from act Apr. 9, 1866, ch. 31, Sec. 1, 14 Stat. 27. Similar provisions were contained in former section 601(a) of this title. See section 1401 of this title. Section 2, relating to citizenship of persons born in Territory of Oregon, was from R.S. Sec. 1995, which was revised from act May 18, 1872, ch. 172, Sec. 3, 17 Stat. 134. Sections 3 to 3c, related to citizenship of Indians. Section 3 was from acts Feb. 8, 1887, ch. 119, Sec. 6, 24 Stat. 390; Mar. 3, 1901, ch. 868, 31 Stat. 1447; May 8, 1906, ch. 2348, 34 Stat. 182; Nov. 6, 1919, ch. 95, 41 Stat. 350; Mar. 3, 1921, ch. 120, Sec. 3, 41 Stat. 1250; June 2, 1924, ch. 233, 43 Stat. 253; Oct. 14, 1940, ch. 876, title I, subch. V, Sec. 504, 54 Stat. 1173. Section 3a was from act June 19, 1930, ch. 544, 46 Stat. 787. Section 3b was from acts May 7, 1934, ch. 221, Sec. 1, 48 Stat. 667; July 23, 1947, ch. 304, Sec. 1, 61 Stat. 414. Section 3c was from act May 7, 1934, ch. 221, Sec. 2, 48 Stat. 667. Section 4, relating to citizenship of Hawaiians, was from act Apr. 30, 1900, ch. 339, Sec. 4, 31 Stat. 141. See section 1405 of this title. Sections 5 and 5a, relating to citizenship of Puerto Ricans, were from act Mar. 2, 1917, ch. 145, Sec. 5, 5a, respectively, 39 Stat. 953, as amended Mar. 4, 1927, ch. 503, Sec. 2, 44 Stat. 1418; May 17, 1932, ch. 190, 47 Stat. 158. See section 1402 of this title. Section 5a-1, making a further extension of time for Puerto Ricans to become citizens in cases of misinformation regarding status, was repealed by act Oct. 14, 1940, ch. 876, title I, subch. V, Sec. 504, 54 Stat. 1174. It was from act May 16, 1938, ch. 225, 52 Stat. 377. See section 1402 of this title. Sections 5b and 5c, relating to citizenship of inhabitants of the Virgin Islands, were from act Feb. 25, 1927, ch. 192, Sec. 1, 3, respectively, 44 Stat. 1234, 1235, as amended May 17, 1932, ch. 190, 47 Stat. 158; June 28, 1932, ch. 283, Sec. 5, 47 Stat. 336. See section 1406 of this title. Sections 5d to 9a were repealed by act Oct. 14, 1940, ch. 876, title I, subch. V, Sec. 504, 54 Stat. 1174. Sections 5d and 5e, relating to citizenship of persons born in Canal Zone or Panama, were from act Aug. 4, 1937, ch. 563, Sec. 1, 2, respectively, 50 Stat. 558; see section 1403 of this title. Section 6, relating to citizenship of children born outside the United States, was from R.S. Sec. 1993 (revised from acts Apr. 14, 1802, ch. 28, Sec. 4, 2 Stat. 155; Feb. 10, 1855, ch. 71, Sec. 1, 10 Stat. 604); act Mar. 2, 1907, ch. 2534, Sec. 6, 7, 34 Stat. 1229, as amended May 24, 1934, ch. 344, Sec. 1, 48 Stat. 797; see sections 1431 to 1433 of this title. Section 7, relating to citizenship of children of persons naturalized under certain laws, was from R.S. Sec. 2172, which was revised from act Apr. 14, 1802, ch. 28, Sec. 4, 2 Stat. 155; see section 1432 of this title. Section 8, relating to citizenship, upon parent's naturalization, of children born abroad of alien parents, was from act Mar. 2, 1907, ch. 2534, Sec. 5, 34 Stat. 1229, as amended May 24, 1934, ch. 344, Sec. 2, 48 Stat. 797; see section 1432 of this title. Section 9, relating to citizenship of women citizens as affected by marriage, was from acts Sept. 22, 1922, ch. 411, Sec. 3(a), 42 Stat. 1022; July 3, 1930, ch. 835, Sec. 1, 46 Stat. 854; Mar. 3, 1931, ch. 442, Sec. 4(a), 46 Stat. 1511; see section 1435 of this title. Section 9a, relating to repatriation of native-born women married to aliens prior to Sept. 22, 1922, was from act June 25, 1936, ch. 801, 49 Stat. 1917, as amended July 2, 1940, ch. 509, 54 Stat. 715; see section 1435(c) of this title. Section 10, relating to effect of certain repeals on citizenship of women marrying citizens, was from act Sept. 22, 1922, ch. 411, Sec. 6, 42 Stat. 1022. Sections 11 and 12, relating to forfeiture of citizenship for desertion from armed forces, were repealed by acts Aug. 10, 1956, ch. 1041, Sec. 53, 70A Stat. 644, and Sept. 6, 1966, Pub. L. 89-554, Sec. 8, 80 Stat. 632. Section 11 was from R.S. Sec. 1998 (revised from act Mar. 3, 1865, ch. 79, Sec. 21, 13 Stat. 490) as amended by acts Aug. 22, 1912, ch. 336, Sec. 1, 37 Stat. 356; Oct. 14, 1940, ch. 876, title I, subch. V, Sec. 504, 54 Stat. 1172. Section 12 was from R.S. Sec. 1996, 1997, which were revised from acts Mar. 3, 1865, ch. 79, Sec. 21, 13 Stat. 490, and July 19, 1867, ch. 28, 15 Stat. 14, respectively; see sections 1481 and 1483 of this title. Sections 13 and 14, relating to protection of citizens when abroad, were transferred to sections 1731 and 1732 of Title 22, Foreign Relations and Intercourse. Section 15, R.S. Sec. 1999 related to right of expatriation. See sections 1482 and 1483 of this title. Sections 16 to 18, relating to loss of citizenship, were repealed by act Oct. 14, 1940, ch. 876, title I, subch. V, Sec. 504, 54 Stat. 1172. Section 16 was from act Mar. 2, 1907, ch. 2534, Sec. 2, 34 Stat. 1228. Section 17 was from act Mar. 2, 1907, ch. 2534, Sec. 2, 7, 34 Stat. 1228, 1229; see sections 1481(a), 1482 and 1484 of this title. Section 17a was from act May 24, 1934, ch. 344, Sec. 3, 48 Stat. 797; see section 1481(a) of this title. Section 18 was from acts June 29, 1906, ch. 3592, Sec. 4(12), 34 Stat. 596; May 9, 1918, ch. 69, Sec. 1, 40 Stat. 545; June 21, 1930, ch. 559, 46 Stat. 791; see sections 1438(a), 1454, 1455, and 1459 of this title. ------DocID 11917 Document 7 of 1438------ -CITE- 10 USC CHAPTER 18 -EXPCITE- TITLE 10 Subtitle A PART I CHAPTER 18 -HEAD- CHAPTER 18 - MILITARY SUPPORT FOR CIVILIAN LAW ENFORCEMENT AGENCIES -MISC1- Sec. 371. Use of information collected during military operations. 372. Use of military equipment and facilities. 373. Training and advising civilian law enforcement officials. 374. Maintenance and operation of equipment. 375. Restriction on direct participation by military personnel. 376. Support not to affect adversely military preparedness. 377. Reimbursement. 378. Nonpreemption of other law. 379. Assignment of Coast Guard personnel to naval vessels for law enforcement purposes. 380. Enhancement of cooperation with civilian law enforcement officials. AMENDMENTS 1989 - Pub. L. 101-189, div. A, title XII, Sec. 1216(a), Nov. 29, 1989, 103 Stat. 1569, in chapter heading substituted '18' for '8'. 1988 - Pub. L. 100-456, div. A, title XI, Sec. 1104(a), Sept. 29, 1988, 102 Stat. 2043, amended chapter analysis generally substituting, in chapter heading 'CHAPTER 8 - MILITARY SUPPORT FOR CIVILIAN LAW ENFORCEMENT AGENCIES' for 'CHAPTER 18 - MILITARY COOPERATION WITH CIVILIAN LAW ENFORCEMENT OFFICIALS', in item 374 'Maintenance and operation of equipment' for 'Assistance by Department of Defense personnel', in item 376 'Support not to affect adversely military preparedness' for 'Assistance not to affect adversely military preparedness' and in item 380 'Enhancement of cooperation with civilian law enforcement officials' for 'Department of Defense drug law enforcement assistance: annual plan'. 1987 - Pub. L. 100-180, div. A, title XII, Sec. 1243(b), Dec. 4, 1987, 101 Stat. 1164, added item 380. 1986 - Pub. L. 99-570, title III, Sec. 3053(b)(2), Oct. 27, 1986, 100 Stat. 3207-76, added item 379. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 18 section 831. ------DocID 14602 Document 8 of 1438------ -CITE- 10 USC APPENDIX - RULES OF COURT OF MILITARY APPEALS Rule 18 -EXPCITE- TITLE 10 APPENDIX UNITED STATES COURT OF MILITARY APPEALS APPEALS -HEAD- Rule 18. Methods of Appeal -STATUTE- (a) The Court will entertain the following appeals: (1) Cases under Article 67(b)(3). Cases under Article 67(b)(3), UCMJ, 10 U.S.C. Sec. 867(b)(3), including decisions by a Court of Military Review on appeal by the United States under Article 62, UCMJ, 10 U.S.C. Sec. 862, may be appealed by the filing of a petition for grant of review by an appellant or by counsel on behalf of an appellant substantially in the form provided in Rule 20(a) or (b). (2) Cases under Article 67(b)(2). Cases under Article 67(b)(2), UCMJ, 10 U.S.C. Sec. 867(b)(2), including decisions by a Court of Military Review on appeal by the United States under Article 62, UCMJ, 10 U.S.C. Sec. 862, which are forwarded by a Judge Advocate General by a certificate for review must be substantially in the form provided in Rule 22(a). (3) Cases under Article 67(b)(1). Cases under Article 67(b)(1), UCMJ, 10 U.S.C. Sec. 867(b)(1), will be forwarded by a Judge Advocate General by the filing of the record with the Court, together with the form prescribed by Rule 23(a). (4) Cases under Rule 4(b)(2). Decisions by a Court of Military Review on petitions for extraordinary relief may be appealed by filing a writ appeal petition and accompanying brief in accordance with Rules 24, 27(b), and 28. (b) In addition, the Court may, in its discretion, entertain petitions for extraordinary relief including, but not limited to, writs of mandamus, writs of prohibition, writs of habeas corpus, and writs of error coram nobis. See Rules 4(b)(1), 27(a) and 28. -SOURCE- (As amended Oct. 1, 1987.) -REFTEXT- REFERENCES IN TEXT Article 67(b), UCMJ, 10 U.S.C. Sec. 867(b), referred to in subsec. (a)(1), (2), and (3), was redesignated Article 67(a), UCMJ, 10 U.S.C. Sec. 867(a), by Pub. L. 101-189, div. A, title XIII, Sec. 1301(a)(2), Nov. 29, 1989, 103 Stat. 1569. ------DocID 14658 Document 9 of 1438------ -CITE- 10 USC APPENDIX - RULES OF COURTS OF MILITARY REVIEW Rule 18 -EXPCITE- TITLE 10 APPENDIX COURTS OF MILITARY REVIEW -HEAD- Rule 18. Orders and decisions of the court -STATUTE- The Court shall give notice of its orders and decisions pursuant to Rule for Courts-Martial 1203. The Court shall immediately serve such orders or decisions, when rendered, on appellate defense counsel, government counsel and The Judge Advocate General, or designee, as appropriate. ------DocID 15150 Document 10 of 1438------ -CITE- 11 USC APPENDIX - BANKRUPTCY RULES Form 18 -EXPCITE- TITLE 11 APPENDIX BANKRUPTCY RULES AND OFFICIAL FORMS OFFICIAL FORMS -HEAD- Form 18. - Special Power of Attorney -STATUTE- (CAPTION AS IN FORM NO. 2) SPECIAL POWER OF ATTORNEY To XXX XXXXX of *XXXXXXXX, and XXXXXXXX of *XXXXXXXX: The undersigned claimant hereby authorizes you, or any one of you, as attorney in fact for the undersigned (if desired: and with full power of substitution,) to attend the meeting of creditors of the debtor or any adjournment thereof, and to vote in my behalf on any question that may be lawfully submitted to creditors at such meeting or adjourned meeting, and for a trustee or trustees of the estate of the debtor. Dated: XXXXXX Signed: XXXXXXXXXX (If appropriate) By XXXXXXXXXX as XXXXXXXXXX Address: XXXXXXXXXX, XXXXXXXXXX (If executed by an individual) Acknowledged before me on XXXXXX. (If executed on behalf of a partnership) Acknowledged before me on XXXXXX, by XXXXXXXX, who says that he (or she) is a member of the partnership named above and is authorized to execute this power of attorney in its behalf. (If executed on behalf of a corporation) Acknowledged before me on XXXXXX, by XXXXXXXX, who says that he (or she) is XXXXXX of the corporation named above and is authorized to execute this power of attorney in its behalf. XXXXXXXXXXXX XXXXXXXXXXXX (Official character.) * State mailing address. -SOURCE- (As amended Sept. 19, 1986, eff. Sept. 19, 1986.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES A special power of attorney shall conform substantially with this official form, as provided in Rule 9010(c), but it may grant either more or less authority in accordance with the language used. The form is derived from former Official Form No. 14. ------DocID 16073 Document 11 of 1438------ -CITE- 12 USC Sec. 1715z-18 -EXPCITE- TITLE 12 CHAPTER 13 SUBCHAPTER II -HEAD- Sec. 1715z-18. Shared appreciation mortgages for multifamily housing -STATUTE- (a) Five or more family units; requirements Notwithstanding any provision of this subchapter that is inconsistent with this section, the Secretary may insure, under any provision of this subchapter providing for insurance of mortgages on properties including 5 or more family units, a mortgage secured by a first lien on the property that (1) provides for the mortgagee to share in a predetermined percentage of the property's net appreciated value; and (2) meets such other conditions, including limitations on the rate of interest which may be charged, as the Secretary may require by regulation. (b) Payment of mortgagee's share of net appreciated value; term of mortgage; repayment; 'net appreciated value' defined The mortgagee's share of a property's net appreciated value shall be payable upon maturity or upon payment in full of the loan or sale or transfer (as defined by the Secretary) of the property, whichever occurs first. The term of the mortgage shall not be less than 15 years, and shall be repayable in equal monthly installments of principal and fixed interest during the mortgage term in an amount which would be sufficient to retire a debt with the same principal and fixed interest rate over a period not exceeding 30 years. In the case of a mortgage which will not be completely amortized during the mortgage term, the principal obligation of the mortgage may not exceed 85 percent of the estimated value of the property or project. For purposes of this section, the term 'net appreciated value' means the amount by which the sales price of the property (less the mortgagor's selling costs) exceeds the actual project cost after completion, as approved by the Secretary. If there has been no sale or transfer at the time the mortgagee's share of net appreciated value becomes payable, the sales price for purposes of this section shall be determined by means of an appraisal conducted in accordance with procedures approved by the Secretary and provided for in the mortgage. (c) Entitlement of mortgagee upon default In the event of a default, the mortgagee shall be entitled to receive the benefits of insurance in accordance with section 1713 of this title, but such insurance benefits shall not include the mortgagee's share of net appreciated value. The term 'original principal face amount of the mortgage' as used in section 1713 of this title shall not include the mortgagee's share of net appreciated value. (d) Maximum percentage of net appreciated value; disclosure requirements The Secretary shall establish by regulation the maximum percentage of net appreciated value which may be payable to a mortgagee as the mortgagee's share. The Secretary shall also establish disclosure requirements applicable to mortgagees making mortgage loans pursuant to this section, to assure that mortgagors are informed of the characteristics of such mortgages. (e) Inapplicability of State constitution, statute, etc., limiting or prohibiting increases in outstanding loan balance Mortgages insured pursuant to this section which contain provisions for sharing appreciation or which otherwise require or permit increases in the outstanding loan balance which are authorized under this section or under applicable regulations shall not be subject to any State constitution, statute, court decree, common law, rule, or public policy limiting or prohibiting increases in the outstanding loan balance after execution of the mortgage. (f) Number of dwelling units The number of dwelling units included in properties covered by mortgages insured pursuant to this section in any fiscal year may not exceed 5,000. -SOURCE- (June 27, 1934, ch. 847, title II, Sec. 253, as added Nov. 30, 1983, Pub. L. 98-181, title IV, Sec. 445, 97 Stat. 1226, and amended Feb. 5, 1988, Pub. L. 100-242, title IV, Sec. 429(j), 101 Stat. 1919.) -MISC1- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-242, Sec. 429(j)(1), substituted 'For purposes of this section, the term 'net appreciated value' means the amount by which the sales price of the property (less the mortgagor's selling costs) exceeds the actual project cost after completion, as approved by the Secretary' for 'For purposes of this section, the term 'net appreciated value' means the amount by which the sales price of the property (less the mortgagor's selling costs) exceeds the value (or replacement cost, as appropriate) of the property at the time the commitment to insure is issued (with adjustments for capital improvements stipulated in the loan contract)'. Subsec. (c). Pub. L. 100-242, Sec. 429(j)(2), (3), substituted 'in accordance with section 1713 of this title' for 'in accordance with section 1710 of this title' and 'The term 'original principal face amount of the mortgage' as used in section 1713 of this title shall not include the mortgagee's share of net appreciated value' for 'The term 'original principal obligation of the mortgage' as used in section 1710(a) of this title shall not include the mortgagee's share of net appreciated value'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1709 of this title. ------DocID 16134 Document 12 of 1438------ -CITE- 12 USC Sec. 1735f-18 -EXPCITE- TITLE 12 CHAPTER 13 SUBCHAPTER V -HEAD- Sec. 1735f-18. Information regarding early defaults and foreclosures on insured mortgages -STATUTE- (a) In general The Secretary of Housing and Urban Development shall collect and maintain information regarding early defaults on mortgages as provided under this section. The Secretary shall make such information available for public inspection upon request. Information shall be collected quarterly with respect to each applicable collection period (as such term is defined in subsection (c) of this section) and shall be available for inspection not more than 30 days after the conclusion of the calendar quarter relating to each such period. Information shall first be made available under this section for the applicable collection period relating to the first calendar quarter ending more than 180 days after November 28, 1990. (b) Contents (1) Mortgage lender analysis Information collected under this section shall include, for each lender originating mortgages during the applicable collection period that are insured pursuant to section 1709 of this title and secured by property in a designated census tract, the following information with respect to such mortgages: (A) The name of the lender and the number of each designated census tract in which the lender originated 1 or more such mortgages during the applicable collection period. (B) The total number of such mortgages originated by such lender during the applicable collection period in each designated census tract and the number of mortgages originated each year in each designated census tract. (C) The total number of defaults and foreclosures on such mortgages during the applicable collection period in each designated census tract and the number of defaults and foreclosures in each designated census tract in each year of the period. (D) For each designated census tract, the percentage of such lender's total insured mortgages originated during each year of the applicable collection period (with respect to properties within such census tract) on which defaults or foreclosures have occurred during the applicable collection period. (E) The total of all such originations, defaults, and foreclosures on insured mortgages originated by such lender during the applicable collection period for all designated census tracts and the percentage of the total number of such lender's insured mortgage originations on which defaults or foreclosures have occurred during the applicable collection period. (2) Other information Information collected under this section shall also include the following: (A) For each lender referred to under paragraph (1), the total number of insured mortgages originated by the lender secured by properties not located in a designated census tract, the total number of defaults and foreclosures on such mortgages, and the percentage of such mortgages originated on which defaults or foreclosures occurred during the applicable collection period. (B) For each designated census tract, the total number of mortgages originated during the applicable collection period that are insured pursuant to section 1709 of this title, the number of defaults and foreclosures occurring on such mortgages during such period, and the percentage of the total insured mortgage originations during the period on which defaults or foreclosures occurred. (c) Annual reports The Secretary shall submit to the Congress annually a report containing the information collected and maintained under subsection (b) of this section for the relevant year. (d) Definitions For purposes of this section: (1) Applicable collection period The term 'applicable collection period' means the 5-year period ending on the last day of the calendar quarter for which information under this section is collected. (2) Designated census tract The term 'designated census tract' means a census tract located within a metropolitan statistical area, as defined pursuant to regulations issued by the Secretary of Commerce. -SOURCE- (June 27, 1934, ch. 847, title V, Sec. 540, as added Nov. 28, 1990, Pub. L. 101-625, title III, Sec. 335(a), 104 Stat. 4142.) -MISC1- AVAILABILITY OF INFORMATION REGARDING DEFAULT/CLAIM RATES DURING TRANSITION Section 335(b) of Pub. L. 101-625 provided that: 'During the period beginning on the date of the enactment of this Act (Nov. 28, 1990) and ending on the date of the initial availability of information under section 540 of the National Housing Act (12 U.S.C. 1735f-18) (as added by subsection (a)), the Secretary of Housing and Urban Development shall make publicly available all reports regarding Default/Claim Rates per Regional Office for Fiscal Year 1990 Endorsements that are produced by the Department of Housing and Urban Development during such period.' ------DocID 16218 Document 13 of 1438------ -CITE- 12 USC Sec. 1749bbb-18 -EXPCITE- TITLE 12 CHAPTER 13 SUBCHAPTER IX-C Part D -HEAD- Sec. 1749bbb-18. Utilization of services and facilities of other agencies -STATUTE- The Director may, with the consent of the agency concerned, accept and utilize, on a reimbursable basis, the officers, employees, services, facilities, and information of any agency of the Federal Government, except that any such agency having custody of any data relating to any of the matters within the jurisdiction of the Director shall, to the extent permitted by law, upon request of the Director makes such data available to the Director. -SOURCE- (June 27, 1934, ch. 847, title XII, Sec. 1248, formerly Sec. 1238, as added Aug. 1, 1968, Pub. L. 90-448, title XI, Sec. 1103, 82 Stat. 566, renumbered Dec. 31, 1970, Pub. L. 91-609, title VI, Sec. 602(d), 84 Stat. 1789, and amended Nov. 30, 1983, Pub. L. 98-181, title IV, Sec. 452(b)(1), 97 Stat. 1230.) -MISC1- AMENDMENTS 1983 - Pub. L. 98-181 substituted 'Director' for 'Secretary' wherever appearing. ------DocID 16356 Document 14 of 1438------ -CITE- 12 USC CHAPTER 18 -EXPCITE- TITLE 12 CHAPTER 18 -HEAD- CHAPTER 18 - BANK SERVICE CORPORATIONS -MISC1- Sec. 1861. Short title and definitions. 1862. Amount of investment in bank service corporation. 1863. Permissible bank service corporation activities for depository institutions. 1864. Permissible bank service corporation activities for other persons. (a) Services permissible other than taking deposits. (b) Services to be performed in State where shareholders are located. (c) Performance where State bank is shareholder. (d) Performance where national bank is shareholder. (e) Performance where State bank and national bank are shareholders. (f) Geographic location. 1865. Prior approval for investments in bank service corporations. (a) Approval of Federal banking agency. (b) Approval of Board. (c) Considerations in determining approval. (d) Failure to act on application for approval. 1866. Services to nonstockholders. 1867. Regulation and examination of bank service corporations. (a) Principal investor. (b) Applicability of section 1818 of this title. (c) Services performed by contract or otherwise. (d) Issuance of regulations and orders. ------DocID 17457 Document 15 of 1438------ -CITE- 15 USC Sec. 18 -EXPCITE- TITLE 15 CHAPTER 1 -HEAD- Sec. 18. Acquisition by one corporation of stock of another -STATUTE- No person engaged in commerce or in any activity affecting commerce shall acquire, directly or indirectly, the whole or any part of the stock or other share capital and no person subject to the jurisdiction of the Federal Trade Commission shall acquire the whole or any part of the assets of another person engaged also in commerce or in any activity affecting commerce, where in any line of commerce or in any activity affecting commerce in any section of the country, the effect of such acquisition may be substantially to lessen competition, or to tend to create a monopoly. No person shall acquire, directly or indirectly, the whole or any part of the stock or other share capital and no person subject to the jurisdiction of the Federal Trade Commission shall acquire the whole or any part of the assets of one or more persons engaged in commerce or in any activity affecting commerce, where in any line of commerce or in any activity affecting commerce in any section of the country, the effect of such acquisition, of such stocks or assets, or of the use of such stock by the voting or granting of proxies or otherwise, may be substantially to lessen competition, or to tend to create a monopoly. This section shall not apply to persons purchasing such stock solely for investment and not using the same by voting or otherwise to bring about, or in attempting to bring about, the substantial lessening of competition. Nor shall anything contained in this section prevent a corporation engaged in commerce or in any activity affecting commerce from causing the formation of subsidiary corporations for the actual carrying on of their immediate lawful business, or the natural and legitimate branches or extensions thereof, or from owning and holding all or a part of the stock of such subsidiary corporations, when the effect of such formation is not to substantially lessen competition. Nor shall anything herein contained be construed to prohibit any common carrier subject to the laws to regulate commerce from aiding in the construction of branches or short lines so located as to become feeders to the main line of the company so aiding in such construction or from acquiring or owning all or any part of the stock of such branch lines, nor to prevent any such common carrier from acquiring and owning all or any part of the stock of a branch or short line constructed by an independent company where there is no substantial competition between the company owning the branch line so constructed and the company owning the main line acquiring the property or an interest therein, nor to prevent such common carrier from extending any of its lines through the medium of the acquisition of stock or otherwise of any other common carrier where there is no substantial competition between the company extending its lines and the company whose stock, property, or an interest therein is so acquired. Nothing contained in this section shall be held to affect or impair any right heretofore legally acquired: Provided, That nothing in this section shall be held or construed to authorize or make lawful anything heretofore prohibited or made illegal by the antitrust laws, nor to exempt any person from the penal provisions thereof or the civil remedies therein provided. Nothing contained in this section shall apply to transactions duly consummated pursuant to authority given by the Secretary of Transportation, Federal Communications Commission, Federal Power Commission, Interstate Commerce Commission, the Securities and Exchange Commission in the exercise of its jurisdiction under section 79j of this title, the United States Maritime Commission, or the Secretary of Agriculture under any statutory provision vesting such power in such Commission or Secretary. -SOURCE- (Oct. 15, 1914, ch. 323, Sec. 7, 38 Stat. 731; Dec. 29, 1950, ch. 1184, 64 Stat. 1125; Sept. 12, 1980, Pub. L. 96-349, Sec. 6(a), 94 Stat. 1157; Oct. 4, 1984, Pub. L. 98-443, Sec. 9(l), 98 Stat. 1708.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-443 substituted 'Secretary of Transportation' for 'Civil Aeronautics Board' and 'Commission or Secretary' for 'Commission, Secretary, or Board' in sixth par. 1980 - Pub. L. 96-349, substituted 'person' for 'corporation' wherever appearing in first and second pars.; substituted 'persons' for 'corporations' in second par. and first sentence of third par.; and inserted 'or in any activity affecting commerce' after 'commerce' wherever appearing in first, second, and third pars. 1950 - Act Dec. 29, 1950, amended section generally so as to prohibit the acquisition of the whole or any part of the assets of another corporation when the effect of the acquisition may substantially lessen competition or tend to create a monopoly. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-443 effective Jan. 1, 1985, see section 9(v) of Pub. L. 98-443, set out as a note under section 5314 of Title 5, Government Organization and Employees. EFFECTIVE DATE OF 1980 AMENDMENT Section 6(b) of Pub. L. 96-349 provided that: 'The amendments made by this section (amending this section) shall apply only with respect to acquisitions made after the date of the enactment of this Act (Sept. 12, 1980).' -TRANS- TRANSFER OF FUNCTIONS Federal Power Commission terminated and functions, personnel, property, funds, etc., transferred to Secretary of Energy (except for certain functions transferred to Federal Energy Regulatory Commission) by sections 7151(b), 7171(a), 7172(a), 7291, and 7293 of Title 42, The Public Health and Welfare. Executive and administrative functions of Maritime Commission transferred to Chairman of Maritime Commission by Reorg. Plan No. 6 of 1949, eff. Aug. 19, 1949, 14 F.R. 5228, 63 Stat. 1069, set out in the Appendix to Title 5, Government Organization and Employees. See, also, notes set out under section 1111 of Title 46, Appendix, Shipping. United States Maritime Commission abolished by Reorg. Plan No. 21 of 1950, eff. May 24, 1950, 15 F.R. 3178, 64 Stat. 1273, set out in the Appendix to Title 5, which transferred part of its functions and part of functions of its Chairman, to Federal Maritime Board and Chairman thereof, such Board having been created by that Plan as an agency within Department of Commerce with an independent status in some respects, and transferred remainder of such Commission's functions and functions of its Chairman to Secretary of Commerce, with power vested in Secretary to authorize their performance by Maritime Administrator (the head of Maritime Administration, which likewise established by the Plan in Department of Commerce) with provision that Chairman of Federal Maritime Board should, ex officio, be such Administrator. Section 304 of Reorg. Plan No. 7 of 1961, eff. Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840, set out in the Appendix to Title 5, abolished Federal Maritime Board, including offices of members of Board. Functions of Board transferred either to Federal Maritime Commission or Secretary of Commerce by sections 103 and 202 of Reorg. Plan No. 7 of 1961. Maritime Administration of Department of Commerce transferred to Department of Transportation, and all related functions of Secretary and other officers and offices of Department of Commerce transferred to Department of Transportation and vested in Secretary of Transportation, see section 1601 et seq. of Title 46, Appendix, Shipping. -CROSS- CROSS REFERENCES Acquisition of stock of export trade corporation, see section 63 of this title. Administrative authority to enforce compliance with this section, see section 21 of this title. Divestment of stock held contrary to the provisions of this section, see section 21 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 18a, 21, 26, 63 of this title. ------DocID 17760 Document 16 of 1438------ -CITE- 15 USC Sec. 80a-18 -EXPCITE- TITLE 15 CHAPTER 2D SUBCHAPTER I -HEAD- Sec. 80a-18. Capital structure of investment companies -STATUTE- (a) Qualifications on issuance of senior securities It shall be unlawful for any registered closed-end company to issue any class of senior security, or to sell any such security of which it is the issuer, unless - (1) if such class of senior security represents an indebtedness - (A) immediately after such issuance or sale, it will have an asset coverage of at least 300 per centum; (B) provision is made to prohibit the declaration of any dividend (except a dividend payable in stock of the issuer), or the declaration of any other distribution, upon any class of the capital stock of such investment company, or the purchase of any such capital stock, unless, in every such case, such class of senior securities has at the time of the declaration of any such dividend or distribution or at the time of any such purchase an asset coverage of at least 300 per centum after deducting the amount of such dividend, distribution, or purchase price, as the case may be, except that dividends may be declared upon any preferred stock if such senior security representing indebtedness has an asset coverage of at least 200 per centum at the time of declaration thereof after deducting the amount of such dividend; and (C) provision is made either - (i) that, if on the last business day of each of twelve consecutive calendar months such class of senior securities shall have an asset coverage of less than 100 per centum, the holders of such securities voting as a class shall be entitled to elect at least a majority of the members of the board of directors of such registered company, such voting right to continue until such class of senior security shall have an asset coverage of 110 per centum or more on the last business day of each of three consecutive calendar months, or (ii) that, if on the last business day of each of twenty-four consecutive calendar months such class of senior securities shall have an asset coverage of less than 100 per centum, an event of default shall be deemed to have occurred; (2) if such class of senior security is a stock - (A) immediately after such issuance or sale it will have an asset coverage of at least 200 per centum; (B) provision is made to prohibit the declaration of any dividend (except a dividend payable in common stock of the issuer), or the declaration of any other distribution, upon the common stock of such investment company, or the purchase of any such common stock, unless in every such case such class of senior security has at the time of the declaration of any such dividend or distribution or at the time of any such purchase an asset coverage of at least 200 per centum after deducting the amount of such dividend, distribution or purchase price, as the case may be; (C) provision is made to entitle the holders of such senior securities, voting as a class, to elect at least two directors at all times, and, subject to the prior rights, if any, of the holders of any other class of senior securities outstanding, to elect a majority of the directors if at any time dividends on such class of securities shall be unpaid in an amount equal to two full years' dividends on such securities, and to continue to be so represented until all dividends in arrears shall have been paid or otherwise provided for; (D) provision is made requiring approval by the vote of a majority of such securities, voting as a class, of any plan of reorganization adversely affecting such securities or of any action requiring a vote of security holders as in section 80a-13(a) of this title provided; and (E) such class of stock shall have complete priority over any other class as to distribution of assets and payment of dividends, which dividends shall be cumulative. (b) Asset coverage in respect of senior securities The asset coverage in respect of a senior security provided for in subsection (a) of this section may be determined on the basis of values calculated as of a time within forty-eight hours (not including Sundays or holidays) next preceding the time of such determination. The time of issue or sale shall, in the case of an offering of such securities to existing stockholders of the issuer, be deemed to be the first date on which such offering is made, and in all other cases shall be deemed to be the time as of which a firm commitment to issue or sell and to take or purchase such securities shall be made. (c) Prohibitions relating to issuance of senior securities Notwithstanding the provisions of subsection (a) of this section it shall be unlawful for any registered closed-end investment company to issue or sell any senior security representing indebtedness if immediately thereafter such company will have outstanding more than one class of senior security representing indebtedness, or to issue or sell any senior security which is a stock if immediately thereafter such company will have outstanding more than one class of senior security which is a stock, except that (1) any such class of indebtedness or stock may be issued in one or more series: Provided, That no such series shall have a preference or priority over any other series upon the distribution of the assets of such registered closed-end company or in respect of the payment of interest or dividends, and (2) promissory notes or other evidences of indebtedness issued in consideration of any loan, extension, or renewal thereof, made by a bank or other person and privately arranged, and not intended to be publicly distributed, shall not be deemed to be a separate class of senior securities representing indebtedness within the meaning of this subsection. (d) Warrants and rights to subscription It shall be unlawful for any registered management company to issue any warrant or right to subscribe to or purchase a security of which such company is the issuer, except in the form of warrants or rights to subscribe expiring not later than one hundred and twenty days after their issuance and issued exclusively and ratably to a class or classes of such company's security holders; except that any warrant may be issued in exchange for outstanding warrants in connection with a plan of reorganization. (e) Application of section to specific senior securities The provisions of this section shall not apply to any senior securities issued or sold by any registered closed-end company - (1) for the purpose of refunding through payment, purchase, redemption, retirement, or exchange, any senior security of such registered investment company except that no senior security representing indebtedness shall be so issued or sold for the purpose of refunding any senior security which is a stock; or (2) pursuant to any plan of reorganization (other than for refunding as referred to in subsection (e)(2) (FOOTNOTE 1) of this section), provided - (FOOTNOTE 1) So in original. Probably should be subsection '(e)(1)'. (A) that such senior securities are issued or sold for the purpose of substituting or exchanging such senior securities for outstanding senior securities, and if such senior securities represent indebtedness they are issued or sold for the purpose of substituting or exchanging such senior securities for outstanding senior securities representing indebtedness, of any registered investment company which is a party to such plan of reorganization; or (B) that the total amount of such senior securities so issued or sold pursuant to such plan does not exceed the total amount of senior securities of all the companies which are parties to such plan, and the total amount of senior securities representing indebtedness so issued or sold pursuant to such plan does not exceed the total amount of senior securities representing indebtedness of all such companies, or, alternatively, the total amount of such senior securities so issued or sold pursuant to such plan does not have the effect of increasing the ratio of senior securities representing indebtedness to the securities representing stock or the ratio of senior securities representing stock to securities junior thereto when compared with such ratios as they existed before such reorganization. (f) Senior securities securing loans from bank; securities not included in 'senior security' (1) It shall be unlawful for any registered open-end company to issue any class of senior security or to sell any senior security of which it is the issuer, except that any such registered company shall be permitted to borrow from any bank: Provided, That immediately after any such borrowing there is an asset coverage of at least 300 per centum for all borrowings of such registered company: And provided further, That in the event that such asset coverage shall at any time fall below 300 per centum such registered company shall, within three days thereafter (not including Sundays and holidays) or such longer period as the Commission may prescribe by rules and regulations, reduce the amount of its borrowings to an extent that the asset coverage of such borrowings shall be at least 300 per centum. (2) 'Senior security' shall not, in the case of a registered open-end company, include a class or classes or a number of series of preferred or special stock each of which is preferred over all other classes or series in respect of assets specifically allocated to that class or series: Provided, That (A) such company has outstanding no class or series of stock which is not so preferred over all other classes or series, or (B) the only other outstanding class of the issuer's stock consists of a common stock upon which no dividend (other than a liquidating dividend) is permitted to be paid and which in the aggregate represents not more than one-half of 1 per centum of the issuer's outstanding voting securities. For the purpose of insuring fair and equitable treatment of the holders of the outstanding voting securities of each class or series of stock of such company, the Commission may by rule, regulation, or order direct that any matter required to be submitted to the holders of the outstanding voting securities of such company shall not be deemed to have been effectively acted upon unless approved by the holders of such percentage (not exceeding a majority) of the outstanding voting securities of each class or series of stock affected by such matter as shall be prescribed in such rule, regulation, or order. (g) 'Senior security' defined Unless otherwise provided: 'Senior security' means any bond, debenture, note, or similar obligation or instrument constituting a security and evidencing indebtedness, and any stock of a class having priority over any other class as to distribution of assets or payment of dividends; and 'senior security representing indebtedness' means any senior security other than stock. The term 'senior security', when used in subparagraphs (B) and (C) of paragraph (1) of subsection (a) of this section, shall not include any promissory note or other evidence of indebtedness issued in consideration of any loan, extension, or renewal thereof, made by a bank or other person and privately arranged, and not intended to be publicly distributed; nor shall such term, when used in this section, include any such promissory note or other evidence of indebtedness in any case where such a loan is for temporary purposes only and in an amount not exceeding 5 per centum of the value of the total assets of the issuer at the time when the loan is made. A loan shall be presumed to be for temporary purposes if it is repaid within sixty days and is not extended or renewed; otherwise it shall be presumed not to be for temporary purposes. Any such presumption may be rebutted by evidence. (h) 'Asset coverage' defined 'Asset coverage' of a class of senior security representing an indebtedness of an issuer means the ratio which the value of the total assets of such issuer, less all liabilities and indebtedness not represented by senior securities, bears to the aggregate amount of senior securities representing indebtedness of such issuer. 'Asset coverage' of a class of senior security of an issuer which is a stock means the ratio which the value of the total assets of such issuer, less all liabilities and indebtedness not represented by senior securities, bears to the aggregate amount of senior securities representing indebtedness of such issuer plus the aggregate of the involuntary liquidation preference of such class of senior security which is a stock. The involuntary liquidation preference of a class of senior security which is a stock shall be deemed to mean the amount to which such class of senior security would be entitled on involuntary liquidation of the issuer in preference to a security junior to it. (i) Future issuance of stock as voting stock; exceptions Except as provided in subsection (a) of this section, or as otherwise required by law, every share of stock hereafter issued by a registered management company (except a common-law trust of the character described in section 80a-16(c) of this title) shall be a voting stock and have equal voting rights with every other outstanding voting stock: Provided, That this subsection shall not apply to shares issued pursuant to the terms of any warrant or subscription right outstanding on March 15, 1940, or any firm contract entered into before March 15, 1940, to purchase such securities from such company nor to shares issued in accordance with any rules, regulations, or orders which the Commission may make permitting such issue. (j) Securities issued by registered face-amount certificate company Notwithstanding any provision of this subchapter, it shall be unlawful, after August 22, 1940, for any registered face-amount certificate company - (1) to issue, except in accordance with such rules, regulations, or orders as the Commission may prescribe in the public interest or as necessary or appropriate for the protection of investors, any security other than (A) a face-amount certificate; (B) a common stock having a par value and being without preference as to dividends or distributions and having at least equal voting rights with any outstanding security of such company; or (C) short-term payment or promissory notes or other indebtedness issued in consideration of any loan, extension, or renewal thereof, made by a bank or other person and privately arranged and not intended to be publicly offered; (2) if such company has outstanding any security, other than such face-amount certificates, common stock, promissory notes, or other evidence of indebtedness, to make any distribution or declare or pay any dividend on any capital security in contravention of such rules and regulations or orders as the Commission may prescribe in the public interest or as necessary or appropriate for the protection of investors or to insure the financial integrity of such company, to prevent the impairment of the company's ability to meet its obligations upon its face-amount certificates; or (3) to issue any of its securities except for cash or securities including securities of which such company is the issuer. (k) Application of section to companies operating under Small Business Investment Act provisions The provisions of subparagraphs (A) and (B) of paragraph (1) of subsection (a) of this section shall not apply to investment companies operating under the Small Business Investment Act of 1958 (15 U.S.C. 661 et seq.), and the provisions of paragraph (2) of said subsection shall not apply to such companies so long as such class of senior security shall be held or guaranteed by the Small Business Administration. -SOURCE- (Aug. 22, 1940, ch. 686, title I, Sec. 18, 54 Stat. 817; Aug. 21, 1958, Pub. L. 85-699, title III, Sec. 307(c), 72 Stat. 694; Dec. 14, 1970, Pub. L. 91-547, Sec. 10, 84 Stat. 1421; Aug. 21, 1958, Pub. L. 85-699, title III, Sec. 319, as added Oct. 27, 1972, Pub. L. 92-595, Sec. 2(g), 86 Stat. 1316; June 4, 1975, Pub. L. 94-29, Sec. 28(4), 89 Stat. 165; Dec. 4, 1987, Pub. L. 100-181, title VI, Sec. 613, 101 Stat. 1261.) -REFTEXT- REFERENCES IN TEXT The Small Business Investment Act of 1958, referred to in subsec. (k), is Pub. L. 85-699, Aug. 21, 1958, 72 Stat. 689, as amended, which is classified principally to chapter 14B (Sec. 661 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 661 of this title and Tables. -MISC2- AMENDMENTS 1987 - Subsec. (e). Pub. L. 100-181 redesignated pars. (2) and (3) as (1) and (2), respectively, and struck out former par. (1) which read as follows: 'pursuant to any firm contract to purchase or sell entered into prior to March 15, 1940;'. 1975 - Subsec. (i). Pub. L. 94-29 substituted 'section 80a-16(c) of this title' for 'section 80a-16(b) of this title'. 1972 - Subsec. (k). Section 319 of Pub. L. 85-699, as added by Pub. L. 92-595, inserted provision that subsec. (a)(2) shall not apply to companies operating under the Small Business Investment Act of 1958, so long as such class of senior security shall be held or guaranteed by the Small Business Administration. 1970 - Subsec. (f)(2). Pub. L. 91-547 substituted 'That (A)' and 'or (B) the' for '(A) That' and 'or (B) that the' and inserted provision for purpose of insuring fair and equitable treatment of the holders of the outstanding voting securities of each class or series of stock of such company, that the Commission may by rule, regulation, or order direct that any matter required to be submitted to the holders of the outstanding voting securities of such company shall not be deemed to have been effectively acted upon unless approved by the holders of such percentage (not exceeding a majority) of the outstanding voting securities of each class or series of stock affected by such matter as shall be prescribed in such rule, regulation, or order. 1958 - Subsec. (k). Pub. L. 85-699 added subsec. (k). EFFECTIVE DATE OF 1975 AMENDMENT Amendment by Pub. L. 94-29 effective June 4, 1975, see section 31(a) of Pub. L. 94-29, set out as a note under section 78b of this title. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-547 effective Dec. 14, 1970, see section 30 of Pub. L. 91-547, set out as a note under section 80a-52 of this title. -TRANS- TRANSFER OF FUNCTIONS For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title. -CROSS- CROSS REFERENCES Sale by closed-end company of common stock upon warrant, see section 80a-23 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 80a-6, 80a-23, 80a-60 of this title. ------DocID 17827 Document 17 of 1438------ -CITE- 15 USC Sec. 80b-18 -EXPCITE- TITLE 15 CHAPTER 2D SUBCHAPTER II -HEAD- Sec. 80b-18. Hiring and leasing authority of Commission -STATUTE- The provisions of section 78d(b) of this title shall be applicable with respect to the power of the Commission - (1) to appoint and fix the compensation of such other employees as may be necessary for carrying out its functions under this subchapter, and (2) to lease and allocate such real property as may be necessary for carrying out its functions under this subchapter. -SOURCE- (Aug. 22, 1940, ch. 686, title II, Sec. 218, 54 Stat. 857; Oct. 28, 1949, ch. 782, title XI, Sec. 1106(a), 63 Stat. 972; Nov. 15, 1990, Pub. L. 101-550, title I, Sec. 104(d), 104 Stat. 2714.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-550 amended section generally. Prior to amendment, section related to appointment and compensation of employees. 1949 - Act Oct. 28, 1949, substituted 'Classification Act of 1949' for 'Classification Act of 1923'. REPEALS Act Oct. 28, 1949, ch. 782, cited as a credit to this section, was repealed (subject to a savings clause) by Pub. L. 89-554, Sept. 6, 1966, Sec. 8, 80 Stat. 632, 655. -TRANS- TRANSFER OF FUNCTIONS For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title. ------DocID 18334 Document 18 of 1438------ -CITE- 15 USC CHAPTER 18 -EXPCITE- TITLE 15 CHAPTER 18 -HEAD- CHAPTER 18 - TRANSPORTATION OF FIREARMS ------DocID 19599 Document 19 of 1438------ -CITE- 16 USC Sec. 18 -EXPCITE- TITLE 16 CHAPTER 1 SUBCHAPTER I -HEAD- Sec. 18. Promotion of tourist travel -STATUTE- The Secretary of Commerce shall encourage, promote, and develop travel within the United States, including any Commonwealth, territory, and possession thereof, through activities which are in the public interest and which do not compete with activities of any State, city, or private agency. -SOURCE- (July 19, 1940, ch. 642, Sec. 1, 54 Stat. 773; Dec. 19, 1973, Pub. L. 93-193, Sec. 2, 87 Stat. 765; July 9, 1975, Pub. L. 94-55, Sec. 2(b), 89 Stat. 262.) -MISC1- AMENDMENTS 1975 - Pub. L. 94-55 substituted 'shall encourage, promote, and develop travel within the United States, including any Commonwealth, territory, and possession thereof, through activities which are in the public interest and which do not compete with activities of any State, city, or private agency' for 'is authorized and directed to encourage, promote, and develop travel within the United States, its Territories and possessions, providing such activities do not compete with the activities of private agencies; and to administer all existing travel promotion functions of the Department of Commerce'. -TRANS- TRANSFER OF FUNCTIONS Section 2 of Pub. L. 93-193, Dec. 19, 1973, 87 Stat. 765, provided that: '(a) There are hereby transferred to and vested in the Secretary of Commerce all functions, powers, and duties of the Secretary of the Interior and other offices and officers of the Department of the Interior under the Act of July 19, 1940 (54 Stat. 773; 16 U.S.C. 18-18d). '(b) The assets, liabilities, contracts, property, records, authorizations, and allocations, employed, held, used, rising from, available or to be made available in connection with the functions, powers, and duties transferred by subsection (a) of this section are hereby transferred to the Secretary of Commerce.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 18a to 18d of this title. ------DocID 21084 Document 20 of 1438------ -CITE- 16 USC Sec. 460l-18 -EXPCITE- TITLE 16 CHAPTER 1 SUBCHAPTER LXIX Part C -HEAD- Sec. 460l-18. Authority of Secretary of the Interior -STATUTE- (a) Provision of facilities, acquisition of lands, and provision for public use and enjoyment of project lands, facilities, and water areas in coordination with other project purposes; limitation per project; execution of agreements before providing lands, facilities, and project modifications The Secretary is authorized, in conjunction with any reservoir heretofore constructed by him pursuant to the Federal reclamation laws or any reservoir which is otherwise under his control, except reservoirs within national wildlife refuges, to investigate, plan, construct, operate and maintain, or otherwise provide for public outdoor recreation and fish and wildlife enhancement facilities, to acquire or otherwise make available such adjacent lands or interests therein as are necessary for public outdoor recreation or fish and wildlife use, and to provide for public use and enjoyment of project lands, facilities, and water areas in a manner coordinated with the other project purposes: Provided, That not more than $100,000 shall be available to carry out the provisions of this subsection at any one reservoir. Lands, facilities and project modifications for the purposes of this subsection may be provided only after an agreement in accordance with section 460l-14(b) of this title has been executed. (b) Agreements with government agencies to promote development and operation of lands or facilities for recreation and fish and wildlife enhancement purposes The Secretary of the Interior is authorized to enter into agreements with Federal agencies or State or local public bodies for the administration of project land and water areas and the operation, maintenance, and replacement of facilities and to transfer project lands or facilities to Federal agencies or State or local public bodies by lease agreement or exchange upon such terms and conditions as will best promote the development and operation of such lands or facilities in the public interest for recreation and fish and wildlife enhancement purposes. (c) Transfer of lands; consent of other Federal agencies to use of lands for recreation or fish and wildlife purposes; transfers to Secretary of Agriculture of forest lands; continuing administration of lands and waters for other project purposes; prohibition against limitation of authority under existing provisions of law No lands under the jurisdiction of any other Federal agency may be included for or devoted to recreation or fish and wildlife purposes under the authority of this section without the consent of the head of such agency; and the head of any such agency is authorized to transfer any such lands to the jurisdiction of the Secretary of the Interior for purposes of this section. The Secretary of the Interior is authorized to transfer jurisdiction over project lands within or adjacent to the exterior boundaries of national forests and facilities thereon to the Secretary of Agriculture for recreation and other national forest system purposes; and such transfer shall be made in each case in which the project reservoir area is located wholly within the exterior boundaries of a national forest unless the Secretaries of Agriculture and Interior jointly determine otherwise. Where any project lands are transferred hereunder to the jurisdiction of the Secretary of Agriculture, the lands involved shall become national forest lands: Provided, That the lands and waters within the flow lines of any reservoir or otherwise needed or used for the operation of the project for other purposes shall continue to be administered by the Secretary of the Interior to the extent he determines to be necessary for such operation. Nothing herein shall limit the authority of the Secretary of the Interior granted by existing provisions of law relating to recreation or fish and wildlife development in connection with water resource projects or to disposition of public lands for such purposes. -SOURCE- (Pub. L. 89-72, Sec. 7, July 9, 1965, 79 Stat. 216.) -REFTEXT- REFERENCES IN TEXT The Federal reclamation laws, referred to in subsec. (a), are classified generally to chapter 12 (Sec. 371 et seq.) of Title 43, Public Lands. ------DocID 21111 Document 21 of 1438------ -CITE- 16 USC Sec. 460m-18 -EXPCITE- TITLE 16 CHAPTER 1 SUBCHAPTER LXXI-A -HEAD- Sec. 460m-18. Zoning laws and ordinances; establishment; assistance; restrictions; variances -STATUTE- The Secretary shall on his own initiative, or at the request of any local government having jurisdiction over land located in or adjacent to the Gorge area, assist and consult with the appropriate officials and employees of such local government in establishing zoning laws or ordinances which will assist in achieving the purposes of this subchapter. In providing assistance pursuant to this section, the Secretary shall endeavor to obtain provisions in such zoning laws or ordinances which - (1) have the effect of restricting incompatible commercial and industrial use of all real property in or adjacent to the Gorge area; (2) aid in preserving the character of the Gorge area by appropriate restrictions on the use of real property in the vicinity, including, but not limited to, restrictions upon building and construction of all types; signs and billboards; the burning of cover; cutting of timber; removal of topsoil, sand, or gravel; dumping, storage, or piling of refuse; or any other use which would detract from the esthetic character of the Gorge area; and (3) have the effect of providing that the Secretary shall receive advance notice of any hearing for the purpose of granting a variance and any variance granted under, and of any exception made to, the application of such law or ordinance. -SOURCE- (Pub. L. 95-625, title XI, Sec. 1104, Nov. 10, 1978, 92 Stat. 3546.) ------DocID 21208 Document 22 of 1438------ -CITE- 16 USC Sec. 460u-18 -EXPCITE- TITLE 16 CHAPTER 1 SUBCHAPTER LXXIX -HEAD- Sec. 460u-18. Study of areas III-A, III-C, and II-A; report to Congressional committees -STATUTE- By July 1, 1977, the Secretary shall prepare and transmit to the Committees on Interior and Insular Affairs of the United States Congress a study of areas III-A, III-C, and II-A, as designated on map numbered 626-91007. The Secretary shall make reasonable provision for the timely participation of the State of Indiana, local public officials, affected property owners, and the general public in the formulation of said study, including, but not limited to, the opportunity to testify at a public hearing. The record of such hearing shall accompany said study. With respect to areas III-A and III-C, the study shall (a) address the desirability of acquisition of any or all of the area from the standpoint of resource management, protection, and public access; (b) develop alternatives for the control of beach erosion if desirable, including recommendations, if control is necessary, of assessing the costs of such control against those agencies responsible for such erosion; (c) consider and propose options to guarantee public access to and use of the beach area, including the location of necessary facilities for transportation, health, and safety; (d) detail the recreational potential of the area and all available alternatives for achieving such potential; (e) review the environmental impact upon the lakeshore resulting from the potential development and improvement of said areas; and (f) assess the cost to the United States from both the acquisition of said areas together with the potential savings from the retention of rights of use and occupancy and from the retention of the boundaries of the lakeshore, as designated on map numbered 626-91007, including the costs of additional administrative responsibilities necessary for the management of the lakeshore, including the maintenance of public services in the town of Beverly Shores, Indiana. With respect to area II-A, the Secretary shall study and report concerning the following objectives: (a) preservation of the remaining dunes, wetlands, native vegetation, and animal life within the area; (b) preservation and restoration of the watersheds of Cowles Bog and its associated wetlands; (c) appropriate public access to and use of lands within the area; (d) protection of the area and the adjacent lakeshore from degradation caused by all forms of construction, pollution, or other adverse impacts including, but not limited to, the discharge of wastes and any excessive subsurface migration of water; and (e) the economic consequences to the utility and its customers of acquisition of such area. -SOURCE- (Pub. L. 89-761, Sec. 18, formerly Sec. 19, added and renumbered Pub. L. 94-549, Sec. 1(8), (9), Oct. 18, 1976, 90 Stat. 2532, 2533.) -CHANGE- CHANGE OF NAME Committee on Interior and Insular Affairs of the Senate abolished and replaced by Committee on Energy and Natural Resources of the Senate, effective Feb. 11, 1977. See Rule XXV of Standing Rules of the Senate, as amended by Senate Resolution 4 (popularly cited as the 'Committee System Reorganization Amendments of 1977'), approved Feb. 4, 1977. ------DocID 21452 Document 23 of 1438------ -CITE- 16 USC Sec. 460vv-18 -EXPCITE- TITLE 16 CHAPTER 1 SUBCHAPTER CVII -HEAD- Sec. 460vv-18. Land acquisition -STATUTE- (a) Authority The Secretary of Agriculture is authorized to acquire by donation, purchase with donated or appropriated funds, or exchange, any lands or interests therein, which the Secretary determines are needed to establish and manage the Winding Stair Mountain National Recreation and Wilderness Area. (b) Offers In exercising the authority conferred by this section to acquire lands, the Secretary of Agriculture shall give prompt and careful consideration to any offer made by an individual owning any land, or interest in land, within the Winding Stair Mountain National Recreation and Wilderness Area. In considering any such offer, the Secretary shall take into consideration any hardship to the owner which might result from any undue delay in acquiring the property. (c) Additional facilities The Secretary of Agriculture may acquire sites at locations outside such boundaries of the Winding Stair Mountain National Recreation and Wilderness Area, as he determines necessary, for visitor orientation and the establishment of a lodge and additional facilities to enhance the quality of the area. (d) Additional lands Notwithstanding the limitations contained in section 460l-9(a)(1) of this title, the Secretary of Agriculture may acquire by purchase, exchange, donation or otherwise any right, title, and interest in lands in Le Flore County, Oklahoma, which are outside the boundaries of the Ouachita National Forest. No such right, title or interest may be acquired without the consent of the owner thereof. All lands and interests therein acquired under this subsection shall be administered by the Secretary of Agriculture in accordance with the Act of March 1, 1911, commonly referred to as the Weeks Act (36 Stat. 961) and in accordance with the laws, rules, and regulations generally applicable to units of the national forest system. The Secretary of Agriculture shall extend the boundaries of the Ouachita National Forest to include such lands. -SOURCE- (Pub. L. 100-499, Sec. 20, Oct. 18, 1988, 102 Stat. 2499.) -REFTEXT- REFERENCES IN TEXT Act of March 1, 1911, commonly referred to as the Weeks Law, referred to in subsec. (d), is act Mar. 1, 1911, ch. 186, 36 Stat. 961, as amended, which is classified to sections 480, 500, 513 to 519, 521, 552, and 563 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 552 of this title and Tables. ------DocID 22761 Document 24 of 1438------ -CITE- 16 USC CHAPTER 18 -EXPCITE- TITLE 16 CHAPTER 18 -HEAD- CHAPTER 18 - WATERSHED PROTECTION AND FLOOD PREVENTION -MISC1- Sec. 1001. Declaration of policy. 1002. Definitions 1003. Assistance to local organizations. 1003a. Cost share assistance. (a) Easements. (b) Amount. 1004. Conditions for Federal assistance. 1005. Works of improvement. (1) Engineering and other services; reimbursement; advances. (2) Federal construction; request by local organization. (3) Transmission of certain plans to Congress. (4) Transmission of certain plans and recommendations to Congress. (5) Rules and regulations. 1006. Cooperative programs. 1006a. Loans or advancements for financing local share of costs; repayment; interest, maximum amount. 1006b. Territorial application. 1007. Authorization of appropriations. 1008. Notification of Secretary of the Interior of approval of assistance; surveys and investigations; report and recommendations; consideration; cost of surveys, investigations and reports. 1009. Joint investigations and surveys by Secretary of the Army and Secretary of Agriculture; reports to Congress. 1010. Data. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to section 460l-17 of this title; title 7 section 1931; title 22 section 277d-29; title 30 section 1265; title 33 sections 1288, 2298, 2311; title 40 App. section 214; title 42 section 3131. ------DocID 7720 Document 25 of 1438------ -CITE- 2 USC CHAPTER 18 -EXPCITE- TITLE 2 CHAPTER 18 -HEAD- CHAPTER 18 - LEGISLATIVE PERSONNEL FINANCIAL DISCLOSURE REQUIREMENTS ------DocID 23784 Document 26 of 1438------ -CITE- 18 USC PART I -EXPCITE- TITLE 18 PART I -HEAD- PART I - CRIMES -MISC1- Chap. Sec. 1. General provisions 1 2. Aircraft and motor vehicles 31 3. Animals, birds, fish, and plants 41 5. Arson 81 7. Assault 111 9. Bankruptcy 151 10. Biological Weapons (FOOTNOTE 1) 175 (FOOTNOTE 1) So in original. Probably should not be capitalized. 11. Bribery, graft, and conflicts of interest 201 12. Civil disorders 231 13. Civil rights 241 15. Claims and services in matters affecting government 281 17. Coins and currency 331 17A. Common carrier operation under the influence of alcohol or drugs 341 18. Congressional, Cabinet, and Supreme Court assassination, kidnaping, and assault 351 19. Conspiracy 371 21. Contempts 401 23. Contracts 431 25. Counterfeiting and forgery 471 27. Customs 541 29. Elections and political activities 591 31. Embezzlement and theft 641 33. Emblems, insignia, and names (FOOTNOTE 2) 701 (FOOTNOTE 2) So in original. Probably should be '700'. 35. Escape and rescue 751 37. Espionage and censorship 791 39. Explosives and combustibles (FOOTNOTE 3) 831 (FOOTNOTE 3) Chapter heading amended by Pub. L. 86-710 without corresponding amendment of part analysis. 40. Importation, manufacture, distribution and storage of explosive materials 841 41. Extortion and threats 871 42. Extortionate credit transactions 891 43. False personation 911 44. Firearms 921 45. Foreign relations 951 46. Forfeiture 981 47. Fraud and false statements 1001 49. Fugitives from justice 1071 50. Gambling 1081 50A. Genocide 1091 51. Homicide 1111 53. Indians 1151 55. Kidnaping 1201 57. Labor 1231 59. Liquor traffic 1261 61. Lotteries 1301 63. Mail fraud 1341 65. Malicious mischief 1361 67. Military and Navy 1381 (68. Repealed.) 69. Nationality and citizenship 1421 71. Obscenity 1461 73. Obstruction of justice 1501 75. Passports and visas 1541 77. Peonage and slavery 1581 79. Perjury 1621 81. Piracy and privateering 1651 83. Postal service 1691 84. Presidential and Presidential staff assassination, kidnaping, and assault 1751 85. Prison-made goods 1761 87. Prisons 1791 89. Professions and occupations 1821 91. Public lands 1851 93. Public officers and employees 1901 95. Racketeering 1951 96. Racketeer influenced and corrupt organizations 1961 97. Railroads 1991 (99. Repealed.) 101. Records and reports 2071 102. Riots 2101 103. Robbery and burglary 2111 105. Sabotage 2151 107. Seamen and stowaways 2191 109. Searches and seizures 2231 109A. Sexual abuse 2241 110. Sexual exploitation and other abuse of children 2251 111. Shipping 2271 113. Stolen property 2311 113A. Terrorism 2331 114. Trafficking in Contraband Cigarettes (FOOTNOTE 4) 2341 (FOOTNOTE 4) So in original. First word only of item should be capitalized. 115. Treason, sedition, and subversive activities 2381 117. Transportation for illegal sexual activity and related crimes 2421 119. Wire and electronic communications interception and interception of oral communications (FOOTNOTE 5) 2510 (FOOTNOTE 5) Editorially supplied. Chapter 119 added by Pub. L. 90-351 without corresponding amendment of part analysis. 121. Stored wire and electronic communications and transactional records access 2701 AMENDMENTS 1990 - Pub. L. 101-647, title II, Sec. 226(g)(3), Nov. 29, 1990, 104 Stat. 4808, inserted 'and other abuse' after 'exploitation' in item for chapter 110. Pub. L. 101-519, Sec. 132(c), Nov. 5, 1990, 104 Stat. 2252, substituted 'Terrorism' for 'Extraterritorial jurisdiction over terrorist acts abroad against United States nationals' in item for chapter 113A. Pub. L. 101-298, Sec. 3(c), May 22, 1990, 104 Stat. 203, added item for chapter 10. 1988 - Pub. L. 100-690, title VII, Sec. 7063, Nov. 18, 1988, 102 Stat. 4404, substituted 'Bribery, graft, and conflicts of interest' for 'Bribery and graft' in item for chapter 11, substituted 'carrier operation under the influence of alcohol or drugs....341' for 'Carrier Operation Under the Influence of Alcohol or Drugs' in item for chapter 17A, substituted 'abuse' for 'Abuse', in item for chapter 109A, struck out final period and inserted '....2331' in item for chapter 113A, and substituted 'wire and electronic communications and transactional records access' for 'Wire and Electronic Communications and Transactional Records Access' in item for chapter 121. Pub. L. 100-606, Sec. 2(b), Nov. 4, 1988, 102 Stat. 3047, added item for chapter 50A. 1986 - Pub. L. 99-646, Sec. 87(c)(7), Nov. 10, 1986, 100 Stat. 3623, and Pub. L. 99-654, Sec. 3(a)(7), Nov. 14, 1986, 100 Stat. 3663, amended analysis identically, striking out item for chapter 99 'Rape' and adding item for chapter 109A. Pub. L. 99-628, Sec. 5(a)(2), Nov. 7, 1986, 100 Stat. 3511, substituted 'Transportation for illegal sexual activity and related crimes' for 'White slave traffic' as item for chapter 117. Pub. L. 99-570, title I, Sec. 1366(b), 1971(b), Oct. 27, 1986, 100 Stat. 3207-39, 3207-59, added items for chapters 17A and 46. Pub. L. 99-508, title I, Sec. 101(c)(3), title II, Sec. 201(b), Oct. 21, 1986, 100 Stat. 1851, 1868, inserted 'and electronic communications' in item for chapter 119 and added item for chapter 121. Pub. L. 99-399, title XII, Sec. 1202(b), Aug. 27, 1986, 100 Stat. 897, added item for chapter 113A. 1982 - Pub. L. 97-285, Sec. 2(d), 4(d), Oct. 6, 1982, 96 Stat. 1219, 1220, substituted 'Congressional, Cabinet, and Supreme Court assassination, kidnaping, and assault' for 'Congressional assassination, kidnaping, and assault' as item for chapter 18, and inserted 'and Presidential staff' after 'Presidential' in item for chapter 84. 1978 - Pub. L. 95-575, Sec. 2, Nov. 2, 1978, 92 Stat. 2465, added item for chapter 114. Pub. L. 95-225, Sec. 2(b), Feb. 6, 1978, 92 Stat. 8, added item for chapter 110. 1971 - Pub. L. 91-644, title IV, Sec. 17, Jan. 2, 1971, 84 Stat. 1891, added item for chapter 18. 1970 - Pub. L. 91-513, title III, Sec. 1101(b)(1)(B), Oct. 27, 1970, 84 Stat. 1292, struck out item for chapter 68 'Narcotics'. Pub. L. 91-452, title IX, Sec. 901(b), title XI, Sec. 1102(b), Oct. 15, 1970, 84 Stat. 947, 959, added items for chapters 40 and 96. 1968 - Pub. L. 90-351, title IV, Sec. 905, June 19, 1968, 82 Stat. 234, added item for chapter 44. Pub. L. 90-321, title II, Sec. 202(b), May 29, 1968, 82 Stat. 162, added item for chapter 42. Pub. L. 90-284, title I, Sec. 104(b), title X, Sec. 1002(b), Apr. 11, 1968, 82 Stat. 77, 92, added items for chapters 12 and 102. 1965 - Pub. L. 89-141, Sec. 3, Aug. 28, 1965, 79 Stat. 581, added item for chapter 84. 1956 - Act Aug. 1, 1956, ch. 825, Sec. 2(a), 70 Stat. 798, substituted 'Animals, Birds, Fish, and Plants' for 'Animals, Birds, and Fish' in item for chapter 3. Act July 18, 1956, ch. 629, Sec. 202, 70 Stat. 575, added item for chapter 68. Act July 14, 1956, ch. 595, Sec. 2, 70 Stat. 540, added item for chapter 2. 1949 - Act May 24, 1949, ch. 139, Sec. 1, 63 Stat. 89, struck out 'constituting crimes' in item for chapter 21, and added item for chapter 50. ------DocID 23785 Document 27 of 1438------ -CITE- 18 USC CHAPTER 1 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- CHAPTER 1 - GENERAL PROVISIONS -MISC1- Sec. 1. Repealed. 2. Principals. 3. Accessory after the fact. 4. Misprision of felony. 5. United States defined. 6. Department and agency defined. 7. Special maritime and territorial jurisdiction of the United States defined. 8. Obligation or other security of the United States defined. 9. Vessel of the United States defined. 10. Interstate commerce and foreign commerce defined. 11. Foreign government defined. 12. United States Postal Service defined. 13. Laws of States adopted for areas within Federal jurisdiction. 14. Applicability to Canal Zone; definition. 15. Obligation or other security of foreign government defined. 16. Crime of violence defined. 17. Insanity defense. 18. Organization defined. 19. Petty offense defined. 20. Financial institution defined. SENATE REVISION AMENDMENT In the analysis of sections under this chapter heading, a new item, '14. Applicability to Canal Zone.', was inserted by Senate amendment, to follow underneath item 13, inasmuch as a new section 14, with such a catchline, was inserted, by Senate amendment, in this chapter. See Senate Report No. 1620, amendments Nos. 1 and 3, 80th Cong. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3504, Nov. 29, 1990, 104 Stat. 4921, substituted 'defense' for 'Defense' in item 17. 1989 - Pub. L. 101-73, title IX, Sec. 962(e)(3), Aug. 9, 1989, 103 Stat. 504, added item 20. 1987 - Pub. L. 100-185, Sec. 4(b), Dec. 11, 1987, 101 Stat. 1279, added item 19. 1986 - Pub. L. 99-646, Sec. 34(b), 38(b), Nov. 10, 1986, 100 Stat. 3599, renumbered item 20 as 17 and added item 18. 1984 - Pub. L. 98-473, title II, Sec. 218(b), 402(b), 1001(b), Oct. 12, 1984, 98 Stat. 2027, 2057, 2136, substituted 'Repealed' for 'Offenses classified' in item 1 and added items 16 and 20. 1970 - Pub. L. 91-375, Sec. 6(j)(1), Aug. 12, 1970, 84 Stat. 777, inserted 'United States' before 'Postal Service' in item 12. 1962 - Pub. L. 87-845, Sec. 3(b), Oct. 18, 1962, 76A Stat. 698, inserted '; definition' in item 14. 1958 - Pub. L. 85-921, Sec. 4, Sept. 2, 1958, 72 Stat. 1771, added item 15. NATIONAL COMMISSION ON REFORM OF FEDERAL CRIMINAL LAWS Pub. L. 89-801, Nov. 8, 1966, 80 Stat. 1516, as amended by Pub. L. 91-39, July 8, 1969, 83 Stat. 44, provided for the establishment of the National Commission on Reform of Federal Criminal Laws, its membership, duties, compensation of the members, the Director, and the staff of the Commission, established the Advisory Committee on Reform of Federal Criminal Laws, required the Commission to submit interim reports to the President and the Congress and to submit a final report within four years from Nov. 8, 1966, and further provided that the Commission shall cease to exist sixty days after the submission of the final report. -EXEC- EX. ORD. NO. 11396. COORDINATION BY ATTORNEY GENERAL OF FEDERAL LAW ENFORCEMENT AND CRIME PREVENTION PROGRAMS Ex. Ord. No. 11396, Feb. 7, 1968, 33 F.R. 2689, provided: WHEREAS the problem of crime in America today presents the Nation with a major challenge calling for maximum law enforcement efforts at every level of Government; WHEREAS coordination of all Federal Criminal law enforcement activities and crime prevention programs is desirable in order to achieve more effective results; WHEREAS the Federal Government has acknowledged the need to provide assistance to State and local law enforcement agencies in the development and administration of programs directed to the prevention and control of crime: WHEREAS to provide such assistance the Congress has authorized various departments and agencies of the Federal Government to develop programs which may benefit State and local efforts directed at the prevention and control of crime, and the coordination of such programs is desirable to develop and administer them most effectively; and WHEREAS the Attorney General, as the chief law officer of the Federal Government, is charged with the responsibility for all prosecutions for violations of the Federal criminal statutes and is authorized under the Law Enforcement Assistance Act of 1965 (79 Stat. 828) (formerly set out as a note preceding section 3001 of this title) to cooperate with and assist State, local, or other public or private agencies in matters relating to law enforcement organization, techniques and practices, and the prevention and control of crime. NOW, THEREFORE, by virtue of the authority vested in the President by the Constitution and laws of the United States, it is ordered as follows: Section 1. The Attorney General is hereby designated to facilitate and coordinate (1) the criminal law enforcement activities and crime prevention programs of all Federal departments and agencies, and (2) the activities of such departments, and agencies relating to the development and implementation of Federal programs which are designed, in whole or in substantial part, to assist State and local law enforcement agencies and crime prevention activities. The Attorney General may promulgate such rules and regulations and take such actions as he shall deem necessary or appropriate to carry out his functions under this Order. Sec. 2. Each Federal department and agency is directed to cooperate with the Attorney General in the performance of his functions under this Order and shall, to the extent permitted by law and within the limits of available funds, furnish him such reports, information, and assistance as he may request. Lyndon B. Johnson. EXECUTIVE ORDER NO. 11534 Ex. Ord. No. 11534, June 4, 1970, 35 F.R. 8865, which related to the National Council on Organized Crime, was revoked by Ex. Ord. No. 12110, Dec. 28, 1978, 44 F.R. 1069, formerly set out as a note under section 14 of the Federal Advisory Committee Act in the Appendix to Title 5, Government Organization and Employees. ------DocID 23786 Document 28 of 1438------ -CITE- 18 USC Sec. 1 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- (Sec. 1. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(1), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this section is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Prior to repeal, this section read as follows: Sec. 1. Offenses classified Notwithstanding any Act of Congress to the contrary: (1) Any offense punishable by death or imprisonment for a term exceeding one year is a felony. (2) Any other offense is a misdemeanor. (3) Any misdemeanor, the penalty for which, as set forth in the provision defining the offense, does not exceed imprisonment for a period of six months or a fine of not more than $5,000 for an individual and $10,000 for a person other than an individual, or both, is a petty offense. (June 25, 1948, ch. 645, 62 Stat. 684; Oct. 30, 1984, Pub. L. 98-596, Sec. 8, 98 Stat. 3138.) SHORT TITLE OF 1990 AMENDMENT Pub. L. 101-647, Sec. 1, Nov. 29, 1990, 104 Stat. 4789, provided that: 'This Act (see Tables for classification) may be cited as the 'Crime Control Act of 1990'.' SHORT TITLE OF 1988 AMENDMENT Pub. L. 100-690, title VII, Sec. 7011, Nov. 18, 1988, 102 Stat. 4395, provided that: 'This subtitle (subtitle B (Sec. 7011-7096) of title VII of Pub. L. 100-690, see Tables for classification) may be cited as the 'Minor and Technical Criminal Law Amendments Act of 1988'.' SHORT TITLE OF 1987 AMENDMENT Pub. L. 100-185, Sec. 1, Dec. 11, 1987, 101 Stat. 1279, provided that: 'This Act (enacting section 19 of this title, amending sections 18, 3013, 3559, 3571, 3572, 3573, 3611, 3612, and 3663 of this title and section 604 of Title 28, Judiciary and Judicial Procedure, and enacting provisions set out as notes under section 3611 of this title) may be cited as the 'Criminal Fine Improvements Act of 1987'.' SHORT TITLE OF 1986 AMENDMENT Pub. L. 99-646, Sec. 1, Nov. 10, 1986, 100 Stat. 3592, provided that: 'This Act (see Tables for classification) may be cited as the 'Criminal Law and Procedure Technical Amendments Act of 1986'.' SHORT TITLE OF 1984 AMENDMENT Section 200 of title II (Sec. 200-2304) of Pub. L. 98-473 provided that: 'This title (see Tables for classification) may be cited as the 'Comprehensive Crime Control Act of 1984'.' ------DocID 23787 Document 29 of 1438------ -CITE- 18 USC Sec. 2 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 2. Principals -STATUTE- (a) Whoever commits an offense against the United States or aids, abets, counsels, commands, induces or procures its commission, is punishable as a principal. (b) Whoever willfully causes an act to be done which if directly performed by him or another would be an offense against the United States, is punishable as a principal. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 684; Oct. 31, 1951, ch. 655, Sec. 17b, 65 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 550 (Mar. 4, 1909, ch. 321, Sec. 332, 35 Stat. 1152). Section 2(a) comprises section 550 of title 18, U.S.C., 1940 ed., without change except in minor matters of phraseology. Section 2(b) is added to permit the deletion from many sections throughout the revision of such phrases as 'causes or procures'. The section as revised makes clear the legislative intent to punish as a principal not only one who directly commits an offense and one who 'aids, abets, counsels, commands, induces or procures' another to commit an offense, but also anyone who causes the doing of an act which if done by him directly would render him guilty of an offense against the United States. It removes all doubt that one who puts in motion or assists in the illegal enterprise but causes the commission of an indispensable element of the offense by an innocent agent or instrumentality, is guilty as a principal even though he intentionally refrained from the direct act constituting the completed offense. This accords with the following decisions: Rothenburg v. United States, 1918, 38 S. Ct. 18, 245 U.S. 480, 62 L. Ed. 414, and United States v. Hodorowicz, C. C. A. Ill. 1939, 105 F. 2d 218, certiorari denied, 60 S. Ct. 108, 308 U.S. 584, 84 L. Ed. 489. United States v. Giles, 1937, 57 S. Ct. 340, 300 U.S. 41, 81 L. Ed. 493, rehearing denied, 57 S. Ct. 505, 300 U.S. 687, 81 L. Ed. 888. AMENDMENTS 1951 - Subsec. (a). Act Oct. 31, 1951, inserted 'punishable as'. Subsec. (b). Act Oct. 31, 1951, inserted 'willfully' before 'causes', and 'or another' after 'him', and substituted 'is punishable as a principal' for 'is also a principal and punishable as such'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1962 of this title; title 21 sections 848, 854; title 49 App. section 1473; title 50 section 422. ------DocID 23788 Document 30 of 1438------ -CITE- 18 USC Sec. 3 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 3. Accessory after the fact -STATUTE- Whoever, knowing that an offense against the United States has been committed, receives, relieves, comforts or assists the offender in order to hinder or prevent his apprehension, trial or punishment, is an accessory after the fact. Except as otherwise expressly provided by any Act of Congress, an accessory after the fact shall be imprisoned not more than one-half the maximum term of imprisonment or fined not more than one-half the maximum fine prescribed for the punishment of the principal, or both; or if the principal is punishable by life imprisonment or death, the accessory shall be imprisoned not more than 15 years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 684; Nov. 10, 1986, Pub. L. 99-646, Sec. 43, 100 Stat. 3601; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3502, 104 Stat. 4921.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 551 (Mar. 4, 1909, ch. 321, Sec. 333, 35 Stat. 1152). The first paragraph is new. It is based upon authority of Skelly v. United States (C. C. A. Okl. 1935, 76 F. 2d 483, certiorari denied, 1935, 55 S. Ct. 914, 295 U.S. 757, 79 L. Ed. 1699), where the court defined an accessory after the fact as - one who knowing a felony to have been committed by another, receives, relieves, comforts, or assists the felon in order to hinder the felon's apprehension, trial, or punishment - and cited Jones' Blackstone, books 3 and 4, page 2204; U.S. v. Hartwell (Fed. Cas. No. 15,318); Albritton v. State (32 Fla. 358, 13 So. 955); State v. Davis (14 R. I. 281); Schleeter v. Commonwealth (218 Ky. 72, 290 S. W. 1075). (See also State v. Potter, 1942, 221 N. C. 153, 19 S. E. 2d 257; Hunter v. State, 1935, 128 Tex. Cr. R. 191, 79 S. W. 2d 855; State v. Wells, 1940, 195 La. 754, 197 So. 419.) The second paragraph is from section 551 of title 18, U.S.C., 1940 ed. Here only slight changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-647, which directed substitution of '15 years' for '10 years', was executed by making the substitution for 'ten years' in second par. to reflect the probable intent of Congress. 1986 - Pub. L. 99-646 inserted 'life imprisonment or' in second par. ------DocID 23789 Document 31 of 1438------ -CITE- 18 USC Sec. 4 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 4. Misprision of felony -STATUTE- Whoever, having knowledge of the actual commission of a felony cognizable by a court of the United States, conceals and does not as soon as possible make known the same to some judge or other person in civil or military authority under the United States, shall be fined not more than $500 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 684.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C. 1940 ed., Sec. 251 (Mar. 4, 1909, ch. 321, Sec. 146, 35 Stat. 1114). Changes in phraseology only. -CROSS- CROSS REFERENCES Concealing escaped prisoners, see section 1072 of this title. Concealing or harboring persons engaged in espionage, see section 792 of this title. Concealing persons from arrest, see section 1071 of this title. Harboring fugitives from justice, see section 1071 et. seq. of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 50 section 422. ------DocID 23790 Document 32 of 1438------ -CITE- 18 USC Sec. 5 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 5. United States defined -STATUTE- The term 'United States', as used in this title in a territorial sense, includes all places and waters, continental or insular, subject to the jurisdiction of the United States, except the Canal Zone. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 685.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 39, 133, 346, 381, 502, and 632, and section 40 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title XIII, Sec. 1, 40 Stat. 231). Section consolidates the first sentence of section 39, all of sections 133, 346, and 632, and the second sentences, respectively, of sections 381 and 502, all of title 18, U.S.C., 1940 ed., and section 40 of title 50, U.S.C., 1940 ed., War and National Defense, with minor changes in phraseology. All of these sections and parts of sections were derived from section 1 of title XIII of said act of June 15, 1917. Said section 40 of title 50, U.S.C., War and National Defense, has also been retained in that title, as it still relates to some sections therein which were not transferred to this title. The remainder of said section 39 of title 18, U.S.C., 1940 ed., which was derived from sections 2, 3, and 4 of title XIII of the act of June 15, 1917, relating to jurisdiction and other matters, is almost entirely obsolete. The provisions still in force are incorporated in section 3241 of this title. The remaining provisions of said sections 381 and 502 of title 18, U.S.C., 1940 ed., which were derived from sources other than said section 1 of title XIII of the act of June 15, 1917, are incorporated in sections 1364 and 2275 of this title. SENATE REVISION AMENDMENT Words, ', except the Canal Zone.', were inserted in this section by Senate amendment. See Senate Report No. 1620, amendment No. 2, 80th Cong. -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in text, see section 3602(b) of Title 22, Foreign Relations and Intercourse. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 112, 878, 1116, 1201 this title. ------DocID 23791 Document 33 of 1438------ -CITE- 18 USC Sec. 6 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 6. Department and agency defined -STATUTE- As used in this title: The term 'department' means one of the executive departments enumerated in section 1 of Title 5, unless the context shows that such term was intended to describe the executive, legislative, or judicial branches of the government. The term 'agency' includes any department, independent establishment, commission, administration, authority, board or bureau of the United States or any corporation in which the United States has a proprietary interest, unless the context shows that such term was intended to be used in a more limited sense. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 685.) -MISC1- HISTORICAL AND REVISION NOTES This section defines the terms 'department' and 'agency' of the United States. The word 'department' appears 57 times in title 18, U.S.C., 1940 ed., and the word 'agency' 14 times. It was considered necessary to define clearly these words in order to avoid possible litigation as to the scope or coverage of a given section containing such words. (See United States v. Germaine, 1878, 99 U.S. 508, 25 L. Ed. 482, for definition of words 'department' or 'head of department.') The phrase 'corporation in which the United States has a proprietary interest' is intended to include those governmental corporations in which stock is not actually issued, as well as those in which stock is owned by the United States. It excludes those corporations in which the interest of the Government is custodial or incidental. -REFTEXT- REFERENCES IN TEXT Section 1 of Title 5, referred to in text, was repealed by Pub. L. 89-554, Sec. 8, Sept. 6, 1966, 80 Stat. 632, and reenacted by the first section thereof as section 101 of Title 5, Government Organization and Employees. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23792 Document 34 of 1438------ -CITE- 18 USC Sec. 7 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 7. Special maritime and territorial jurisdiction of the United States defined -STATUTE- The term 'special maritime and territorial jurisdiction of the United States', as used in this title, includes: (1) The high seas, any other waters within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State, and any vessel belonging in whole or in part to the United States or any citizen thereof, or to any corporation created by or under the laws of the United States, or of any State, Territory, District, or possession thereof, when such vessel is within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State. (2) Any vessel registered, licensed, or enrolled under the laws of the United States, and being on a voyage upon the waters of any of the Great Lakes, or any of the waters connecting them, or upon the Saint Lawrence River where the same constitutes the International Boundary Line. (3) Any lands reserved or acquired for the use of the United States, and under the exclusive or concurrent jurisdiction thereof, or any place purchased or otherwise acquired by the United States by consent of the legislature of the State in which the same shall be, for the erection of a fort, magazine, arsenal, dockyard, or other needful building. (4) Any island, rock, or key containing deposits of guano, which may, at the discretion of the President, be considered as appertaining to the United States. (5) Any aircraft belonging in whole or in part to the United States, or any citizen thereof, or to any corporation created by or under the laws of the United States, or any State, Territory, district, or possession thereof, while such aircraft is in flight over the high seas, or over any other waters within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State. (6) Any vehicle used or designed for flight or navigation in space and on the registry of the United States pursuant to the Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, Including the Moon and Other Celestial Bodies and the Convention on Registration of Objects Launched into Outer Space, while that vehicle is in flight, which is from the moment when all external doors are closed on Earth following embarkation until the moment when one such door is opened on Earth for disembarkation or in the case of a forced landing, until the competent authorities take over the responsibility for the vehicle and for persons and property aboard. (7) Any place outside the jurisdiction of any nation with respect to an offense by or against a national of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 685; July 12, 1952, ch. 695, 66 Stat. 589; Dec. 21, 1981, Pub. L. 97-96, Sec. 6, 95 Stat. 1210; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1210, 98 Stat. 2164.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 451 (Mar. 4, 1909, ch. 321, Sec. 272, 35 Stat. 1142; June 11, 1940, ch. 323, 54 Stat. 304). The words 'The term 'special maritime and territorial jurisdiction of the United States' as used in this title includes:' were substituted for the words 'The crimes and offenses defined in sections 451-468 of this title shall be punished as herein prescribed.' This section first appeared in the 1909 Criminal Code. It made it possible to combine in one chapter all the penal provisions covering acts within the admiralty and maritime jurisdiction without the necessity of repeating in each section the places covered. The present section has made possible the allocation of the diverse provisions of chapter 11 of Title 18, U.S.C., 1940 ed., to particular chapters restricted to particular offenses, as contemplated by the alphabetical chapter arrangement. In several revised sections of said chapter 11 the words 'within the special maritime and territorial jurisdiction of the United States' have been added. Thus the jurisdictional limitation will be preserved in all sections of said chapter 11 describing an offense. Enumeration of names of Great Lakes was omitted as unnecessary. Other minor changes were necessary now that the section defines a term rather than the place of commission of crime or offense; however, the extent of the special jurisdiction as originally enacted has been carefully followed. AMENDMENTS 1984 - Par. (7). Pub. L. 98-473 added par. (7). 1981 - Par. (6). Pub. L. 97-96 added par. (6). 1952 - Par. (5). Act July 12, 1952, added par. (5). -CROSS- CROSS REFERENCES Laws of States adopted for areas within Federal jurisdiction, see section 13 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 13, 112, 878, 1116, 1201, 2334 of this title; title 15 sections 1175, 1243, 1245; title 16 section 3372; title 49 App. section 1472. ------DocID 23793 Document 35 of 1438------ -CITE- 18 USC Sec. 8 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 8. Obligation or other security of the United States defined -STATUTE- The term 'obligation or other security of the United States' includes all bonds, certificates of indebtedness, national bank currency, Federal Reserve notes, Federal Reserve bank notes, coupons, United States notes, Treasury notes, gold certificates, silver certificates, fractional notes, certificates of deposit, bills, checks, or drafts for money, drawn by or upon authorized officers of the United States, stamps and other representatives of value, of whatever denomination, issued under any Act of Congress, and canceled United States stamps. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 685.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 261 (Mar. 4, 1909, ch. 321, Sec. 147, 35 Stat. 1115; Jan. 27, 1938, ch. 10, Sec. 3, 52 Stat. 7). The terms of this section were general enough to justify its inclusion in this chapter rather than retaining it in the chapter on 'Counterfeiting' where the terms which it specifically defines are set out in sections 471-476, 478, 481, 483, 492, and 504 of this title. Words 'Federal Reserve notes, Federal Reserve bank notes' were inserted before 'coupons' because such notes have almost supplanted national bank currency. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Connecting parts of different notes, see section 484 of this title. Contraband articles, application to, see section 787 of Title 49, Appendix, Transportation. Dealing in counterfeit obligations or securities, see section 473 of this title. Embezzlement and theft of tools and materials for counterfeiting purposes, see section 642 of this title. Falsely making, forging, counterfeiting or altering obligation or security, see section 471 of this title. Forfeiture of counterfeit paraphernalia, see section 492 of this title. Imitating obligations or securities; advertisements, see section 475 of this title. Plates or stones for counterfeiting obligations or securities, see section 474 of this title. Possessing or selling impressions of tools used for obligations or securities, see section 477 of this title. Taking impressions of tools used for obligations or securities, see section 476 of this title. Transportation, sale or receipt of stolen securities, application to 'obligation or other security of the United States,' see sections 2314, 2315 of this title. Uttering counterfeit obligations or securities, see section 472 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 7 section 2024; title 49 App. section 787. ------DocID 23794 Document 36 of 1438------ -CITE- 18 USC Sec. 9 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 9. Vessel of the United States defined -STATUTE- The term 'vessel of the United States', as used in this title, means a vessel belonging in whole or in part to the United States, or any citizen thereof, or any corporation created by or under the laws of the United States, or of any State, Territory, District, or possession thereof. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 685.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 501 (Mar. 4, 1909, ch. 321, Sec. 310, 35 Stat. 1148). Section is made applicable to the entire title rather than to sections 481 et seq. of title 18, U.S.C., 1940 ed. Minor changes in phraseology were made. -CROSS- CROSS REFERENCES Vessel as involving liquor traffic violations, see section 3667 of this title. ------DocID 23795 Document 37 of 1438------ -CITE- 18 USC Sec. 10 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 10. Interstate commerce and foreign commerce defined -STATUTE- The term 'interstate commerce', as used in this title, includes commerce between one State, Territory, Possession, or the District of Columbia and another State, Territory, Possession, or the District of Columbia. The term 'foreign commerce', as used in this title, includes commerce with a foreign country. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 686.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408, 408b, 414(a), and 419a(b) (Oct. 29, 1919, ch. 89, Sec. 2(b), 41 Stat. 325; June 22, 1932, ch. 271, Sec. 2, 47 Stat. 326; May 18, 1934, ch. 301, 48 Stat. 782; May 22, 1934, ch. 333, Sec. 2(a), 48 Stat. 794; Aug. 18, 1941, ch. 366, Sec. 2(b), 55 Stat. 631). This section consolidates into one section identical definitions contained in sections 408, 408b, 414(a), and 419a(b) of title 18, U.S.C., 1940 ed. In addition to slight improvements in style, the word 'commerce' was substituted for 'transportation' in order to avoid the narrower connotation of the word 'transportation' since 'commerce' obviously includes more than 'transportation.' The word 'Possession' was inserted in two places to make the definition more accurate and comprehensive since the places included in the word 'Possession' would normally be within the term defined and a narrower construction should be handled by express statutory exclusion in those crimes which Congress intends to restrict to commerce within the continental United States. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23796 Document 38 of 1438------ -CITE- 18 USC Sec. 11 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 11. Foreign government defined -STATUTE- The term 'foreign government', as used in this title except in sections 112, 878, 970, 1116, and 1201, includes any government, faction, or body of insurgents within a country with which the United States is at peace, irrespective of recognition by the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 686; Oct. 8, 1976, Pub. L. 94-467, Sec. 11, 90 Stat. 2001.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 98, 288, 349; section 235 of title 22 U.S.C., 1940 ed., Foreign Relations and Intercourse; section 41 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title VIII, Sec. 4, 40 Stat. 226). The definition of 'foreign government' contained in this section, with minor changes in phraseology, is from section 4 of title VIII of act June 15, 1917 (Ch. 30, 40 Stat. 217, 226), known as the Espionage Act of 1917. This definition was incorporated in sections 98, 288, and 349 of title 18 and in section 235 of title 22, Foreign Relations and Intercourse, and in section 41 of Title 50, War and National Defense, U.S.C., all in 1940 ed., since the definition was specifically enacted with reference to said sections and others not material here. The remaining provisions of said sections 98 and 349 of title 18, U.S.C., 1940 ed., which were derived from sources other than said section 4 of title VIII of the act of June 15, 1917, are incorporated in sections 502 and 957 of this title. AMENDMENTS 1976 - Pub. L. 94-467 inserted 'except in sections 112, 878, 970, 1116, and 1201' after 'title'. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Foreign relations, etc., grounds for issuance of search warrant, see rule 41, Appendix to this title. Subpoena, circumstances and manner of service abroad, see rule 17. Witnesses in foreign country, nonapplicability of rules to proceedings against witness, see rule 54. CROSS REFERENCES Extradition, certification of amounts to be paid by foreign government on account of fees and costs, see section 3195 of this title. Foreign relations generally, see section 951 et seq. of this title. Transportation, sale or receipt of stolen securities, application to obligations of foreign government, see sections 2314, 2315 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23797 Document 39 of 1438------ -CITE- 18 USC Sec. 12 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 12. United States Postal Service defined -STATUTE- As used in this title, the term 'Postal Service' means the United States Postal Service established under title 39, and every officer and employee of that Service, whether or not such officer or employee has taken the oath of office. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 686; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(2), 84 Stat. 777; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3505, 104 Stat. 4921.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 301, 360 (Mar. 4, 1909, ch. 321, Sec. 230, 231, 35 Stat. 1134). This section consolidates sections 301 and 360 of title 18, U.S.C., 1940 ed., with necessary changes in phraseology. AMENDMENTS 1990 - Pub. L. 101-647 substituted 'whether or not such officer or employee has taken the oath of office' for 'whether he has taken the oath of office'. 1970 - Pub. L. 91-375 inserted 'United States' before 'Postal Service' in section catchline and substituted in text as definition of 'Postal Service' the United States Postal Service established under title 39, and every officer and employee of that Service, whether he has taken the oath of office, for prior definition which included the Post Office Department and every employee, thereof, whether or not he has taken the oath of office. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by the Board of Governors of the United States Postal Service and published by it in the Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES United States Postal Service, see Title 39, Postal Service. ------DocID 23798 Document 40 of 1438------ -CITE- 18 USC Sec. 13 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 13. Laws of States adopted for areas within Federal jurisdiction -STATUTE- (a) Whoever within or upon any of the places now existing or hereafter reserved or acquired as provided in section 7 of this title, is guilty of any act or omission which, although not made punishable by any enactment of Congress, would be punishable if committed or omitted within the jurisdiction of the State, Territory, Possession, or District in which such place is situated, by the laws thereof in force at the time of such act or omission, shall be guilty of a like offense and subject to a like punishment. (b) For purposes of subsection (a) of this section, that which may or shall be imposed through judicial or administrative action under the law of a State, territory, possession, or district, for a conviction for operating a motor vehicle under the influence of a drug or alcohol, shall be considered to be a punishment provided by that law. Any limitation on the right or privilege to operate a motor vehicle imposed under this subsection shall apply only to the special maritime and territorial jurisdiction of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 686; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6477(a), 102 Stat. 4381.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 468 (Mar. 4, 1909, ch. 321, Sec. 289, 35 Stat. 1145; June 15, 1933, ch. 85, 48 Stat. 152; June 20, 1935, ch. 284, 49 Stat. 394; June 6, 1940, ch. 241, 54 Stat. 234). Act March 4, 1909, Sec. 289 used the words 'now in force' when referring to the laws of any State, organized Territory or district, to be considered in force. As amended on June 15, 1933, the words 'by the laws thereof in force on June 1, 1933, and remaining in force at the time of the doing or omitting the doing of such act or thing, would be penal,' were used. The amendment of June 20, 1935, extended the date to 'April 1, 1935,' and the amendment of June 6, 1940, extended the date to 'February 1, 1940'. The revised section omits the specification of any date as unnecessary in a revision, which speaks from the date of its enactment. Such omission will not only make effective within Federal reservations, the local State laws in force on the date of the enactment of the revision, but will authorize the Federal courts to apply the same measuring stick to such offenses as is applied in the adjoining State under future changes of the State law and will make unnecessary periodic pro forma amendments of this section to keep abreast of changes of local laws. In other words, the revised section makes applicable to offenses committed on such reservations, the law of the place that would govern if the reservation had not been ceded to the United States. The word 'Possession' was inserted to clarify scope of section. Minor changes were made in phraseology. AMENDMENTS 1988 - Pub. L. 100-690 designated existing provisions as subsec. (a) and added subsec. (b). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3013, 3551 of this title. ------DocID 23799 Document 41 of 1438------ -CITE- 18 USC Sec. 14 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 14. Applicability to Canal Zone; definition -STATUTE- (a) In addition to the sections of this title which by their terms apply to and within the Canal Zone, the following sections of this title, as amended from time to time, apply to and within the Canal Zone: 6, 8, 11, 45, (FOOTNOTE 1) 201, 202, 203, 205, 207, 208, 209, 210, 211, 218, 287, 331, 371, 471, 472, 473, 474, 475, 476, 477, 478, 479, 480, 481, 482, 483, 484, 485, 486, 487, 488, 489, 490, 491, 492, 493, 494, 495, 496, 497, 498, 499, 505, 506, 507, 508, 509, 594, 595, 598, 600, 601, 604, 605, 608, (FOOTNOTE 1) 611, (FOOTNOTE 1) 612, (FOOTNOTE 1) 703, 752, 755, 756, 792, 793, 794, 795, 796, 797, 798, 798A, 799, 915, 917, 951, 953, 954, 956, 957, 958, 959, 960, 961, 962, 963, 964, 965, 966, 967, 1001, 1017, 1024, 1073, 1301, 1364, 1381, 1382, 1542, 1543, 1544, 1546, 1584, 1621, 1622, 1761, 1821, 1991, 2151, 2152, 2153, 2154, 2155, 2156, 2157, 2199, 2231, 2234, 2235, 2274, 2275, 2277, 2381, 2382, 2383, 2384, 2385, 2387, 2388, 2389, 2390, 2421, 2422, 2423, 2424, 3042, 3059, 3105, 3109, 3187, 3195, 3500. (FOOTNOTE 1) See References in Text note below. (b) The term 'Canal Zone', as used in the sections of this title which by their terms apply to and within the Canal Zone, and as used in subsection (a) of this section, includes the area designated as the Canal Zone by sections 1 and 2 of Title 2, Canal Zone Code; and it also includes the corridor over which the United States of America exercises jurisdiction pursuant to the provisions of Article IX of the General Treaty of Friendship and Cooperation between the United States of America and the Republic of Panama, signed March 2, 1936, to the extent that the application, to the corridor, of the sections mentioned in this subsection, and of those specified in subsection (a) of this section, is consistent with the nature of the rights of the United States in the corridor as provided by treaty. (c) The definitions of the terms prescribed by sections 5 and 10, or other sections of this title, are modified to effectuate the applicability of the sections enumerated by subsection (a) of this section to and within the Canal Zone. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 686; Aug. 5, 1953, ch. 325, 67 Stat. 366; Oct. 18, 1962, Pub. L. 87-845, Sec. 3(a), 76A Stat. 698; June 22, 1968, Pub. L. 90-357, Sec. 59, 82 Stat. 248; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3519(c), 104 Stat. 4923.) -MISC1- SENATE REVISION AMENDMENT This amendment, adding a new section 14, together with amended section 5 will clarify the applicability of Federal criminal statutes within the Canal Zone. It was particularly desired by the Governor of the Canal Zone and the compiler of the Canal Zone Code. The Governor of the Canal Zone, in a letter dated September 22, 1945, and filed with the House Judiciary Committee, advised: 'General criminal laws of the United States are now applicable to the Canal Zone only if applicability is indicated by language expressly referring to the Canal Zone, or to possessions of the United States, or to territory subject to the jurisdiction of the United States, etc. * * * The bill in its present form would have undesirable effects insofar as concerns the continued operation of the Canal Zone Criminal Code and Code of Criminal Procedure, established by Congress as titles 5 and 6 of the Canal Zone Code, enacted by act of June 19, 1934 (ch. 667, 48 Stat. 1122), and also would perhaps have undesirable effects insofar as concerns the continued applicability to the Canal Zone of the body of general criminal laws which are now applicable.' -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone and Canal Zone Code, referred to in text, see sections 3602(b) and 3602 note of Title 22, Foreign Relations and Intercourse. Among the sections of this title, referred to in text, as being by their terms applicable to and within the Canal Zone are: section 1261 making Liquor Traffic provisions of sections 1261 to 1265 inapplicable to Canal Zone; section 3183, relating to extradition of fugitives from state, territory or possession into Canal Zone: sections 3241 relating to jurisdiction of offenses under certain sections: sections 3771 and 3772, relating to power of Supreme Court to prescribe rules of procedure in a criminal case to and including the verdict and after the verdict. Section 45 of this title, referred to in subsec. (a), was repealed by Pub. L. 101-647, title XII, Sec. 1206(a), Nov. 29, 1990, 104 Stat. 4832. Sections 608, 611, and 612 of this title, referred to in subsec. (a), were repealed by Pub. L. 94-283, title II, Sec. 201(a), May 11, 1976, 90 Stat. 496. -MISC2- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted '798, 798A, 799' for '798, as added by section 24(a) of the Act of October 31, 1951 (chapter 655, 65 Stat. 719), 798, as added by section 4 of the Act of June 30, 1953 (chapter 175, 67 Stat. 133), 799'. 1968 - Subsec. (a). Pub. L. 90-357 inserted ', as amended from time to time,' after 'title' and before 'apply', included references in sections 203, 205, 207, 208, 209, 210, 211, and 218, and struck out reference to section 1914. 1962 - Pub. L. 87-845 inserted '; definition' in section catchline, designated existing provisions of section as subsec. (a) and included references to sections 45, 201, 202, 287, 471, 473, 475, 476, 477, 484, 486, 487, 490 to 498, 505, 507 to 509, 752, 755, 798 as added by act of Oct. 31, 1951, 798 as added by act of June 30, 1953, 799, 1001, 1024, 1381, 1991, 2157, 2381 to 2383, 2387, 3042, 3187 and 3195, struck out references to sections 502, 791 and 1362, and added subsecs. (b) and (c). 1953 - Act Aug. 5, 1953, inserted '1362' after '1301'. EFFECTIVE DATE OF 1962 AMENDMENT Section 25 of Pub. L. 87-845 provided that: 'This Act (enacting section 4210 of this title and section 858 of Title 50, War and National Defense, and amending this section, section 1934 of Title 22, Foreign Relations and Intercourse, section 196 of Title 24, Hospitals and Asylums, sections 414, 547, 1404, and 1406 of Title 28, Judiciary and Judicial Procedure, and sections 191a and 191b of Title 50) takes effect January 2, 1963. Laws enacted after January 9, 1962, that are inconsistent with this Act, supersede it to the extent of the inconsistency.' -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Applicability of rules, see rule 54, Appendix to this title. CROSS REFERENCES Extradition of fugitives from Canal Zone into extraterritorial jurisdiction of United States, see section 3183 of this title. Liquor traffic provisions inapplicable to Canal Zone, see section 1261 of this title. Term United States as not including Canal Zone, see section 5 of this title. ------DocID 23800 Document 42 of 1438------ -CITE- 18 USC Sec. 15 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 15. Obligation or other security of foreign government defined -STATUTE- The term 'obligation or other security of any foreign government' includes, but is not limited to, uncanceled stamps, whether or not demonetized. -SOURCE- (Added Pub. L. 85-921, Sec. 3, Sept. 2, 1958, 72 Stat. 1771.) ------DocID 23801 Document 43 of 1438------ -CITE- 18 USC Sec. 16 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 16. Crime of violence defined -STATUTE- The term 'crime of violence' means - (a) an offense that has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or (b) any other offense that is a felony and that, by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1001(a), Oct. 12, 1984, 98 Stat. 2136.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 8 section 1101; title 20 section 1232g; title 40 section 212a. ------DocID 23802 Document 44 of 1438------ -CITE- 18 USC Sec. 17 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 17. Insanity defense -STATUTE- (a) Affirmative Defense. - It is an affirmative defense to a prosecution under any Federal statute that, at the time of the commission of the acts constituting the offense, the defendant, as a result of a severe mental disease or defect, was unable to appreciate the nature and quality or the wrongfulness of his acts. Mental disease or defect does not otherwise constitute a defense. (b) Burden of Proof. - The defendant has the burden of proving the defense of insanity by clear and convincing evidence. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 402(a), Oct. 12, 1984, 98 Stat. 2057, Sec. 20, and renumbered Sec. 17, Pub. L. 99-646, Sec. 34(a), Nov. 10, 1986, 100 Stat. 3599.) ------DocID 7782 Document 45 of 1438------ -CITE- 3 USC Sec. 18 -EXPCITE- TITLE 3 CHAPTER 1 -HEAD- Sec. 18. Same; parliamentary procedure at joint meeting -STATUTE- While the two Houses shall be in meeting as provided in this chapter, the President of the Senate shall have power to preserve order; and no debate shall be allowed and no question shall be put by the presiding officer except to either House on a motion to withdraw. -SOURCE- (June 25, 1948, ch. 644, 62 Stat. 676; Sept. 3, 1954, ch. 1263, Sec. 3, 68 Stat. 1227.) -MISC1- AMENDMENTS 1954 - Act Sept. 3, 1954, substituted 'chapter' for 'subchapter'. ------DocID 23804 Document 46 of 1438------ -CITE- 18 USC Sec. 19 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 19. Petty offense defined -STATUTE- As used in this title, the term 'petty offense' means a Class B misdemeanor, a Class C misdemeanor, or an infraction, for which the maximum fine is no greater than the amount set forth for such an offense in section 3571(b)(6) or (7) in the case of an individual or section 3571(c)(6) or (7) in the case of an organization. -SOURCE- (Added Pub. L. 100-185, Sec. 4(a), Dec. 11, 1987, 101 Stat. 1279, and amended Pub. L. 100-690, title VII, Sec. 7089(a), Nov. 18, 1988, 102 Stat. 4409.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 inserted ', for which the maximum fine is no greater than the amount set forth for such an offense in section 3571(b)(6) or (7) in the case of an individual or section 3571(c)(6) or (7) in the case of an organization' after 'infraction'. ------DocID 23805 Document 47 of 1438------ -CITE- 18 USC Sec. 20 -EXPCITE- TITLE 18 PART I CHAPTER 1 -HEAD- Sec. 20. Financial institution defined -STATUTE- As used in this title, the term 'financial institution' means - (1) an insured depository institution (as defined in section 3(c)(2) of the Federal Deposit Insurance Act); (2) a credit union with accounts insured by the National Credit Union Share Insurance Fund; (3) a Federal home loan bank or a member, as defined in section 2 of the Federal Home Loan Bank Act (12 U.S.C. 1422), of the Federal home loan bank system; (4) a System institution of the Farm Credit System, as defined in section 5.35(3) of the Farm Credit Act of 1971; (5) a small business investment company, as defined in section 103 of the Small Business Investment Act of 1958 (15 U.S.C. 662); (6) a depository institution holding company (as defined in section 3(w)(1) of the Federal Deposit Insurance Act; (7) a Federal Reserve bank or a member bank of the Federal Reserve System; (8) an organization operating under section 25 or section 25(a) of the Federal Reserve Act; or (9) a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978). -SOURCE- (Added Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1107(a), 98 Stat. 2145, Sec. 215(b); amended Aug. 4, 1986, Pub. L. 99-370, Sec. 2, 100 Stat. 779; renumbered Sec. 20 and amended Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 962(e)(1), (2), 103 Stat. 503; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(a), 104 Stat. 4908.) -REFTEXT- REFERENCES IN TEXT Section 3 of the Federal Deposit Insurance Act, referred to in pars. (1) and (6), is classified to section 1813 of Title 12, Banks and Banking. Section 5.35(3) of the Farm Credit Act of 1971, referred to in par. (4), is classified to section 2271(3) of Title 12. Section 25 of the Federal Reserve Act, referred to in par. (8), is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. Section 1(b) of the International Banking Act of 1978, referred to in par. (9), is classified to section 3101 of Title 12. -MISC2- PRIOR PROVISIONS A prior section 20 was renumbered section 17 of this title. AMENDMENTS 1990 - Pars. (7) to (9). Pub. L. 101-647 added pars. (7) to (9). 1989 - Pub. L. 101-73, Sec. 962(e)(1), (2)(A)-(C), redesignated subsec. (b) of section 215 of this title as this section, inserted section catchline, struck out subsec. (b) designation before 'As used', and substituted 'used in this title' for 'used in this section'. Par. (1). Pub. L. 101-73, Sec. 962(e)(2)(D), amended par. (1) generally. Prior to amendment, par. (1) read as follows: 'a bank with deposits insured by the Federal Deposit Insurance Corporation;'. Par. (2). Pub. L. 101-73, Sec. 962(e)(2)(E), (H), redesignated par. (3) as (2) and struck out former par. (2) which read as follows: 'an institution with accounts insured by the Federal Savings and Loan Insurance Corporation;'. Par. (3). Pub. L. 101-73, Sec. 962(e)(2)(H), redesignated par. (4) as (3). Former par. (3) redesignated (2). Par. (4). Pub. L. 101-73, Sec. 962(e)(2)(F), (H), redesignated par. (5) as (4) and amended it generally. Prior to amendment, par. (4) read as follows: 'a Federal land bank, Federal intermediate credit bank, bank for cooperatives, production credit association, and Federal land bank association;'. Former par. (4) redesignated (3). Par. (5). Pub. L. 101-73, Sec. 962(e)(2)(H), redesignated par. (6) as (5). Former par. (5) redesignated (4). Pars. (6), (7). Pub. L. 101-73, Sec. 962(e)(2)(G), (H), redesignated par. (7) as (6) and amended it generally. Prior to amendment, par. (6) read as follows: 'a bank holding company as defined in section 2 of the Bank Holding Company Act of 1956 (12 U.S.C. 1841); or'. Former par. (6) redesignated (5). Par. (8). Pub. L. 101-73, Sec. 962(e)(2)(E), struck out par. (8) which read as follows: 'a savings and loan holding company as defined in section 408 of the National Housing Act (12 U.S.C. 1730a).' 1986 - Pub. L. 99-370 amended subsec. (b) (formerly Sec. 215(b)) generally expanding provisions formerly contained in subsec. (c) (former Sec. 215(c)) defining 'financial institution'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 656, 1005 of this title; title 12 section 1829. ------DocID 23806 Document 48 of 1438------ -CITE- 18 USC CHAPTER 2 -EXPCITE- TITLE 18 PART I CHAPTER 2 -HEAD- CHAPTER 2 - AIRCRAFT AND MOTOR VEHICLES -MISC1- Sec. 31. Definitions. 32. Destruction of aircraft or aircraft facilities. 33. Destruction of motor vehicles or motor vehicle facilities. 34. Penalty when death results. 35. Imparting or conveying false information. ------DocID 23807 Document 49 of 1438------ -CITE- 18 USC Sec. 31 -EXPCITE- TITLE 18 PART I CHAPTER 2 -HEAD- Sec. 31. Definitions -STATUTE- When used in this chapter the term - 'Aircraft engine', 'air navigation facility', 'appliance', 'civil aircraft', 'foreign air commerce', 'interstate air commerce', 'landing area', 'overseas air commerce', 'propeller', 'spare part' and 'special aircraft jurisdiction of the United States' shall have the meaning ascribed to those terms in the Federal Aviation Act of 1958, as amended. 'Motor vehicle' means every description of carriage or other contrivance propelled or drawn by mechanical power and used for commercial purposes on the highways in the transportation of passengers, passengers and property, or property or cargo; 'Destructive substance' means any explosive substance, flammable material, infernal machine, or other chemical, mechanical, or radioactive device or matter of a combustible, contaminative, corrosive, or explosive nature; 'Used for commercial purposes' means the carriage of persons or property for any fare, fee, rate, charge or other consideration, or directly or indirectly in connection with any business, or other undertaking intended for profit; 'In flight' means any time from the moment all the external doors of an aircraft are closed following embarkation until the moment when any such door is opened for disembarkation. In the case of a forced landing the flight shall be deemed to continue until competent authorities take over the responsibility for the aircraft and the persons and property on board; and 'In service' means any time from the beginning of preflight preparation of the aircraft by ground personnel or by the crew for a specific flight until twenty-four hours after any landing; the period of service shall, in any event, extend for the entire period during which the aircraft is in flight. -SOURCE- (Added July 14, 1956, ch. 595, Sec. 1, 70 Stat. 538, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1010, 2013(a), 98 Stat. 2141, 2187; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7015, 102 Stat. 4395.) -REFTEXT- REFERENCES IN TEXT The Federal Aviation Act of 1958, referred to in text, is Pub. L. 85-726, Aug. 23, 1958, 72 Stat. 731, as amended, which is classified principally to chapter 20 (Sec. 1301 et seq.) of Title 49, Appendix, Transportation. For complete classification of this Act to the Code, see Short Title note set out under section 1301 of Title 49, Appendix, and Tables. -MISC2- AMENDMENTS 1988 - Pub. L. 100-690 substituted 'door is opened' for 'door in opened' in definition of 'in flight'. 1984 - Pub. L. 98-473, Sec. 2013(a)(1), in first par. struck out 'and' before 'spare part', inserted 'and 'special aircraft jurisdiction of the United States' ', and substituted 'Federal Aviation Act of 1958' for 'Civil Aeronautics Act of 1938'. Pub. L. 98-473, Sec. 1010, substituted 'passengers and property, or property or cargo' for 'or passengers and property' in definition of motor vehicle. Pub. L. 98-473, Sec. 2013(a)(2)-(4), inserted definitions of 'in flight' and 'in service'. EFFECTIVE DATE OF 1984 AMENDMENT Section 2015 of part B (Sec. 2011-2015) of chapter XX of title II of Pub. L. 98-473 provided that: 'This part (see Short Title of 1984 Amendment note below) shall become effective on the date of the enactment of this joint resolution (Oct. 12, 1984).' SHORT TITLE OF 1984 AMENDMENT Section 2011 of part B (Sec. 2011-2015) of chapter XX of title II of Pub. L. 98-473 provided that: 'This part (amending this section, section 32 of this title, and sections 1301, 1471, and 1472 of Title 49, Appendix, Transportation, and enacting provisions set out as notes under this section) may be cited as the 'Aircraft Sabotage Act'.' STATEMENT OF FINDINGS AND PURPOSE FOR 1984 AMENDMENT Section 2012 of part B (Sec. 2011-2015) of chapter XX of title II of Pub. L. 98-473 provided that: 'The Congress hereby finds that - '(1) the Convention for the Suppression of Unlawful Acts Against the Safety of Civil Aviation (ratified by the United States on November 1, 1972) requires each contracting State to establish its jurisdiction over certain offenses affecting the safety of civil aviation; '(2) such offenses place innocent lives in jeopardy, endanger national security, affect domestic tranquility, gravely affect interstate and foreign commerce, and are offenses against the law of nations; and '(3) the purpose of this subtitle (part, see Short Title note above) is to implement fully the Convention for the Suppression of Unlawful Acts Against the Safety of Civil Aviation and to expand the protection accorded to aircraft and related facilities.' ------DocID 23808 Document 50 of 1438------ -CITE- 18 USC Sec. 32 -EXPCITE- TITLE 18 PART I CHAPTER 2 -HEAD- Sec. 32. Destruction of aircraft or aircraft facilities -STATUTE- (a) Whoever willfully - (1) sets fire to, damages, destroys, disables, or wrecks any aircraft in the special aircraft jurisdiction of the United States or any civil aircraft used, operated, or employed in interstate, overseas, or foreign air commerce; (2) places or causes to be placed a destructive device or substance in, upon, or in proximity to, or otherwise makes or causes to be made unworkable or unusable or hazardous to work or use, any such aircraft, or any part or other materials used or intended to be used in connection with the operation of such aircraft, if such placing or causing to be placed or such making or causing to be made is likely to endanger the safety of any such aircraft; (3) sets fire to, damages, destroys, or disables any air navigation facility, or interferes by force or violence with the operation of such facility, if such fire, damaging, destroying, disabling, or interfering is likely to endanger the safety of any such aircraft in flight; (4) with the intent to damage, destroy, or disable any such aircraft, sets fire to, damages, destroys, or disables or places a destructive device or substance in, upon, or in proximity to, any appliance or structure, ramp, landing area, property, machine, or apparatus, or any facility or other material used, or intended to be used, in connection with the operation, maintenance, loading, unloading or storage of any such aircraft or any cargo carried or intended to be carried on any such aircraft; (5) performs an act of violence against or incapacitates any individual on any such aircraft, if such act of violence or incapacitation is likely to endanger the safety of such aircraft; (6) communicates information, knowing the information to be false and under circumstances in which such information may reasonably be believed, thereby endangering the safety of any such aircraft in flight; or (7) attempts to do anything prohibited under paragraphs (1) through (6) of this subsection; shall be fined not more than $100,000 or imprisoned not more than twenty years or both. (b) Whoever willfully - (1) performs an act of violence against any individual on board any civil aircraft registered in a country other than the United States while such aircraft is in flight, if such act is likely to endanger the safety of that aircraft; (2) destroys a civil aircraft registered in a country other than the United States while such aircraft is in service or causes damage to such an aircraft which renders that aircraft incapable of flight or which is likely to endanger that aircraft's safety in flight; (3) places or causes to be placed on a civil aircraft registered in a country other than the United States while such aircraft is in service, a device or substance which is likely to destroy that aircraft, or to cause damage to that aircraft which renders that aircraft incapable of flight or which is likely to endanger that aircraft's safety in flight; or (4) attempts to commit an offense described in paragraphs (1) through (3) of this subsection; shall, if the offender is later found in the United States, be fined not more than $100,000 or imprisoned not more than twenty years, or both. (c) Whoever willfully imparts or conveys any threat to do an act which would violate any of paragraphs (1) through (5) of subsection (a) or any of paragraphs (1) through (3) of subsection (b) of this section, with an apparent determination and will to carry the threat into execution shall be fined not more than $25,000 or imprisoned not more than five years, or both. -SOURCE- (Added July 14, 1956, ch. 595, Sec. 1, 70 Stat. 539, and amended Oct. 12. 1984, Pub. L. 98-473, title II, Sec. 2013(b), 98 Stat. 2187; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7016, 102 Stat. 4395.) -MISC1- AMENDMENTS 1988 - Subsec. (a)(3). Pub. L. 100-690 substituted 'interfering' for 'intefering'. 1984 - Pub. L. 98-473 amended section generally. Prior to amendment section read as follows: 'Whoever willfully sets fire to, damages, destroys, disables, or wrecks any civil aircraft used, operated, or employed in interstate, overseas, or foreign air commerce; or 'Whoever willfully sets fire to, damages, destroys, disables, or wrecks any aircraft engine, propeller, appliance, or spare part with intent to damage, destroy, disable, or wreck any such aircraft; or 'Whoever, with like intent, willfully places or causes to be placed any destructive substance in, upon, or in proximity to any such aircraft, or any aircraft engine, propeller, appliance, spare part, fuel, lubricant, hydraulic fluid, or other material used or intended to be used in connection with the operation of any such aircraft, or any cargo carried or intended to be carried on any such aircraft, or otherwise makes or causes to be made any such aircraft, aircraft engine, propeller, appliance, spare part, fuel, lubricant, hydraulic fluid, or other material unworkable or unusable or hazardous to work or use; or 'Whoever, with like intent, willfully sets fire to, damages, destroys, disables, or wrecks, or places or causes to be placed any destructive substance in, upon, or in proximity to any shop, supply, structure, station, depot, terminal, hanger, ramp, landing area, air-navigation facility or other facility, warehouse, property, machine, or apparatus used or intended to be used in connection with the operation, loading, or unloading of any such aircraft or making any such aircraft ready for flight, or otherwise makes or causes to be made any such shop, supply, structure, station, depot, terminal, hangar, ramp, landing area, air-navigation facility or other facility, warehouse, property, machine, or apparatus unworkable or unusable or hazardous to work or use; or 'Whoever, with like intent, willfully incapacitates any member of the crew of any such aircraft; or 'Whoever willfully attempts to do any of the aforesaid acts or things - 'shall be fined not more than $10,000 or imprisoned not more than twenty years, or both.' EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Oct. 12, 1984, see section 2015 of Pub. L. 98-473, set out as a note under section 31 of this title. -CROSS- CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 5032 of this title; title 49 App. section 1357. ------DocID 23809 Document 51 of 1438------ -CITE- 18 USC Sec. 33 -EXPCITE- TITLE 18 PART I CHAPTER 2 -HEAD- Sec. 33. Destruction of motor vehicles or motor vehicle facilities -STATUTE- Whoever willfully, with intent to endanger the safety of any person on board or anyone who he believes will board the same, or with a reckless disregard for the safety of human life, damages, disables, destroys, tampers with, or places or causes to be placed any explosive or other destructive substance in, upon, or in proximity to, any motor vehicle which is used, operated, or employed in interstate or foreign commerce, or its cargo or material used or intended to be used in connection with its operation; or Whoever willfully, with like intent, damages, disables, destroys, sets fire to, tampers with, or places or causes to be placed any explosive or other destructive substance in, upon, or in proximity to any garage, terminal, structure, supply, or facility used in the operation of, or in support of the operation of, motor vehicles engaged in interstate or foreign commerce or otherwise makes or causes such property to be made unworkable, unusable, or hazardous to work or use; or Whoever, with like intent, willfully disables or incapacitates any driver or person employed in connection with the operation or maintenance of the motor vehicle, or in any way lessens the ability of such person to perform his duties as such; or Whoever willfully attempts to do any of the aforesaid acts - shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. -SOURCE- (Added July 14, 1956, ch. 595, Sec. 1, 70 Stat. 540.) -CROSS- CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2516 of this title. ------DocID 23810 Document 52 of 1438------ -CITE- 18 USC Sec. 34 -EXPCITE- TITLE 18 PART I CHAPTER 2 -HEAD- Sec. 34. Penalty when death results -STATUTE- Whoever is convicted of any crime prohibited by this chapter, which has resulted in the death of any person, shall be subject also to the death penalty or to imprisonment for life, if the jury shall in its discretion so direct, or, in the case of a plea of guilty, or a plea of not guilty where the defendant has waived a trial by jury, if the court in its discretion shall so order. -SOURCE- (Added July 14, 1956, ch. 595, Sec. 1, 70 Stat. 540.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 844 of this title. ------DocID 23811 Document 53 of 1438------ -CITE- 18 USC Sec. 35 -EXPCITE- TITLE 18 PART I CHAPTER 2 -HEAD- Sec. 35. Imparting or conveying false information -STATUTE- (a) Whoever imparts or conveys or causes to be imparted or conveyed false information, knowing the information to be false, concerning an attempt or alleged attempt being made or to be made, to do any act which would be a crime prohibited by this chapter or chapter 97 or chapter 111 of this title shall be subject to a civil penalty of not more than $1,000 which shall be recoverable in a civil action brought in the name of the United States. (b) Whoever willfully and maliciously, or with reckless disregard for the safety of human life, imparts or conveys or causes to be imparted or conveyed false information, knowing the information to be false, concerning an attempt or alleged attempt being made or to be made, to do any act which would be a crime prohibited by this chapter or chapter 97 or chapter 111 of this title - shall be fined not more than $5,000, or imprisoned not more than five years, or both. -SOURCE- (Added July 14, 1956, ch. 595, Sec. 1, 70 Stat. 540, and amended Oct. 3, 1961, Pub. L. 87-338, 75 Stat. 751; July 7, 1965, Pub. L. 89-64, 79 Stat. 210.) -MISC1- AMENDMENTS 1965 - Subsec. (a). Pub. L. 89-64 substituted 'subject to a civil penalty of not more than $1,000 which shall be recoverable in a civil action brought in the name of the United States' for 'fined not more than $1,000, or imprisoned not more than one year, or both'. 1961 - Pub. L. 87-338 designated existing provisions as subsec. (a), struck out 'willfully' before 'imparts or conveys', and added subsec. (b). ------DocID 23812 Document 54 of 1438------ -CITE- 18 USC CHAPTER 3 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- CHAPTER 3 - ANIMALS, BIRDS, FISH, AND PLANTS -MISC1- Sec. 41. Hunting, fishing, trapping; disturbance or injury on wildlife refuges. 42. Importation or shipment of injurious mammals, birds, fish (including mollusks and crustacea), amphibia, and reptiles; permits, specimens for museums; regulations. (43 to 45. Repealed.) 46. Transportation of water hyacinths. 47. Use of aircraft or motor vehicles to hunt certain wild horses or burros; pollution of watering holes. HISTORICAL AND REVISION NOTES The criminal provisions of the Migratory Bird Treaty Act, sections 703-711 of title 16, U.S.C., 1940 ed., Conservation, and the Migratory Bird Conservation Act, sections 715-715r of title 16, U.S.C., 1940 ed., Conservation, were considered for inclusion in this chapter. Since these provisions, except parts of sections 704-707 of said title 16, are so inextricably interwoven with the Migratory Bird Acts, it was found advisable to exclude them. AMENDMENTS 1990 - Pub. L. 101-647, title XII, Sec. 1206(b), title XXXV, Sec. 3506, Nov. 29, 1990, 104 Stat. 4832, 4922, substituted 'Importation or shipment of injurious mammals, birds, fish (including mollusks and crustacea), amphibia, and reptiles; permits, specimens for museums; regulations' for 'Importation of injurious animals and birds; permits; specimens for museums' in item 42, struck out item 43 'Transportation or importation in violation of state, national, or foreign laws', item 44 'Marking packages or containers', and item 45 'Capturing or killing carrier pigeons', and inserted '; pollution of watering holes' after 'burros' in item 47. 1959 - Pub. L. 86-234, Sec. 1(b), Sept. 8, 1959, 73 Stat. 470, added item 47. 1956 - Act Aug. 1, 1956, ch. 825, Sec. 2(b), 70 Stat. 798, amended chapter heading to include reference to 'Plants' and added item 46. ------DocID 23813 Document 55 of 1438------ -CITE- 18 USC Sec. 41 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- Sec. 41. Hunting, fishing, trapping; disturbance or injury on wildlife refuges -STATUTE- Whoever, except in compliance with rules and regulations promulgated by authority of law, hunts, traps, captures, willfully disturbs or kills any bird, fish, or wild animal of any kind whatever, or takes or destroys the eggs or nest of any such bird or fish, on any lands or waters which are set apart or reserved as sanctuaries, refuges or breeding grounds for such birds, fish, or animals under any law of the United States or willfully injures, molests, or destroys any property of the United States on any such lands or waters, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 686.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 145 and Sec. 676, 682, 683, 685, 688, 689b, 692a, and 694a of title 16, U.S.C., 1940 ed., Conservation (Jan. 24, 1905, ch. 137, Sec. 2, 33 Stat. 614; June 29, 1906, ch. 3593, Sec. 2, 34 Stat. 607; Mar. 4, 1909, ch. 321, Sec. 84, 35 Stat. 1104; Aug. 11, 1916, ch. 313, 39 Stat. 476; June 5, 1920, ch. 247, Sec. 2, 41 Stat. 986; Apr. 15, 1924, ch. 108, 43 Stat. 98; Feb. 28, 1925, ch. 376, 43 Stat. 1091; July 3, 1926, ch. 744, Sec. 6, 44 Stat. 821; July 3, 1926, ch. 776, Sec. 3, 44 Stat. 889; June 28, 1930, ch. 709, Sec. 2, 46 Stat. 828; Mar. 10, 1934, ch. 54, Sec. 2, 48 Stat. 400; Reorg. Plan No. II, Sec. 4(f), 4 F.R. 2731, 53 Stat. 1433). This revised section condenses, consolidates, and simplifies similar provisions of sections 676, 682, 683, 685, 688, 689b, 692a, and 694a of title 16, U.S.C., 1940 ed., with section 145 of title 18, U.S.C., 1940 ed., with such changes of phraseology as make clear the intent of Congress to protect all wildlife within Federal sanctuaries, refuges, fish hatcheries, and breeding grounds. Irrelevant provisions of such sections in title 16 are to be retained in that title. Because of the general nature of this consolidated section, no specific reference is made to rules and regulations issued by the Secretary of the Interior or any other personage, but only to rules and regulations 'promulgated by authority of law'. The punishment provided by the sections consolidated varied from a fine not exceeding $100 or imprisonment not exceeding 6 months, or both, in section 694a of title 16, U.S.C., 1940 ed., to a fine not exceeding $1,000 or imprisonment not exceeding 1 year, or both, in sections 676, 685, and 688 of such title 16. The revised section adopts the punishment provisions of the other five sections. The references to 'misdemeanor' in sections 676, 685, 688, 689b, 692a, and 694a of title 16, U.S.C., 1940 ed., were omitted as unnecessary in view of definition of 'misdemeanor' in section 1 of this title, and also to conform with policy followed by codifiers of the 1909 Criminal Code, as stated in Senate Report 10, part 1, pages 12, 13, 14, Sixtieth Congress, first session, to accompany S. 2982. Words 'upon conviction', contained in sections 676, 685, 688, 689b, 692a, and 694a of title 16, U.S.C., 1940 ed., were omitted as surplusage, because punishment can be imposed only after conviction. Words 'in any United States court of competent jurisdiction', in sections 676, 685, and 688 of title 16, U.S.C., 1940 ed., words 'in any United States court', in sections 689b, 692a, and 694a of such title 16, and words 'in the discretion of the court', in said sections 676, 685, 688, and 689b, were likewise omitted as surplusage. -CROSS- CROSS REFERENCES Game and bird preserves, see section 671 et seq. of Title 16, Conservation. Protection of migratory game and birds, see section 701 et seq. of Title 16. ------DocID 23814 Document 56 of 1438------ -CITE- 18 USC Sec. 42 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- Sec. 42. Importation or shipment of injurious mammals, birds, fish (including mollusks and crustacea), amphibia, and reptiles; permits, specimens for museums; regulations -STATUTE- (a)(1) The importation into the United States, any territory of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any possession of the United States, or any shipment between the continental United States, the District of Columbia, Hawaii, the Commonwealth of Puerto Rico, or any possession of the United States, of the mongoose of the species Herpestes auropunctatus; of the species of so-called 'flying foxes' or fruit bats of the genus Pteropus; of the zebra mussel of the species Dreissena polymorpha; and such other species of wild mammals, wild birds, fish (including mollusks and crustacea), amphibians, reptiles, or the offspring or eggs of any of the foregoing which the Secretary of the Interior may prescribe by regulation to be injurious to human beings, to the interests of agriculture, horticulture, forestry, or to wildlife or the wildlife resources of the United States, is hereby prohibited. All such prohibited mammals, birds, fish (including mollusks and crustacea), amphibians, and reptiles, and the eggs or offspring therefrom, shall be promptly exported or destroyed at the expense of the importer or consignee. Nothing in this section shall be construed to repeal or modify any provision of the Public Health Service Act or Federal Food, Drug, and Cosmetic Act. Also, this section shall not authorize any action with respect to the importation of any plant pest as defined in the Federal Plant Pest Act, insofar as such importation is subject to regulation under that Act. (2) As used in this subsection, the term 'wild' relates to any creatures that, whether or not raised in captivity, normally are found in a wild state; and the terms 'wildlife' and 'wildlife resources' include those resources that comprise wild mammals, wild birds, fish (including mollusks and crustacea), and all other classes of wild creatures whatsoever, and all types of aquatic and land vegetation upon which such wildlife resources are dependent. (3) Notwithstanding the foregoing, the Secretary of the Interior, when he finds that there has been a proper showing of responsibility and continued protection of the public interest and health, shall permit the importation for zoological, educational, medical, and scientific purposes of any mammals, birds, fish, (including mollusks and crustacea), amphibia, and reptiles, or the offspring or eggs thereof, where such importation would be prohibited otherwise by or pursuant to this Act, and this Act shall not restrict importations by Federal agencies for their own use. (4) Nothing in this subsection shall restrict the importation of dead natural-history specimens for museums or for scientific collections, or the importation of domesticated canaries, parrots (including all other species of psittacine birds), or such other cage birds as the Secretary of the Interior may designate. (5) The Secretary of the Treasury and the Secretary of the Interior shall enforce the provisions of this subsection, including any regulations issued hereunder, and, if requested by the Secretary of the Interior, the Secretary of the Treasury may require the furnishing of an appropriate bond when desirable to insure compliance with such provisions. (b) Whoever violates this section, or any regulation issued pursuant thereto, shall be fined not more than $500 or imprisoned not more than six months, or both. (c) The Secretary of the Interior within one hundred and eighty days of the enactment of the Lacey Act Amendments of 1981 shall prescribe such requirements and issue such permits as he may deem necessary for the transportation of wild animals and birds under humane and healthful conditions, and it shall be unlawful for any person, including any importer, knowingly to cause or permit any wild animal or bird to be transported to the United States, or any Territory or district thereof, under inhumane or unhealthful conditions or in violation of such requirements. In any criminal prosecution for violation of this subsection and in any administrative proceeding for the suspension of the issuance of further permits - (1) the condition of any vessel or conveyance, or the enclosures in which wild animals or birds are confined therein, upon its arrival in the United States, or any Territory or district thereof, shall constitute relevant evidence in determining whether the provisions of this subsection have been violated; and (2) the presence in such vessel or conveyance at such time of a substantial ratio of dead, crippled, diseased, or starving wild animals or birds shall be deemed prima facie evidence of the violation of the provisions of this subsection. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 687; May 24, 1949, ch. 139, Sec. 2, 63 Stat. 89; Sept. 2, 1960, Pub. L. 86-702, Sec. 1, 74 Stat. 753; Nov. 16, 1981, Pub. L. 97-79, Sec. 9(d), 95 Stat. 1079; Nov. 29, 1990, Pub. L. 101-646, title I, Sec. 1208, 104 Stat. 4772.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 391, 394 (Mar. 4, 1909, ch. 321, Sec. 241, 244, 35 Stat. 1137, 1138; June 15, 1935, ch. 261, title II, Sec. 201, 49 Stat. 381; Reorg. Plan No. II, Sec. 4(f), 4 F.R. 2731, 53 Stat. 1433). This section consolidates the provisions of sections 391 and 394 of title 18, U.S.C., 1940 ed., as subsections (a) and (b), respectively. In subsection (a) the words 'Territory or District thereof' were omitted as unnecessary in view of the definition of the United States in section 5 of this title. In subsection (b) the words 'upon conviction thereof', were omitted as surplusage because punishment can only be imposed after conviction. The amount of the fine was reduced from $1,000 to $500, thus making the violation a petty offense as defined in section 1 of this title. (See also section 41 of this title which provides a similar punishment.) Minor verbal changes were also made. 1949 ACT This section (section 2) incorporates in section 42 of title 18, U.S.C., with slight changes in phraseology, the provisions of act of June 29, 1948 (ch. 716, 62 Stat. 1096), which became law subsequent to the enactment of the revision of title 18. -REFTEXT- REFERENCES IN TEXT The Public Health Service Act, referred to in subsec. (a)(1), is act July 1, 1944, ch. 373, 58 Stat. 682, as amended, which is classified generally to chapter 6A (Sec. 201 et seq.) of Title 42, The Public Health and Welfare. For complete classification of this Act to the Code, see Short Title note set out under section 201 of Title 42 and Tables. The Federal Food, Drug, and Cosmetic Act, referred to in subsec. (a)(1), is act June 25, 1938, ch. 675, 52 Stat. 1040, as amended, which is classified generally to chapter 9 (Sec. 301 et seq.) of Title 21, Foods and Drugs. For complete classification of this Act to the Code, see section 301 of Title 21 and Tables. The Federal Plant Pest Act, referred to in subsec. (a)(1), is Pub. L. 85-36, title I, May 23, 1957, 71 Stat. 31, as amended, which is classified generally to chapter 7B (Sec. 150aa et seq.) of Title 7, Agriculture. For complete classification of this Act to the Code, see Short Title note set out under section 150aa of Title 7 and Tables. This Act, referred to in subsec. (a)(3), probably refers to Pub. L. 86-702, which amended this section and section 43 of this title. The enactment of the Lacey Act Amendments of 1981, referred to in subsec. (c), means the date of enactment of Pub. L. 97-79, which was approved Nov. 16, 1981. -MISC2- AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-646 inserted 'of the zebra mussel of the species Dreissena polymorpha;' after 'Pteropus;'. 1981 - Subsec. (c). Pub. L. 97-79 substituted 'Secretary of the Interior within one hundred and eighty days of the enactment of the Lacey Act Amendments of 1981' for 'Secretary of the Treasury'. 1960 - Pub. L. 86-702 substituted 'Importation or shipment of injurious mammals, birds, fish (including mollusks and crustacea), amphibia and reptiles; permits; specimens for museums; regulations' for 'Importation of injurious animals and birds; permits; specimens for museums' in section catchline. Subsec. (a)(1). Pub. L. 86-702 designated first sentence of subsec. (a) as par. (1), prohibited importation into the Commonwealth of Puerto Rico or any possession of the United States and shipments between the continental United States, the District of Columbia, Hawaii, the Commonwealth of Puerto Rico, or any possession of the United States, described the mongoose and flying foxes by their scientific names, extended the provisions prohibiting importation or shipment to include wild mammals, wild birds, fish (including mollusks and crustacea), amphibians, reptiles, or their eggs or offspring, empowered the Secretary to prohibit importation or shipment if injurious to human beings, forestry, or to wildlife or wildlife resources, required prompt exportation or destruction at the expense of the importer or consignee, provided that this section shall not be construed to repeal or modify any provision of the Public Health Service Act or Federal Food, Drug, and Cosmetic Act and that it shall not authorize any action with respect to the importation of plant pests, and deleted provisions which required destruction of prohibited birds and animals or their return at the expense of the owner, and which prohibited the importation of the English sparrow and the starling. Subsec. (a)(2), (3). Pub. L. 86-702 added pars. (2) and (3). Subsec. (a)(4). Pub. L. 86-702 designated second sentence of subsec. (a) as par. (4), limited importation of natural-history specimens to dead ones, and included all species of psittacine birds. Subsec. (a)(5). Pub. L. 86-702 designated third sentence of subsec. (a) as par. (5), authorized enforcement by the Secretary of the Interior, and permitted the Secretary of the Treasury, if requested by the Secretary of the Interior, to require the furnishing of a bond. Subsec. (b). Pub. L. 86-702 included violations of regulations. 1949 - Subsec. (a). Act May 24, 1949, made section applicable to any Territory or district thereof as well as to the United States, and changed phraseology. Subsec. (b). Act May 24, 1949, reenacted subsec. (b) without change. Subsec. (c). Act May 24, 1949, added subsec. (c). EXOTIC ORGANISMS For provisions relating to restrictions on the introduction of exotic organisms into natural ecosystems of the United States, see Ex. Ord. No. 11987, May 24, 1977, 42 F.R. 26949, set out as a note under section 4321 of Title 42, The Public Health and Welfare. -CROSS- CROSS REFERENCES Preservation of game and wild birds; duties and powers of Secretary of the Interior; regulations as to hunting, see section 701 et seq. of Title 16, Conservation. Unlawful transportation or importation of migratory birds, see sections 705 and 707 of Title 16. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 19 section 1527. ------DocID 23815 Document 57 of 1438------ -CITE- 18 USC Sec. 43, 44 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- (Sec. 43, 44. Repealed. Pub. L. 97-79, Sec. 9(b)(2), Nov. 16, 1981, 95 Stat. 1079) -MISC1- Section 43, acts June 25, 1948, ch. 645, 62 Stat. 687; Sept. 2, 1960, Pub. L. 86-702, Sec. 2, 74 Stat. 754; Dec. 5, 1969, Pub. L. 91-135, Sec. 7(a), 83 Stat. 279, related to transportation of wildlife taken in violation of state, national, or foreign law, the receipt of such wildlife, and the making of false records in relation thereto. See section 3372(a) of Title 16, Conservation. Section 44, acts June 25, 1948, ch. 645, 62 Stat. 687; Dec. 5, 1969, Pub. L. 91-135, Sec. 8, 83 Stat. 281, related to marking of packages or containers used in the shipment of fish and wildlife. See section 3372(b) of Title 16. ------DocID 23816 Document 58 of 1438------ -CITE- 18 USC Sec. 45 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- (Sec. 45. Repealed. Pub. L. 101-647, title XII, Sec. 1206(a), Nov. 29, 1990, 104 Stat. 4832) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 688, related to penalties for capturing or killing carrier pigeons. ------DocID 23817 Document 59 of 1438------ -CITE- 18 USC Sec. 46 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- Sec. 46. Transportation of water hyacinths -STATUTE- (a) Whoever knowingly delivers or receives for transportation, or transports, in interstate commerce, alligator grass (alternanthera philoxeroides), or water chestnut plants (trapa natans) or water hyacinth plants (eichhornia crassipes) or the seeds of such grass or plants; or (b) Whoever knowingly sells, purchases, barters, exchanges, gives, or receives any grass, plant, or seed which has been transported in violation of subsection (a); or (c) Whoever knowingly delivers or receives for transportation, or transports, in interstate commerce, an advertisement, to sell, purchase, barter, exchange, give, or receive alligator grass or water chestnut plants or water hyacinth plants or the seeds of such grass or plants - Shall be fined not more than $500, or imprisoned not more than six months, or both. -SOURCE- (Added Aug. 1, 1956, ch. 825, Sec. 1, 70 Stat. 797.) ------DocID 23818 Document 60 of 1438------ -CITE- 18 USC Sec. 47 -EXPCITE- TITLE 18 PART I CHAPTER 3 -HEAD- Sec. 47. Use of aircraft or motor vehicles to hunt certain wild horses or burros; pollution of watering holes -STATUTE- (a) Whoever uses an aircraft or a motor vehicle to hunt, for the purpose of capturing or killing, any wild unbranded horse, mare, colt, or burro running at large on any of the public land or ranges shall be fined not more than $500, or imprisoned not more than six months, or both. (b) Whoever pollutes or causes the pollution of any watering hole on any of the public land or ranges for the purpose of trapping, killing, wounding, or maiming any of the animals referred to in subsection (a) of this section shall be fined not more than $500, or imprisoned not more than six months, or both. (c) As used in subsection (a) of this section - (1) The term 'aircraft' means any contrivance used for flight in the air; and (2) The term 'motor vehicle' includes an automobile, automobile truck, automobile wagon, motorcycle, or any other self-propelled vehicle designed for running on land. -SOURCE- (Added Pub. L. 86-234, Sec. 1(a), Sept. 8, 1959, 73 Stat. 470.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 16 section 1338a. ------DocID 23819 Document 61 of 1438------ -CITE- 18 USC CHAPTER 5 -EXPCITE- TITLE 18 PART I CHAPTER 5 -HEAD- CHAPTER 5 - ARSON -MISC1- Sec. 81. Arson within special maritime and territorial jurisdiction. ------DocID 23820 Document 62 of 1438------ -CITE- 18 USC Sec. 81 -EXPCITE- TITLE 18 PART I CHAPTER 5 -HEAD- Sec. 81. Arson within special maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, willfully and maliciously sets fire to or burns, or attempts to set fire to or burn any building, structure or vessel, any machinery or building materials or supplies, military or naval stores, munitions of war, or any structural aids or appliances for navigation or shipping, shall be fined not more than $1,000 or imprisoned not more than five years, or both. If the building be a dwelling or if the life of any person be placed in jeopardy, he shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 688.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 464, 465 (Mar. 4, 1909, ch. 321, Sec. 285, 286, 35 Stat. 1144). Sections were consolidated and rewritten both as to form and substance and that part of each section relating to destruction of property by means other than burning constitutes section 1363 of this title. The words 'within the maritime and territorial jurisdiction of the United States' were added to preserve existing limitations of territorial applicability. (See section 7 of this title and note thereunder.) The phrase 'any building, structure, or vessel, any machinery or building materials and supplies, military or naval stores, munitions of war or any structural aids or appliances for navigation or shipping' was substituted for 'any dwelling house, or any store, barn, stable, or other building, parcel of a dwelling house', in section 464 of title 18, U.S.C., 1940 ed., and 'any arsenal, armory, magazine, rope walk, ship house, warehouse, blockhouse, or barrack, or any storehouse, barn or stable, not parcel of a dwelling house, or any other building not mentioned in the section last preceding, or any vessel, built, building, or undergoing repair, or any lighthouse, or beacon, or any machinery, timber, cables, rigging, or other materials or appliances for building, repairing or fitting out vessels, or any pile of wood, boards, or other lumber, or any military, naval or victualing stores, arms, or other munitions of war', in section 465 of title 18, U.S.C., 1940 ed. The substituted phrase is a concise and comprehensive description of the things enumerated in both sections. The punishment provisions are new and are graduated with some regard to the gravity of the offense. It was felt that a possible punishment of 20 years for burning a wood pile or injuring or destroying an outbuilding was disproportionate and not in harmony with recent legislation. -CROSS- CROSS REFERENCES Setting fire to railroad tunnels, bridges, etc., see section 1992 of this title. Special maritime and territorial jurisdiction of the United States defined, see section 7 of this title. Vessel of foreign or United States registry, see section 2275 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 5032 of this title. ------DocID 23821 Document 63 of 1438------ -CITE- 18 USC CHAPTER 7 -EXPCITE- TITLE 18 PART I CHAPTER 7 -HEAD- CHAPTER 7 - ASSAULT -MISC1- Sec. 111. Assaulting, resisting, or impeding certain officers or employees. 112. Protection of foreign officials, official guests, and internationally protected persons. 113. Assaults within maritime and territorial jurisdiction. 114. Maiming within maritime and territorial jurisdiction. 115. Influencing, impeding, or retaliating against a Federal official by threatening or injuring a family member. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 1008(b), Oct. 12, 1984, 98 Stat. 2140, added item 115. 1976 - Pub. L. 94-467, Sec. 6, Oct. 8, 1976, 90 Stat. 2000, substituted 'official guests, and internationally protected persons' for 'and official guests' in item 112. 1972 - Pub. L. 92-539, title III, Sec. 302, Oct. 24, 1972, 86 Stat. 1073, substituted 'Protection of foreign officials and official guests' for 'Assaulting certain foreign diplomatic and other official personnel' in item 112. 1964 - Pub. L. 88-493, Sec. 2, Aug. 27, 1964, 78 Stat. 610, substituted 'certain foreign diplomatic and other official personnel' for 'public minister' in item 112. ------DocID 23822 Document 64 of 1438------ -CITE- 18 USC Sec. 111 -EXPCITE- TITLE 18 PART I CHAPTER 7 -HEAD- Sec. 111. Assaulting, resisting, or impeding certain officers or employees -STATUTE- (a) In General. - Whoever - (1) forcibly assaults, resists, opposes, impedes, intimidates, or interferes with any person designated in section 1114 of this title while engaged in or on account of the performance of official duties; or (2) forcibly assaults or intimidates any person who formerly served as a person designated in section 1114 on account of the performance of official duties during such person's term of service, shall be fined under this title or imprisoned not more than three years, or both. (b) Enhanced Penalty. - Whoever, in the commission of any acts described in subsection (a), uses a deadly or dangerous weapon, shall be fined under this title or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 688; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6487(a), 102 Stat. 4386.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 118, 254 (Mar. 4, 1909, ch. 321, Sec. 62, 35 Stat. 1100; May 18, 1934, ch. 299, Sec. 2, 48 Stat. 781). This section consolidates sections 118 and 254 with changes in phraseology and substance necessary to effect the consolidation. Also the words 'Bureau of Animal Industry of the Department of Agriculture' appearing in section 118 of title 18, U.S.C., 1940 ed., were inserted in enumeration of Federal officers and employees in section 1114 of this title. The punishment provision of section 254 of title 18, U.S.C., 1940 ed., was adopted as the latest expression of Congressional intent. This consolidation eliminates a serious incongruity in punishment and application. AMENDMENTS 1988 - Pub. L. 100-690 amended text generally. Prior to amendment, text read as follows: 'Whoever forcibly assaults, resists, opposes, impedes, intimidates, or interferes with any person designated in section 1114 of this title while engaged in or on account of the performance of his official duties, shall be fined not more than $5,000 or imprisoned not more than three years, or both. 'Whoever, in the commission of any such acts uses a deadly or dangerous weapon, shall be fined not more than $10,000 or imprisoned not more than ten years, or both.' -CROSS- CROSS REFERENCES Bank robbery, assault in committing, see section 2113 of this title. Indians - Assault by Indian in Indian country, see section 1153 of this title. Jurisdiction of offenses by Indians in Indian country, see section 3242 of this title. Mail clerk or custodian, assault on, see section 2114 and 2116 of this title. Persons authorized to serve or execute warrants or to make searches and seizures, assault on, see section 2231 of this title. Piracy, assault on commander as, see section 1655 of this title. Process server, assault on, see section 1501 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 115, 3050 of this title; title 7 sections 84, 87c; title 16 section 742l; title 19 section 1629; title 22 section 2709; title 25 section 2804; title 42 sections 2000e-13, 2283. ------DocID 23823 Document 65 of 1438------ -CITE- 18 USC Sec. 112 -EXPCITE- TITLE 18 PART I CHAPTER 7 -HEAD- Sec. 112. Protection of foreign officials, official guests, and internationally protected persons -STATUTE- (a) Whoever assaults, strikes, wounds, imprisons, or offers violence to a foreign official, official guest, or internationally protected person or makes any other violent attack upon the person or liberty of such person, or, if likely to endanger his person or liberty, makes a violent attack upon his official premises, private accommodation, or means of transport or attempts to commit any of the foregoing shall be fined not more than $5,000 or imprisoned not more than three years, or both. Whoever in the commission of any such act uses a deadly or dangerous weapon shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (b) Whoever willfully - (1) intimidates, coerces, threatens, or harasses a foreign official or an official guest or obstructs a foreign official in the performance of his duties; (2) attempts to intimidate, coerce, threaten, or harass a foreign official or an official guest or obstruct a foreign official in the performance of his duties; or (3) within the United States and within one hundred feet of any building or premises in whole or in part owned, used, or occupied for official business or for diplomatic, consular, or residential purposes by - (A) a foreign government, including such use as a mission to an international organization; (B) an international organization; (C) a foreign official; or (D) an official guest; congregates with two or more other persons with intent to violate any other provision of this section; shall be fined not more than $500 or imprisoned not more than six months, or both. (c) For the purpose of this section 'foreign government', 'foreign official', 'internationally protected person', 'international organization', and 'official guest' shall have the same meanings as those provided in section 1116(b) of this title. (d) Nothing contained in this section shall be construed or applied so as to abridge the exercise of rights guaranteed under the first amendment to the Constitution of the United States. (e) If the victim of an offense under subsection (a) is an internationally protected person, the United States may exercise jurisdiction over the offense if the alleged offender is present within the United States, irrespective of the place where the offense was committed or the nationality of the victim or the alleged offender. As used in this subsection, the United States includes all areas under the jurisdiction of the United States including any of the places within the provisions of sections 5 and 7 of this title and section 101(38) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(38)). (f) In the course of enforcement of subsection (a) and any other sections prohibiting a conspiracy or attempt to violate subsection (a), the Attorney General may request assistance from any Federal, State, or local agency, including the Army, Navy, and Air Force, any statute, rule, or regulation to the contrary, notwithstanding. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 688; Aug. 27, 1964, Pub. L. 88-493, Sec. 1, 78 Stat. 610; Oct. 24, 1972, Pub. L. 92-539, title III, Sec. 301, 86 Stat. 1072; Oct. 8, 1976, Pub. L. 94-467, Sec. 5, 90 Stat. 1999; Nov. 9, 1977, Pub. L. 95-163, Sec. 17(b)(1), 91 Stat. 1286; Oct. 24, 1978, Pub. L. 95-504, Sec. 2(b), 92 Stat. 1705; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6478, 102 Stat. 4381.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 255 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (R.S. Sec. 4062). Punishment provision was rewritten to make it more definite by substituting a maximum of $5,000 in lieu of the words 'fined at the discretion of the court.' As thus revised this provision conforms with the first punishment provision of section 111 of this title. So, also, the greater punishment provided by the second paragraph of section 111 was added to this section for offenses involving the use of dangerous weapons. -REFTEXT- REFERENCES IN TEXT Section 101(38) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(38)), referred to in subsec. (e), is classified to section 1301(38) of Title 49, Appendix, Transportation. -MISC2- AMENDMENTS 1988 - Subsec. (b)(3). Pub. L. 100-690 struck out 'but outside the District of Columbia' after 'United States'. 1978 - Subsec. (e). Pub. L. 95-504 substituted reference to section 101(38) of the Federal Aviation Act of 1958 for reference to section 101(35) of such Act. 1977 - Subsec. (e). Pub. L. 95-163 substituted reference to section 101(35) of the Federal Aviation Act of 1958 for reference to section 101(34) of such Act. 1976 - Pub. L. 94-467 substituted 'official guests, and internationally protected persons' for 'and official guests' in section catchline. Subsec. (a). Pub. L. 94-467 substituted 'official guest, or internationally protected person' for 'or official guest' and inserted provision including any other violent attack on the person or the liberty of such official, guest, or protected person, his official premises, private accommodation, or means of transport, or any attempt thereof, as acts subject to fine or imprisonment. Subsec. (b). Pub. L. 94-467 restructured subsec. (b) and added pars. (2) and (3). Subsec. (c). Pub. L. 94-467 redesignated subsec. (d) as (c), inserted 'internationally protected persons', and struck out reference to section 1116(c) of this title. Former subsec. (c), which related to punishment for intimidating or harassing demonstrations against foreign officials or any combination of two or more persons for such purposes, within one hundred feet of any buildings or premises owned by a foreign government located within the United States but outside the District of Columbia, was struck out. Subsecs. (d) to (f). Pub. L. 94-467 added subsecs. (e) and (f) and redesignated former subsecs. (d) and (e) as (c) and (d), respectively. 1972 - Subsec. (a). Pub. L. 92-539 substituted 'Protection of foreign officials and official guests' for 'Assaulting certain foreign diplomatic and other official personnel' in section catchline, designated existing provisions as subsec. (a), and substituted 'a foreign official or official guest' for 'the person of a head of foreign state or foreign government, foreign minister, ambassador or other public minister' and 'act' for 'acts'. Subsecs. (b) to (e). Pub. L. 92-539 added subsecs. (b) to (e). 1964 - Pub. L. 88-493 included heads of foreign states or governments and foreign ministers. SHORT TITLE OF 1976 AMENDMENT Section 1 of Pub. L. 94-467 provided: 'That this Act (enacting section 878 of this title, amending this section and sections 11, 970, 1116, and 1201 of this title, and enacting provisions set out as notes under this section) may be cited as the 'Act for the Prevention and Punishment of Crimes Against Internationally Protected Persons'.' SHORT TITLE OF 1972 AMENDMENT Section 1 of Pub. L. 92-539 provided: 'That this Act (enacting sections 970, 1116, and 1117 of this title, amending this section and section 1201 of this title, and enacting provisions set out as notes under this section) may be cited as the 'Act for the Protection of Foreign Officials and Official Guests of the United States'.' STATE AND LOCAL LAWS NOT SUPERSEDED Section 10 of Pub. L. 94-467 provided that: 'Nothing contained in this Act (see Short Title of 1976 Amendment note above) shall be construed to indicate an intent on the part of Congress to occupy the field in which its provisions operate to the exclusion of the laws of any State, Commonwealth, territory, possession, or the District of Columbia, on the same subject matter, nor to relieve any person of any obligation imposed by any law of any State, Commonwealth, territory, possession, or the District of Columbia, including the obligation of all persons having official law enforcement powers to take appropriate action, such as effecting arrests, for Federal as well as non-Federal violations.' CONGRESSIONAL FINDINGS AND DECLARATION OF POLICY Section 2 of Pub. L. 92-539 provided that: 'The Congress recognizes that from the beginning of our history as a nation, the police power to investigate, prosecute, and punish common crimes such as murder, kidnaping, and assault has resided in the several States, and that such power should remain with the States. 'The Congress finds, however, that harassment, intimidation, obstruction, coercion, and acts of violence committed against foreign officials or their family members in the United States or against official guests of the United States adversely affect the foreign relations of the United States. 'Accordingly, this legislation is intended to afford the United States jurisdiction concurrent with that of the several States to proceed against those who by such acts interfere with its conduct of foreign affairs.' FEDERAL PREEMPTION Section 3 of Pub. L. 92-539 provided that: 'Nothing contained in this Act (see Short Title of 1972 Amendment note above) shall be construed to indicate an intent on the part of Congress to occupy the field in which its provisions operate to the exclusion of the laws of any State, Commonwealth, territory, possession, or the District of Columbia on the same subject matter, nor to relieve any person of any obligation imposed by any law of any State, Commonwealth, territory, possession, or the District of Columbia.' IMMUNITY FROM CRIMINAL PROSECUTION Section 5 of Pub. L. 88-493 provided that: 'Nothing contained in this Act (amending this section and section 1114 of this title, and enacting section 170e-1 of former Title 5, Executive Departments and Government Officers and Employees) shall create immunity from criminal prosecution under any laws in any State, Commonwealth of Puerto Rico, territory, possession, or the District of Columbia.' -CROSS- CROSS REFERENCES Actions or proceedings by ambassadors or other public ministers, jurisdiction of Supreme Court, see section 1251 of Title 28, Judiciary and Judicial Procedure. Alien's action for tort, jurisdiction of district courts, see section 1350 of Title 28. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 11, 878 of this title; title 22 section 2709. ------DocID 23824 Document 66 of 1438------ -CITE- 18 USC Sec. 113 -EXPCITE- TITLE 18 PART I CHAPTER 7 -HEAD- Sec. 113. Assaults within maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, is guilty of an assault shall be punished as follows: (a) Assault with intent to commit murder, by imprisonment for not more than twenty years. (b) Assault with intent to commit any felony, except murder or a felony under chapter 109A, by fine of not more than $3,000 or imprisonment for not more than ten years, or both. (c) Assault with a dangerous weapon, with intent to do bodily harm, and without just cause or excuse, by fine of not more than $1,000 or imprisonment for not more than five years, or both. (d) Assault by striking, beating, or wounding, by fine of not more than $500 or imprisonment for not more than six months, or both. (e) Simple assault, by fine of not more than $300 or imprisonment for not more than three months, or both. (f) Assault resulting in serious bodily injury, by fine of not more than $10,000 or imprisonment for not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 689; May 29, 1976, Pub. L. 94-297, Sec. 3, 90 Stat. 585; Nov. 10, 1986, Pub. L. 99-646, Sec. 87(c)(2), (3), 100 Stat. 3623; Nov. 14, 1986, Pub. L. 99-654, Sec. 3(a)(2), (3), 100 Stat. 3663.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 455 (Mar. 4, 1909, ch. 321, Sec. 276, 35 Stat. 1143). Opening paragraph was added to preserve the jurisdictional limitation provided for by section 451 of title 18, U.S.C., 1940 ed., now section 7 of this title. (See reviser's note thereunder.) Phraseology was simplified. AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646, Sec. 87(c)(2), and Pub. L. 99-654, Sec. 3(a)(2), amended subsec. (a) identically, striking out 'or rape' after 'murder'. Subsec. (b). Pub. L. 99-646, Sec. 87(c)(3), and Pub. L. 99-654, Sec. 3(a)(3), amended subsec. (b) identically, substituting 'a felony under chapter 109A' for 'rape'. 1976 - Subsec. (f). Pub. L. 94-297 added subsec. (f). EFFECTIVE DATE OF 1986 AMENDMENTS Amendments by Pub. L. 99-646 and Pub. L. 99-654 effective respectively 30 days after Nov. 10, 1986, and 30 days after Nov. 14, 1986, see section 87(e) of Pub. L. 99-646 and section 4 of Pub. L. 99-654, set out as an Effective Date note under section 2241 of this title. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. Attempt to commit murder or manslaughter, see section 1113 of this title. Wire or oral communications authorization for interception, to provide evidence of murder, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1113 of this title; title 49 App. section 1472. ------DocID 23825 Document 67 of 1438------ -CITE- 18 USC Sec. 114 -EXPCITE- TITLE 18 PART I CHAPTER 7 -HEAD- Sec. 114. Maiming within maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, and with intent to maim or disfigure, cuts, bites, or slits the nose, ear, or lip, or cuts out or disables the tongue, or puts out or destroys an eye, or cuts off or disables a limb or any member of another person; or Whoever, within the special maritime and territorial jurisdiction of the United States, and with like intent, throws or pours upon another person, any scalding water, corrosive acid, or caustic substance - Shall be fined not more than $25,000 or imprisoned not more than twenty years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 689; May 24, 1949, ch. 139, Sec. 3, 63 Stat. 90; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1009A, 98 Stat. 2141; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3507, 104 Stat. 4922.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 462 (Mar. 4, 1909, ch. 321, Sec. 283, 35 Stat. 1144). The words 'within the special maritime and territorial jurisdiction of the United States, and' were added to preserve jurisdictional limitation provided for by section 451 of title 18, U.S.C., 1940 ed., now section 7 of this title. (See reviser's note thereunder.) Changes in phraseology were made. 1949 ACT This section (section 3) corrects a typographical error in section 114 of title 18, U.S.C. AMENDMENTS 1990 - Pub. L. 101-647 substituted 'or imprisoned' for 'and imprisoned'. 1984 - Pub. L. 98-473 substituted 'and imprisoned' for 'or imprisoned' and provisions raising maximum fine from $1,000 to $25,000 and raising maximum term of imprisonment from seven years to twenty years. 1949 - Act May 24, 1949, corrected spelling of 'maim'. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 49 App. section 1472. ------DocID 23826 Document 68 of 1438------ -CITE- 18 USC Sec. 115 -EXPCITE- TITLE 18 PART I CHAPTER 7 -HEAD- Sec. 115. Influencing, impeding, or retaliating against a Federal official by threatening or injuring a family member -STATUTE- (a)(1) Whoever - (A) assaults, kidnaps, or murders, or attempts to kidnap or murder, or threatens to assault, kidnap or murder a member of the immediate family of a United States official, a United States judge, a Federal law enforcement officer, or an official whose killing would be a crime under section 1114 of this title; or (B) threatens to assault, kidnap, or murder, a United States official, a United States judge, a Federal law enforcement officer, or an official whose killing would be a crime under such section, with intent to impede, intimidate, or interfere with such official, judge, or law enforcement officer while engaged in the performance of official duties, or with intent to retaliate against such official, judge, or law enforcement officer on account of the performance of official duties, shall be punished as provided in subsection (b). (2) Whoever assaults, kidnaps, or murders, or attempts to kidnap or murder a member of the immediate family of any person who formerly served as a person designated in paragraph (1), with intent to retaliate against such person on account of the performance of official duties during the term of service of such person, shall be punished as provided in subsection (b). (b)(1) An assault in violation of this section shall be punished as provided in section 111 of this title. (2) A kidnaping or attempted kidnaping in violation of this section shall be punished as provided in section 1201 of this title for the kidnapping or attempted kidnapping of a person described in section 1201(a)(5) of this title. (3) A murder or attempted murder in violation of this section shall be punished as provided in sections 1111 and 1113 of this title. (4) A threat made in violation of this section shall be punished by a fine of not more than $5,000 or imprisonment for a term of not more than five years, or both, except that imprisonment for a threatened assault shall not exceed three years. (c) As used in this section, the term - (1) 'Federal law enforcement officer' means any officer, agent, or employee of the United States authorized by law or by a Government agency to engage in or supervise the prevention, detection, investigation, or prosecution of any violation of Federal criminal law; (2) 'immediate family member' of an individual means - (A) his spouse, parent, brother or sister, child or person to whom he stands in loco parentis; or (B) any other person living in his household and related to him by blood or marriage; (3) 'United States judge' means any judicial officer of the United States, and includes a justice of the Supreme Court and a United States magistrate; and (4) 'United States official' means the President, President-elect, Vice President, Vice President-elect, a Member of Congress, a member-elect of Congress, a member of the executive branch who is the head of a department listed in 5 U.S.C. 101, or the Director of the Central Intelligence Agency. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1008(a), Oct. 12, 1984, 98 Stat. 2140, and amended Pub. L. 99-646, Sec. 37(a), 60, Nov. 10, 1986, 100 Stat. 3599, 3613; Pub. L. 100-690, title VI, Sec. 6487(f)(b), Nov. 18, 1988, 102 Stat. 4386; Pub. L. 101-647, title XXXV, Sec. 3508, Nov. 29, 1990, 104 Stat. 4922.) -MISC1- AMENDMENTS 1990 - Subsec. (c)(4). Pub. L. 101-647 substituted 'the Central' for 'The Central'. 1988 - Subsec. (a). Pub. L. 100-690 amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: 'Whoever assaults, kidnaps, or murders, or attempts to kidnap or murder, or threatens to assault, kidnap or murder a member of the immediate family of a United States official, a United States judge, a Federal law enforcement officer, or an official whose killing would be a crime under section 1114 of this title, or threatens to assault, kidnap, or murder, a United States official, a United States judge, a Federal law enforcement officer, or an official whose killing would be a crime under such section with intent to impede, intimidate, interfere with, or retaliate against such official, judge or law enforcement officer while engaged in or on account of the performance of official duties, shall be punished as provided in subsection (b).' 1986 - Subsec. (a). Pub. L. 99-646, Sec. 60, substituted 'section 1114 of this title, or threatens to assault, kidnap, or murder, a United States official, a United States judge, a Federal law enforcement officer, or an official whose killing would be a crime under such section' for '18 U.S.C. 1114, as amended,', 'while engaged' for 'while he is engaged', and 'official duties' for 'his official duties'. Subsec. (b)(2). Pub. L. 99-646, Sec. 37(a), inserted 'for the kidnapping or attempted kidnapping of a person described in section 1201(a)(5) of this title'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 4243 of this title. ------DocID 23827 Document 69 of 1438------ -CITE- 18 USC CHAPTER 9 -EXPCITE- TITLE 18 PART I CHAPTER 9 -HEAD- CHAPTER 9 - BANKRUPTCY -MISC1- Sec. 151. Definition. 152. Concealment of assets; false oaths and claims; bribery. 153. Embezzlement by trustee or officer. 154. Adverse interest and conduct of officers. 155. Fee agreements in cases under title 11 and receiverships. AMENDMENTS 1978 - Pub. L. 95-598, title III, Sec. 314(b)(2), (d)(3), (e)(3), (f)(3), Nov. 6, 1978, 92 Stat. 2677, substituted in item 151 'Definition' for 'Definitions'; struck from item 153 ', receiver' after 'trustee' and from item 154 'referees and other' before 'officers'; and substituted in item 155 'cases under title 11 and receiverships' for 'bankruptcy proceedings'. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3057 of this title. ------DocID 23828 Document 70 of 1438------ -CITE- 18 USC Sec. 151 -EXPCITE- TITLE 18 PART I CHAPTER 9 -HEAD- Sec. 151. Definition -STATUTE- As used in this chapter, the term 'debtor' mean (FOOTNOTE 1) a debtor concerning whom a petition has been filed under title 11. (FOOTNOTE 1) So in original. Probably should be 'means'. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 689; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(b)(1), 92 Stat. 2676.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 52(f) of title 11, U.S.C., 1940 ed., Bankruptcy (July 1, 1898, ch. 541, Sec. 29f as added June 22, 1938, ch. 575, Sec. 1, 52 Stat. 857). Definition of 'bankruptcy' was added to avoid repetitious references to said title 11. Minor changes in phraseology was made. AMENDMENTS 1978 - Pub. L. 95-598 substituted 'Definition' for 'Definitions' in section catchline, substituted definition of 'debtor' as a debtor concerning whom a petition has been filed under title 11 for definition of 'bankrupt' as a debtor by or against whom a petition has been filed under title 11, and struck out definition of 'bankruptcy' as including any proceeding, arrangement, or plan pursuant to title 11. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. -CROSS- CROSS REFERENCES General definitions, see section 101 of Title 11, Bankruptcy. ------DocID 23829 Document 71 of 1438------ -CITE- 18 USC Sec. 152 -EXPCITE- TITLE 18 PART I CHAPTER 9 -HEAD- Sec. 152. Concealment of assets; false oaths and claims; bribery -STATUTE- Whoever knowingly and fraudulently conceals from a custodian, trustee, marshal, or other officer of the court charged with the control or custody of property, or from creditors in any case under title 11, any property belonging to the estate of a debtor; or Whoever knowingly and fraudulently makes a false oath or account in or in relation to any case under title 11; or Whoever knowingly and fraudulently makes a false declaration, certificate, verification, or statement under penalty of perjury as permitted under section 1746 of title 28, United States Code, in or in relation to any case under title 11; or Whoever knowingly and fraudulently presents any false claim for proof against the estate of a debtor, or uses any such claim in any case under title 11, personally, or by agent, proxy, or attorney, or as agent, proxy, or attorney; or Whoever knowingly and fraudulently receives any material amount of property from a debtor after the filing of a case under title 11, with intent to defeat the provisions of title 11; or Whoever knowingly and fraudulently gives, offers, receives or attempts to obtain any money or property, remuneration, compensation, reward, advantage, or promise thereof, for acting or forbearing to act in any case under title 11; or Whoever, either individually or as an agent or officer of any person or corporation, in contemplation of a case under title 11 by or against him or any other person or corporation, or with intent to defeat the provisions of title 11, knowingly and fraudulently transfers or conceals any of his property or the property of such other person or corporation; or Whoever, after the filing of a case under title 11 or in contemplation thereof, knowingly and fraudulently conceals, destroys, mutilates, falsifies, or makes a false entry in any recorded information, including books, documents, records, and papers, relating to the property or financial affairs of a debtor; or Whoever, after the filing of a case under title 11, knowingly and fraudulently withholds from a custodian, trustee, marshal, or other officer of the court entitled to its possession, any recorded information, including books, documents, records, and papers, relating to the property or financial affairs of a debtor. Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 689; June 12, 1960, Pub. L. 86-519, Sec. 2, 74 Stat. 217; Sept. 2, 1960, Pub. L. 86-701, 74 Stat. 753; Oct. 18, 1976, Pub. L. 94-550, Sec. 4, 90 Stat. 2535; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(a), (c), 92 Stat. 2676, 2677; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7017, 102 Stat. 4395.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 52(b) of title 11, U.S.C., 1940 ed., Bankruptcy (July 1, 1898, ch. 541, Sec. 29b, 30 Stat. 554; May 27, 1926, ch. 406, Sec. 11 (part), 44 Stat. 665; June 22, 1938, ch. 575, Sec. 1 (part), 52 Stat. 855). Section was broadened to apply to one who gives or offers a bribe. Minor changes were made in phraseology. AMENDMENTS 1988 - Pub. L. 100-690 substituted 'penalty of perjury' for 'penalty or perjury' in third par. 1978 - Pub. L. 95-598 substituted, wherever appearing, 'debtor' for 'bankrupt', 'case under title 11' for 'bankruptcy proceeding', and 'provisions of title 11' for 'bankruptcy law'; and substituted 'a custodian' for 'the receiver, custodian', wherever appearing, and 'recorded information, including books, documents, records, and papers, relating to the property or financial affairs' for 'document affecting or relating to the property or affairs', in two places. 1976 - Pub. L. 94-550 inserted paragraph covering the knowing and fraudulent making of a false declaration, certificate, verification, or statement under penalty of perjury as permitted under section 1746 of title 28 or in relation to any bankruptcy proceeding. 1960 - Pub. L. 86-701 included fraudulent transfers and concealment of property by persons in their individual capacity in sixth par. Pub. L. 86-519 struck out 'under oath' after 'knowingly and fraudulently presents' in third par. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. -CROSS- CROSS REFERENCES Bankruptcy investigations; duties of United States attorney, see section 3057 of this title. Discharges, refusal to grant when offense committed, see section 727 of Title 11, Bankruptcy. Limitation of prosecutions, see sections 3282, 3284 of this title. Wire or oral communications, authorization for interception, to provide evidence of bankruptcy fraud offenses, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title; title 7 section 12a; title 15 sections 78o, 80b-3. ------DocID 23830 Document 72 of 1438------ -CITE- 18 USC Sec. 153 -EXPCITE- TITLE 18 PART I CHAPTER 9 -HEAD- Sec. 153. Embezzlement by trustee or officer -STATUTE- Whoever knowingly and fraudulently appropriates to his own use, embezzles, spends, or transfers any property or secretes or destroys any document belonging to the estate of a debtor which came into his charge as trustee, custodian, marshal, or other officer of the court, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 690; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(a)(1), (d)(1), (2), 92 Stat. 2676, 2677.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 52(a) of title 11, U.S.C., 1940 ed., Bankruptcy (July 1, 1898, ch. 541, Sec. 29a, 30 Stat. 554; May 27, 1926, ch. 406, Sec. 11 (part), 44 Stat. 665; June 22, 1938, ch. 575, Sec. 1 (part), 52 Stat. 855). Minor changes were made in phraseology. AMENDMENTS 1978 - Pub. L. 95-598 struck out ', receiver' after 'trustee' in section catchline and in text struck out 'receiver,' before 'custodian' and substituted 'debtor' for 'bankrupt'. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. -CROSS- CROSS REFERENCES Certain debts of bankrupt as not affected by a discharge, see section 727 of Title 11, Bankruptcy. Embezzlement by court officers, generally, see section 645 of this title. ------DocID 23831 Document 73 of 1438------ -CITE- 18 USC Sec. 154 -EXPCITE- TITLE 18 PART I CHAPTER 9 -HEAD- Sec. 154. Adverse interest and conduct of officers -STATUTE- Whoever, being a custodian, trustee, marshal, or other officer of the court, knowingly purchases, directly or indirectly, any property of the estate of which he is such officer in a case under title 11; or Whoever being such officer, knowingly refuses to permit a reasonable opportunity for the inspection of the documents and accounts relating to the affairs of estates in his charge by parties in interest when directed by the court to do so - Shall be fined not more than $500, and shall forfeit his office, which shall thereupon become vacant. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 690; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(a)(2), (e)(1), (2), 92 Stat. 2676, 2677.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 52(c) of title 11, U.S.C., 1940 ed., Bankruptcy (July 1, 1898, ch. 541, Sec. 29c, 30 Stat. 554; June 22, 1938, ch. 575, Sec. 1 (part), 52 Stat. 856). Minor changes were made in phraseology. AMENDMENTS 1978 - Pub. L. 95-598 struck out 'referees and other' before 'officers' in section catchline, and in text struck out 'Whoever knowingly acts as a referee in a case in which he is directly or indirectly interested; or' before 'Whoever, being a' and 'referee, receiver,' before 'custodian' and substituted 'case under title 11' for 'bankruptcy proceeding'. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. ------DocID 23832 Document 74 of 1438------ -CITE- 18 USC Sec. 155 -EXPCITE- TITLE 18 PART I CHAPTER 9 -HEAD- Sec. 155. Fee agreements in cases under title 11 and receiverships -STATUTE- Whoever, being a party in interest, whether as a debtor, creditor, receiver, trustee or representative of any of them, or attorney for any such party in interest, in any receivership or case under title 11 in any United States court or under its supervision, knowingly and fraudulently enters into any agreement, express or implied, with another such party in interest or attorney for another such party in interest, for the purpose of fixing the fees or other compensation to be paid to any party in interest or to any attorney for any party in interest for services rendered in connection therewith, from the assets of the estate, shall be fined not more than $5,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 690; May 24, 1949, ch. 139, Sec. 4, 63 Stat. 90; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(f)(1), (2), 92 Stat. 2677.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 572a of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Aug. 25, 1937, ch. 777, 50 Stat. 810.) Words 'upon conviction' were deleted as surplusage since punishment can be imposed only after a conviction. A fine of '$5,000' was substituted for '$10,000' and 'one year' for 'five years', to reduce the offense to the grade of a misdemeanor and the punishment to an amount and term proportionate to the gravity of the offense. Minor changes were made in phraseology. 1949 ACT This amendment (see section 4) clarifies section 155 of title 18, U.S.C., by restating the first paragraph thereof in closer conformity with the original law, as it existed at the time of the enactment of the revision of title 18. AMENDMENTS 1978 - Pub. L. 95-598 substituted 'cases under title 11 and receiverships' for 'bankruptcy proceedings' in section catchline and in text 'or case under title 11' for ', bankruptcy or reorganization proceeding', inserted 'knowingly and fraudulently' after 'supervision,', and struck out penalty provision for a judge of a United States court to knowingly approve the payment of any fees or compensation that were fixed. 1949 - Act May 24, 1949, inserted references to attorneys for any party in interest in three places, and substituted 'in any United States court or under its supervision' for 'in or under the supervision of any court of the United States'. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. ------DocID 23833 Document 75 of 1438------ -CITE- 18 USC CHAPTER 10 -EXPCITE- TITLE 18 PART I CHAPTER 10 -HEAD- CHAPTER 10 - BIOLOGICAL WEAPONS -MISC1- Sec. 175. Prohibitions with respect to biological weapons. 176. Seizure, forfeiture, and destruction. 177. Injunctions. 178. Definitions. ------DocID 23834 Document 76 of 1438------ -CITE- 18 USC Sec. 175 -EXPCITE- TITLE 18 PART I CHAPTER 10 -HEAD- Sec. 175. Prohibitions with respect to biological weapons -STATUTE- (a) In General. - Whoever knowingly develops, produces, stockpiles, transfers, acquires, retains, or possesses any biological agent, toxin, or delivery system for use as a weapon, or knowingly assists a foreign state or any organization to do so, shall be fined under this title or imprisoned for life or any term of years, or both. There is extraterritorial Federal jurisdiction over an offense under this section committed by or against a national of the United States. (b) Definition. - For purposes of this section, the term 'for use as a weapon' does not include the development, production, transfer, acquisition, retention, or possession of any biological agent, toxin, or delivery system for prophylactic, protective, or other peaceful purposes. -SOURCE- (Added Pub. L. 101-298, Sec. 3(a), May 22, 1990, 104 Stat. 201.) -MISC1- SHORT TITLE Section 1 of Pub. L. 101-298 provided that: 'This Act (enacting this chapter and amending section 2516 of this title) may be cited as the 'Biological Weapons Anti-Terrorism Act of 1989'.' PURPOSE AND INTENT Section 2 of Pub. L. 101-298 provided that: '(a) Purpose. - The purpose of this Act (see Short Title note above) is to - '(1) implement the Biological Weapons Convention, an international agreement unanimously ratified by the United States Senate in 1974 and signed by more than 100 other nations, including the Soviet Union; and '(2) protect the United States against the threat of biological terrorism. '(b) Intent of Act. - Nothing in this Act is intended to restrain or restrict peaceful scientific research or development.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 176, 177, 2516 of this title. ------DocID 23835 Document 77 of 1438------ -CITE- 18 USC Sec. 176 -EXPCITE- TITLE 18 PART I CHAPTER 10 -HEAD- Sec. 176. Seizure, forfeiture, and destruction -STATUTE- (a) In General. - (1) Except as provided in paragraph (2), the Attorney General may request the issuance, in the same manner as provided for a search warrant, of a warrant authorizing the seizure of any biological agent, toxin, or delivery system that - (A) exists by reason of conduct prohibited under section 175 of this title; or (B) is of a type or in a quantity that under the circumstances has no apparent justification for prophylactic, protective, or other peaceful purposes. (2) In exigent circumstances, seizure and destruction of any biological agent, toxin, or delivery system described in subparagraphs (A) and (B) of paragraph (1) may be made upon probable cause without the necessity for a warrant. (b) Procedure. - Property seized pursuant to subsection (a) shall be forfeited to the United States after notice to potential claimants and an opportunity for a hearing. At such hearing, the government (FOOTNOTE 1) shall bear the burden of persuasion by a preponderance of the evidence. Except as inconsistent herewith, the same procedures and provisions of law relating to a forfeiture under the customs laws shall extend to a seizure or forfeiture under this section. The Attorney General may provide for the destruction or other appropriate disposition of any biological agent, toxin, or delivery system seized and forfeited pursuant to this section. (FOOTNOTE 1) So in original. Probably should be capitalized. (c) Affirmative Defense. - It is an affirmative defense against a forfeiture under subsection (a)(1)(B) of this section that - (1) such biological agent, toxin, or delivery system is for a prophylactic, protective, or other peaceful purpose; and (2) such biological agent, toxin, or delivery system, is of a type and quantity reasonable for that purpose. -SOURCE- (Added Pub. L. 101-298, Sec. 3(a), May 22, 1990, 104 Stat. 202.) -REFTEXT- REFERENCES IN TEXT The customs laws, referred to in subsec. (b), are classified generally to Title 19, Customs Duties. ------DocID 23836 Document 78 of 1438------ -CITE- 18 USC Sec. 177 -EXPCITE- TITLE 18 PART I CHAPTER 10 -HEAD- Sec. 177. Injunctions -STATUTE- (a) In General. - The United States may obtain in a civil action an injunction against - (1) the conduct prohibited under section 175 of this title; (2) the preparation, solicitation, attempt, or conspiracy to engage in conduct prohibited under section 175 of this title; or (3) the development, production, stockpiling, transferring, acquisition, retention, or possession, or the attempted development, production, stockpiling, transferring, acquisition, retention, or possession of any biological agent, toxin, or delivery system of a type or in a quantity that under the circumstances has no apparent justification for prophylactic, protective, or other peaceful purposes. (b) Affirmative Defense. - It is an affirmative defense against an injunction under subsection (a)(3) of this section that - (1) the conduct sought to be enjoined is for a prophylactic, protective, or other peaceful purpose; and (2) such biological agent, toxin, or delivery system is of a type and quantity reasonable for that purpose. -SOURCE- (Added Pub. L. 101-298, Sec. 3(a), May 22, 1990, 104 Stat. 202.) ------DocID 23837 Document 79 of 1438------ -CITE- 18 USC Sec. 178 -EXPCITE- TITLE 18 PART I CHAPTER 10 -HEAD- Sec. 178. Definitions -STATUTE- As used in this chapter - (1) the term 'biological agent' means any micro-organism, virus, or infectious substance, capable of causing - (A) death, disease, or other biological malfunction in a human, an animal, a plant, or another living organism; (B) deterioration of food, water, equipment, supplies, or material of any kind; or (C) deleterious alteration of the environment; (2) the term 'toxin' means, whatever its origin or method of production - (A) any poisonous substance produced by a living organism; or (B) any poisonous isomer, homolog, or derivative of such a substance; (3) the term 'delivery system' means - (A) any apparatus, equipment, device, or means of delivery specifically designed to deliver or disseminate a biological agent, toxin, or vector; or (B) any vector; and (4) the term 'vector' means a living organism capable of carrying a biological agent or toxin to a host. -SOURCE- (Added Pub. L. 101-298, Sec. 3(a), May 22, 1990, 104 Stat. 202.) ------DocID 23838 Document 80 of 1438------ -CITE- 18 USC CHAPTER 11 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- CHAPTER 11 - BRIBERY, GRAFT, AND CONFLICTS OF INTEREST -MISC1- Sec. 201. Bribery of public officials and witnesses. 202. Definitions. 203. Compensation to Members of Congress, officers and others, (FOOTNOTE 1) in matters affecting the Government. (FOOTNOTE 1) So in original. Does not conform to section catchline. 204. Practice in United States Claims Court or (FOOTNOTE 1) United States Court of Appeals for the Federal Circuit by Members of Congress. 205. Activities of officers and employees in claims against and other matters affecting the Government. 206. Exemption of retired officers of the uniformed services. 207. Restrictions on former officers, employees, and elected officials of the executive and legislative branches. 208. Acts affecting a personal financial interest. 209. Salary of Government officials and employees payable only by United States. 210. Offer to procure appointive public office. 211. Acceptance or solicitation to obtain appointive public office. 212. Offer of loan or gratuity to bank examiner. 213. Acceptance of loan or gratuity by bank examiner. 214. Offer for procurement of Federal Reserve bank loan and discount of commercial paper. 215. Receipt of commissions or gifts for procuring loans. 216. Penalties and injunctions. 217. Acceptance of consideration for adjustment of farm indebtedness. 218. Voiding transactions in violation of chapter; recovery by the United States. 219. Officers and employees acting as agents of foreign principals. (220 to 222. Redesignated.) (223. Repealed.) 224. Bribery in sporting contests. 225. Continuing financial crimes enterprise. AMENDMENTS 1990 - Pub. L. 101-647, title XXV, Sec. 2510(b), title XXXV, Sec. 3509, Nov. 29, 1990, 104 Stat. 4863, 4922, substituted 'to Members' for 'of Members' in item 203, substituted 'United States Claims Court or United States Court of Appeals for the Federal Circuit' for 'Court of Claims' in item 204, and added item 225. 1989 - Pub. L. 101-194, title I, Sec. 101(b), title IV, Sec. 407(b), Nov. 30, 1989, 103 Stat. 1724, 1753, substituted 'Restrictions on former officers, employees, and elected officials of the executive and legislative branches' for 'Disqualification of former officers and employees; disqualification of partners of current officers and employees' in item 207 and added item 216. 1984 - Pub. L. 98-473, title II, Sec. 1107(b), Oct. 12, 1984, 98 Stat. 2146, substituted 'Repealed' for 'Receipt or charge of commissions or gifts for farm loan, land bank, or small business transactions' in item 216. 1978 - Pub. L. 95-521, title V, Sec. 501(b), Oct. 26, 1978, 92 Stat. 1867, struck out 'in matters connected with former duties or official responsibilities' after 'officers and employees' and inserted 'of current officers and employees' after 'partners of' in item 207. 1966 - Pub. L. 89-486, Sec. 8(c)(2), July 4, 1966, 80 Stat. 249, added item 219. 1964 - Pub. L. 88-316, Sec. 1(b), June 6, 1964, 78 Stat. 204, added item 224. 1962 - Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1119, included conflicts of interests in chapter heading, and amended analysis generally to contain items 201 to 218. Prior to amendment, the analysis contained items 201 to 223. 1958 - Pub. L. 85-699, title VII, Sec. 702(d), Aug. 21 1958, 72 Stat. 698, included small business transactions in item 221. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 15 sections 1942, 2625; title 22 section 3622; title 43 section 1817. ------DocID 23839 Document 81 of 1438------ -CITE- 18 USC Sec. 201 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 201. Bribery of public officials and witnesses -STATUTE- (a) For the purpose of this section - (1) the term 'public official' means Member of Congress, Delegate, or Resident Commissioner, either before or after such official has qualified, or an officer or employee or person acting for or on behalf of the United States, or any department, agency or branch of Government thereof, including the District of Columbia, in any official function, under or by authority of any such department, agency, or branch of Government, or a juror; (2) the term 'person who has been selected to be a public official' means any person who has been nominated or appointed to be a public official, or has been officially informed that such person will be so nominated or appointed; and (3) the term 'official act' means any decision or action on any question, matter, cause, suit, proceeding or controversy, which may at any time be pending, or which may by law be brought before any public official, in such official's official capacity, or in such official's place of trust or profit. (b) Whoever - (1) directly or indirectly, corruptly gives, offers or promises anything of value to any public official or person who has been selected to be a public official, or offers or promises any public official or any person who has been selected to be a public official to give anything of value to any other person or entity, with intent - (A) to influence any official act; or (B) to influence such public official or person who has been selected to be a public official to commit or aid in committing, or collude in, or allow, any fraud, or make opportunity for the commission of any fraud, on the United States; or (C) to induce such public official or such person who has been selected to be a public official to do or omit to do any act in violation of the lawful duty of such official or person; (2) being a public official or person selected to be a public official, directly or indirectly, corruptly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally or for any other person or entity, in return for: (A) being influenced in the performance of any official act; (B) being influenced to commit or aid in committing, or to collude in, or allow, any fraud, or make opportunity for the commission of any fraud on the United States; or (C) being induced to do or omit to do any act in violation of the official duty of such official or person; (3) directly or indirectly, corruptly gives, offers, or promises anything of value to any person, or offers or promises such person to give anything of value to any other person or entity, with intent to influence the testimony under oath or affirmation of such first-mentioned person as a witness upon a trial, hearing, or other proceeding, before any court, any committee of either House or both Houses of Congress, or any agency, commission, or officer authorized by the laws of the United States to hear evidence or take testimony, or with intent to influence such person to absent himself therefrom; (4) directly or indirectly, corruptly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally or for any other person or entity in return for being influenced in testimony under oath or affirmation as a witness upon any such trial, hearing, or other proceeding, or in return for absenting himself therefrom; shall be fined not more than three times the monetary equivalent of the thing of value, or imprisoned for not more than fifteen years, or both, and may be disqualified from holding any office of honor, trust, or profit under the United States. (c) Whoever - (1) otherwise than as provided by law for the proper discharge of official duty - (A) directly or indirectly gives, offers, or promises anything of value to any public official, former public official, or person selected to be a public official, for or because of any official act performed or to be performed by such public official, former public official, or person selected to be a public official; or (B) being a public official, former public official, or person selected to be a public official, otherwise than as provided by law for the proper discharge of official duty, directly or indirectly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally for or because of any official act performed or to be performed by such official or person; (2) directly or indirectly, gives, offers, or promises anything of value to any person, for or because of the testimony under oath or affirmation given or to be given by such person as a witness upon a trial, hearing, or other proceeding, before any court, any committee of either House or both Houses of Congress, or any agency, commission, or officer authorized by the laws of the United States to hear evidence or take testimony, or for or because of such person's absence therefrom; (3) directly or indirectly, demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally for or because of the testimony under oath or affirmation given or to be given by such person as a witness upon any such trial, hearing, or other proceeding, or for or because of such person's absence therefrom; shall be fined under this title or imprisoned for not more than two years, or both. (d) Paragraphs (3) and (4) of subsection (b) and paragraphs (2) and (3) of subsection (c) shall not be construed to prohibit the payment or receipt of witness fees provided by law, or the payment, by the party upon whose behalf a witness is called and receipt by a witness, of the reasonable cost of travel and subsistence incurred and the reasonable value of time lost in attendance at any such trial, hearing, or proceeding, or in the case of expert witnesses, a reasonable fee for time spent in the preparation of such opinion, and in appearing and testifying. (e) The offenses and penalties prescribed in this section are separate from and in addition to those prescribed in sections 1503, 1504, and 1505 of this title. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1119, and amended Pub. L. 91-405, title II, Sec. 204(d)(1), Sept. 22, 1970, 84 Stat. 853; Pub. L. 99-646, Sec. 46(a)-(l), Nov. 10, 1986, 100 Stat. 3601-3604.) -MISC1- PRIOR PROVISIONS A prior section 201, act June 25, 1948, ch. 645, 62 Stat. 691, prescribed penalties for anyone who offered or gave anything of value to an officer or other person to influence his decisions, prior to the general amendment of this chapter by Pub. L. 87-849, and is substantially covered by revised section 201. Provisions similar to those comprising this section were contained in former sections 201 to 213 of this title, prior to the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1986 - Pub. L. 99-646, Sec. 46(l), provided for alignment of margins of each subsection, paragraph, and subparagraph of this section. Subsec. (a). Pub. L. 99-646, Sec. 46(a), substituted 'section - ' for 'section:', designated provision defining 'public official' as par. (1), inserted 'the term' after '(1)', and substituted 'Delegate' for 'Delegate from the District of Columbia', 'after such official has qualified' for 'after he has qualified', and 'juror;' for 'juror; and'; designated provision defining 'person who has been selected to be a public official' as par. (2), inserted 'the term' after '(2)', and substituted 'such person' for 'he'; and designated provision defining 'official act' as par. (3), inserted 'the term' after '(3)', and substituted 'in such official's official capacity, or in such official's' for 'in his official capacity, or in his'. Subsec. (b). Pub. L. 99-646, Sec. 46(b)(1), which directed that subsec. (b) be amended by substituting '(b) Whoever - '(1) directly' for '(b) Whoever directly', was executed by making the substitution for '(b) Whoever, directly' to reflect the probable intent of Congress. Pub. L. 99-646, Sec. 46(e)(5), redesignated the undesignated par. which followed former subsec. (e) as concluding par. of subsec. (b) and substituted 'shall be fined not more than' for 'Shall be fined not more than $20,000 or' and 'thing of value,' for 'thing of value, whichever is greater,'. Subsec. (b)(1). Pub. L. 99-646, Sec. 46(b), redesignated former subsec. (b) as par. (1), redesignated former pars. (1) to (3) as subpars. (A) to (C), respectively, and realigned their margins, and in subpar. (C) substituted 'the lawful duty of such official or person;' for 'his lawful duty; or', which was executed by making the substitution for 'his lawful duty, or' to reflect the probable intent of Congress. Subsec. (b)(2). Pub. L. 99-646, Sec. 46(c), redesignated former subsec. (c) as par. (2), struck out 'Whoever,' before 'being', substituted 'corruptly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally' for 'corruptly asks, demands, exacts, solicits, seeks, accepts, receives, or agrees to receive anything of value for himself', redesignated former pars. (1) to (3) as subpars. (A) to (C), respectively, and realigned their margins, in subpar. (A) substituted 'the performance' for 'his performance' and struck out 'or' after 'act;', and in subpar. (C) substituted 'the official duty of such official or person;' for 'his official duty; or'. Subsec. (b)(3). Pub. L. 99-646, Sec. 46(d), redesignated former subsec. (d) as par. (3) and substituted 'directly' for 'Whoever, directly' and 'therefrom;' for 'therefrom; or'. Subsec. (b)(4). Pub. L. 99-646, Sec. 46(e), redesignated former subsec. (e) as par. (4), substituted 'directly' for 'Whoever, directly', 'demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally' for 'asks, demands, exacts, solicits, seeks, accepts, receives, or agrees to receive anything of value for himself', 'in testimony' for 'in his testimony', and 'therefrom;' for 'therefrom - '. Subsec. (c). Pub. L. 99-646, Sec. 46(f), (g)(1), (h)(1), (i)(1), redesignated former subsecs. (f) to (i) as subsec. (c)(1)(A), (B), (2), and (3), respectively. Former subsec. (c) redesignated (b)(2). Pub. L. 99-646, Sec. 46(i)(6), redesignated the undesignated par. which followed former subsec. (i) as concluding par. of subsec. (c) and substituted 'shall be fined under this title' for 'Shall be fined not more than $10,000'. Subsec. (c)(1). Pub. L. 99-646, Sec. 46(f), (g), redesignated former subsec. (f) as par. (1) and substituted '(1) otherwise' for ', otherwise' and '(A) directly' for ', directly', redesignated former subsec. (g) as subpar. (B) and substituted 'being' for 'Whoever, being', 'indirectly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally' for 'indirectly asks, demands, exacts, solicits, seeks, accepts, receives, or agrees to receive anything of value for himself', and 'by such official or person;' for 'by him; or'. Subsec. (c)(2). Pub. L. 99-646, Sec. 46(h), redesignated former subsec. (h) as par. (2) and substituted 'directly' for 'Whoever, directly' and 'such person's absence therefrom;' for 'his absence therefrom; or'. Subsec. (c)(3). Pub. L. 99-646, Sec. 46(i), redesignated former subsec. (i) as par. (3) and substituted 'directly' for 'Whoever, directly', 'demands, seeks, receives, accepts, or agrees to receive or accept' for 'asks, demands, exacts, solicits, seeks, accepts, receives, or agrees to receive', 'personally' for 'for himself', 'by such person' for 'by him', and 'such person's absence therefrom;' for 'his absence therefrom - '. Subsec. (d). Pub. L. 99-646, Sec. 46(j), redesignated former subsec. (j) as (d), substituted 'Paragraphs (3) and (4) of subsection (b) and paragraphs (2) and (3) of subsection (c)' for 'Subsections (d), (e), (h), and (i)' and struck out 'involving a technical or professional opinion,' after 'expert witnesses,'. Former subsec. (d) redesignated (b)(3). Subsecs. (e) to (k). Pub. L. 99-646, Sec. 46(f)-(k), redesignated former subsecs. (e) to (k) as (b)(4), (c)(1)(A), (B), (2), (3), (d), and (e), respectively. 1970 - Subsec. (a). Pub. L. 91-405 included Delegate from District of Columbia in definition of 'public official'. EFFECTIVE DATE OF 1986 AMENDMENT Section 46(m) of Pub. L. 99-646 provided that: 'The amendments made by this section (amending this section) shall take effect 30 days after the date of enactment of this Act (Nov. 10, 1986).' EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-405 effective Sept. 22, 1970, see section 206(b) of Pub. L. 91-405, set out as an Effective Date note under section 25a of Title 2, The Congress. EFFECTIVE DATE Section 4 of Pub. L. 87-849 provided that: 'This Act (enacting this section and sections 202 to 209 and 218 of this title, redesignating sections 214, 215, 217 to 222 as 210, 211, 212 to 217 of this title respectively, repealing sections 223, 282, 284, 434, and 1914 of this title, and section 99 of former Title 5, Executive Departments and Government Officers and Employees, and enacting provisions set out as notes under section 281 and 282 of this title) shall take effect ninety days after the date of its enactment (Oct. 23, 1962)'. SHORT TITLE OF 1986 AMENDMENT Pub. L. 99-370, Sec. 1, Aug. 4, 1986, 100 Stat. 779, provided that: 'This Act (amending section 215 of this title and enacting provisions set out as a note under section 215 of this title) may be cited as the 'Bank Bribery Amendments Act of 1985'.' -EXEC- EXECUTIVE ORDER NO. 11222 Ex. Ord. No. 11222, May 8, 1965, 30 F.R. 6469, as amended by Ex. Ord. No. 11590, Apr. 23, 1971, 36 F.R. 7831; Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055; Ex. Ord. No. 12565, Sept. 25, 1986, 51 F.R. 34437, which established standards of ethical conduct for government officers and employees, was revoked by Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. EXECUTIVE ORDER NO. 12565 Ex. Ord. No. 12565, Sept. 25, 1986, 51 F.R. 34437, which amended Ex. Ord. No. 11222, formerly set out above, and provided confidentiality for financial reports filed pursuant to Ex. Ord. No. 11222, was revoked by Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. -MISC6- MEMORANDUM OF ATTORNEY GENERAL REGARDING CONFLICT OF INTEREST PROVISIONS OF PUBLIC LAW 87-849, FEB. 1, 1963, 28 F.R. 985 January 28, 1963. Public Law 87-849, 'To strengthen the criminal laws relating to bribery, graft, and conflicts of interest, and for other purposes,' came into force January 21, 1963. A number of departments and agencies of the Government have suggested that the Department of Justice prepare and distribute a memorandum analyzing the conflict of interest provisions contained in the new act. I am therefore distributing the attached memorandum. One of the main purposes of the new legislation merits specific mention. That purpose is to help the Government obtain the temporary or intermittent services of persons with special knowledge and skills whose principal employment is outside the Government. For the most part the conflict of interest statutes superseded by Public Law 87-849 imposed the same restraints on a person serving the Government temporarily or intermittently as on a full-time employee, and those statutes often had an unnecessarily severe impact on the former. As a result, they impeded the departments and agencies in the recruitment of experts for important work. Public Law 87-849 meets this difficulty by imposing a lesser array of prohibitions on temporary and intermittent employees than on regular employees. I believe that a widespread appreciation of this aspect of the new law will lead to a significant expansion of the pool of talent on which the departments and agencies can draw for their special needs. Robert F. Kennedy, Attorney General. MEMORANDUM RE THE CONFLICT OF INTEREST PROVISIONS OF PUBLIC LAW 87-849, 76 STAT. 1119, APPROVED OCTOBER 23, 1962 INTRODUCTION Public Law 87-849, which came into force January 21, 1963, affected seven statutes which applied to officers and employees of the Government and were generally spoken of as the 'conflict of interest' laws. These included six sections of the criminal code, 18 U.S.C. 216, 281, 283, 284, 434 and 1914, and a statute containing no penalties, section 190 of the Revised Statutes (5 U.S.C. 99). Public Law 87-849 (sometimes referred to hereinafter as 'the Act') repealed section 190 and one of the criminal statutes, 18 U.S.C. 216, without replacing them. (FOOTNOTE 1) In addition it repealed and supplanted the other five criminal statutes. It is the purpose of this memorandum to summarize the new law and to describe the principal differences between it and the legislation it has replaced. The Act accomplished its revisions by enacting new sections 203, 205, 207, 208 and 209 of title 18 of the United States Code and providing that they supplant the above-mentioned sections 281, 283, 284, 434 and 1914 of title 18 respectively. (FOOTNOTE 2) It will be convenient, therefore, after summarizing the principal provisions of the new sections, to examine each section separately, comparing it with its precursor before passing to the next. First of all, however, it is necessary to describe the background and provisions of the new 18 U.S.C. 202(a), which has no counterpart among the statutes formerly in effect. SPECIAL GOVERNMENT EMPLOYEES (NEW 18 U.S.C. 202(A)) In the main the prior conflict of interest laws imposed the same restrictions on individuals who serve the Government intermittently or for a short period of time as on those who serve full-time. The consequences of this generalized treatment were pointed out in the following paragraph of the Senate Judiciary Committee report on the bill which became Public Law 87-849: (FOOTNOTE 3) In considering the application of present law in relation to the Government's utilization of temporary or intermittent consultants and advisers, it must be emphasized that most of the existing conflict-of-interest statutes were enacted in the 19th century - that is, at a time when persons outside the Government rarely served it in this way. The laws were therefore directed at activities of regular Government employees, and their present impact on the occasionally needed experts - those whose main work is performed outside the Government - is unduly severe. This harsh impact constitutes an appreciable deterrent to the Government's obtaining needed part-time services. The recruiting problem noted by the Committee generated a major part of the impetus for the enactment of Public Law 87-849. The Act dealt with the problem by creating a category of Government employees termed 'special Government employees' and by excepting persons in this category from certain of the prohibitions imposed on ordinary employees. The new 18 U.S.C. 202(a) defines the term 'special Government employee' to include, among others, officers and employees of the departments and agencies who are appointed or employed to serve, with or without compensation, for not more than 130 days during any period of 365 consecutive days either on a full-time or intermittent basis. SUMMARY OF THE MAIN CONFLICT OF INTEREST PROVISIONS OF PUBLIC LAW 87-849 A regular officer or employee of the Government - that is, one appointed or employed to serve more than 130 days in any period of 365 days - is in general subject to the following major prohibitions (the citations are to the new sections of Title 18): 1. He may not, except in the discharge of his official duties, represent anyone else before a court or Government agency in a matter in which the United States is a party or has an interest. This prohibition applies both to paid and unpaid representation of another (18 U.S.C. 203 and 205). 2. He may not participate in his governmental capacity in any matter in which he, his spouse, minor child, outside business associate or person with whom he is negotiating for employment has a financial interest (18 U.S.C. 208). 3. He may not, after his Government employment has ended, represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and in which he participated personally and substantially for the Government (18 U.S.C. 207(a)). 4. He may not, for 1 year after his Government employment has ended, represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and which was within the boundaries of his official responsibilities (FOOTNOTE 4) during the last year of his Government service (18 U.S.C. 207(b)). This temporary restraint of course gives way to the permanent restraint described in paragraph 3 if the matter is one in which he participated personally and substantially. 5. He may not receive any salary, or supplementation of his Government salary, from a private source as compensation for his services to the Government (18 U.S.C. 209). A special Government employee is in general subject only to the following major prohibitions: 1. (a) He may not, except in the discharge of his official duties, represent anyone else before a court or Government agency in a matter in which the United States is a party or has in interest and in which he has at any time participated personally and substantially for the Government (18 U.S.C. 203 and 205). (b) He may not, except in the discharge of his official duties, represent anyone else in a matter pending before the agency he serves unless he has served there no more than 60 days during the past 365 (18 U.S.C. 203 and 205). He is bound by this restraint despite the fact that the matter is not one in which he has ever participated personally and substantially. The restrictions described in subparagraphs (a) and (b) apply to both paid and unpaid representation of another. These restrictions in combination are, of course, less extensive than the one described in the corresponding paragraph 1 in the list set forth above with regard to regular employees. 2. He may not participate in his governmental capacity in any matter in which he, his spouse, minor child, outside business associate or person with whom he is negotiating for employment has a financial interest (18 U.S.C. 208). 3. He may not, after his Government employment has ended, represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and in which he participated personally and substantially for the Government (18 U.S.C. 207(a)). 4. He may not, for 1 year after his Government employment has ended, represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and which was within the boundaries of his official responsibility during the last year of his Government service (18 U.S.C. 207(b)). This temporary restraint of course gives way to the permanent restriction described in paragraph 3 if the matter is one in which he participated personally and substantially. It will be seen that paragraphs 2, 3, and 4 for special Government employees are the same as the corresponding paragraphs for regular employees. Paragraph 5 for the latter, describing the bar against the receipt of salary for Government work from a private source, does not apply to special Government employees. As appears below, there are a number of exceptions to the prohibitions summarized in the two lists. COMPARISON OF OLD AND NEW CONFLICT OF INTEREST SECTIONS OF TITLE 18, UNITED STATES CODE New 18 U.S.C. 203. Subsection (a) of this section in general prohibits a Member of Congress and an officer or employee of the United States in any branch or agency of the Government from soliciting or receiving compensation for services rendered on behalf of another person before a Government department or agency in relation to any particular matter in which the United States is a party or has a direct and substantial interest. The subsection does not preclude compensation for services rendered on behalf of another in court. Subsection (a) is essentially a rewrite of the repealed portion of 18 U.S.C. 281. However, subsections (b) and (c) have no counterparts in the previous statutes. Subsection (b) makes it unlawful for anyone to offer or pay compensation the solicitation or receipt of which is barred by subsection (a). Subsection (c) narrows the application of subsection (a) in the case of a person serving as a special Government employee to two, and only two, situations. First, subsection (c) bars him from rendering services before the Government on behalf of others, for compensation, in relation to a matter involving a specific party or parties in which he has participated personally and substantially in the course of his Government duties. And second, it bars him from such activities in relation to a matter involving a specific party or parties, even though he has not participated in the matter personally and substantially, if it is pending in his department or agency and he has served therein more than 60 days in the immediately preceding period of a year. New 18 U.S.C. 205. This section contains two major prohibitions. The first prevents an officer or employee of the United States in any branch or agency of the Government from acting as agent or attorney for prosecuting any claim against the United States, including a claim in court, whether for compensation or not. It also prevents him from receiving a gratuity, or a share or interest in any such claim, for assistance in the prosecution thereof. This portion of section 205 is similar to the repealed portion of 18 U.S.C. 283, which dealt only with claims against the United States, but it omits a bar contained in the latter - i.e., a bar against rendering uncompensated aid or assistance in the prosecution or support of a claim against the United States. The second main prohibition of section 205 is concerned with more than claims. It precludes an officer or employee of the Government from acting as agent or attorney for anyone else before a department, agency or court in connection with any particular matter in which the United States is a party or has a direct and substantial interest. Section 205 provides for the same limited application to a special Government employee as section 203. In short, it precludes him from acting as agent or attorney only (1) in a matter involving a specific party or parties in which he has participated personally and substantially in his governmental capacity, and (2) in a matter involving a specific party or parties which is before his department or agency, if he has served therein more than 60 days in the year past. Since new sections 203 and 205 extend to activities in the same range of matters, they overlap to a greater extent than did their predecessor sections 281 and 283. The following are the few important differences between sections 203 and 205: 1. Section 203 applies to Members of Congress as well as officers and employees of the Government; section 205 applies only to the latter. 2. Section 203 bars services rendered for compensation solicited or received, but not those rendered without such compensation; section 205 bars both kinds of services. 3. Section 203 bars services rendered before the departments and agencies but not services rendered in court; section 205 bars both. It will be seen that while section 203 is controlling as to Members of Congress, for all practical purposes section 205 completely overshadows section 203 in respect of officers and employees of the Government. Section 205 permits a Government officer or employee to represent another person, without compensation, in a disciplinary, loyalty or other personnel matter. Another provision declares that the section does not prevent an officer or employee from giving testimony under oath or making statements required to be made under penalty for perjury or contempt. (FOOTNOTE 5) Section 205 also authorizes a limited waiver of its restrictions and those of section 203 for the benefit of an officer or employee, including a special Government employee, who represents his own parents, spouse or child, or a person or estate he serves as a fiduciary. The waiver is available to the officer or employee, whether acting for any such person with or without compensation, but only if approved by the official making appointments to his position. And in no event does the waiver extend to his representation of any such person in matters in which he has participated personally and substantially or which, even in the absence of such participation, are the subject of his official responsibility. Finally, section 205 gives the head of a department or agency the power, notwithstanding any applicable restrictions in its provisions or those of section 203, to allow a special Government employee to represent his regular employer or other outside organization in the performance of work under a Government grant or contract. However, this action is open to the department or agency head only upon his certification, published in the Federal Register, that the national interest requires it. New 18 U.S.C. 207. Subsections (a) and (b) of this section contain post-employment prohibitions applicable to persons who have ended service as officers or employees of the executive branch, the independent agencies or the District of Columbia. (FOOTNOTE 6) The prohibitions for persons who have served as special Government employees are the same as for persons who have performed regular duties. The restraint of subsection (a) is against a former officer or employee's acting as agent or attorney for anyone other than the United States in connection with certain matters, whether pending in the courts or elsewhere. The matters are those involving a specific party or parties in which the United States is one of the parties or has a direct and substantial interest and in which the former officer or employee participated personally and substantially while holding a Government position. Subsection (b) sets forth a 1-year postemployment prohibition in respect of those matters which were within the area of official responsibility of a former officer or employee at any time during the last year of his service but which do not come within subsection (a) because he did not participate in them personally and substantially. More particularly, the prohibition of subsection (b) prevents his personal appearance in such matters before a court or a department or agency of the Government as agent or attorney for anyone other than the United States. (FOOTNOTE 7) Where, in the year prior to the end of his service, a former officer or employee has changed areas of responsibility by transferring from one agency to another, the period of his postemployment ineligibility as to matters in a particular area ends 1 year after his responsibility for that area ends. For example, if an individual transfers from a supervisory position in the Internal Revenue Service to a supervisory position in the Post Office Department and leaves that department for private employment 9 months later, he will be free of the restriction of subsection (b) in 3 months insofar as Internal Revenue matters are concerned. He will of course be bound by it for a year in respect of Post Office Department matters. The proviso following subsections (a) and (b) authorizes an agency head, notwithstanding anything to the contrary in their provisions, to permit a former officer or employee with outstanding scientific qualifications to act as attorney or agent or appear personally before the agency for another in a matter in a scientific field. This authority may be exercised by the agency head upon a 'national interest' certification published in the Federal Register. Subsections (a) and (b) describe the activities they forbid as being in connection with 'particular matter(s) involving a specific party or parties' in which the former officer or employee had participated. The quoted language does not include general rulemaking, the formulation of general policy or stand-ards, or other similar matters. Thus, past participation in or official responsibility for a matter of this kind on behalf of the Government does not disqualify a former employee from representing another person in a proceeding which is governed by the rule or other result of such matter. Subsection (a) bars permanently a greater variety of actions than subsection (b) bars temporarily. The conduct made unlawful by the former is any action as agent or attorney, while that made unlawful by the latter is a personal appearance as agent or attorney. However, neither subsection precludes postemployment activities which may fairly be characterized as no more than aiding or assisting another. (FOOTNOTE 8) An individual who has left an agency to accept private employment may, for example, immediately perform technical work in his company's plant in relation to a contract for which he had official responsibility - or, for that matter, in relation to one he helped the agency negotiate. On the other hand, he is forbidden for a year, in the first case, to appear personally before the agency as the agent or attorney of his company in connection with a dispute over the terms of the contract. And he may at no time appear personally before the agency or otherwise act as agent or attorney for his company in such dispute if he helped negotiate the contract. Comparing subsection (a) with the antecedent 18 U.S.C. 284 discloses that it follows the latter in limiting disqualification to cases where a former officer or employee actually participated in a matter for the Government. However, subsection (a) covers all matters in which the United States is a party or has a direct and substantial interest and not merely the 'claims against the United States' covered by 18 U.S.C. 284. Subsection (a) also goes further than the latter in imposing a lifetime instead of a 2-year bar. Subsection (b) has no parallel in 18 U.S.C. 284 or any other provision of the former conflict of interest statutes. It will be seen that subsections (a) and (b) in combination are less restrictive in some respects, and more restrictive in others, than the combination of the prior 18 U.S.C. 284 and 5 U.S.C. 99. Thus, former officers or employees who were outside the Government when the Act came into force on January 21, 1963, will in certain situations be enabled to carry on activities before the Government which were previously barred. For example, the repeal of 5 U.S.C. 99 permits an attorney who left an executive department for private practice a year before to take certain cases against the Government immediately which would be subject to the bar of 5 U.S.C. 99 for another year. On the other hand, former officers or employees became precluded on and after January 21, 1963 from engaging or continuing to engage in certain activities which were permissible until that date. This result follows from the replacement of the 2-year bar of 18 U.S.C. 284 with a lifetime bar of subsection (a) in comparable situations, from the increase in the variety of matters covered by subsection (a) as compared with 18 U.S.C. 284 and from the introduction of the 1-year bar of subsection (b). Subsection (c) of section 207 pertains to an individual outside the Government who is in a business or professional partnership with someone serving in the executive branch, an independent agency or the District of Columbia. The subsection prevents such individual from acting as attorney or agent for anyone other than the United States in any matter, including those in court, in which his partner in the Government is participating or has participated or which are the subject of his partner's official responsibility. Although included in a section dealing largely with post-employment activities, this provision is not directed to the postemployment situation. The paragraph at the end of section 207 also pertains to individuals in a partnership but sets forth no prohibition. This paragraph, which is of importance mainly to lawyers in private practice, rules out the possibility that an individual will be deemed subject to section 203, 205, 207(a) or 207(b) solely because he has a partner who serves or has served in the Government either as a regular or a special Government employee. New 18 U.S.C. 208. This section forbids certain actions by an officer or employee of the Government in his role as a servant or representative of the Government. Its thrust is therefore to be distinguished from that of sections 203 and 205 which forbid certain actions in his capacity as a representative of persons outside the Government. Subsection (a) in substance requires an officer or employee of the executive branch, an independent agency or the District of Columbia, including a special Government employee, to refrain from participating as such in any matter in which, to his knowledge, he, his spouse, minor child or partner has a financial interest. He must also remove himself from a matter in which a business or nonprofit organization with which he is connected or is seeking employment has a financial interest. Subsection (b) permits the agency of an officer or employee to grant him an ad hoc exemption from subsection (a) if the outside financial interest in a matter is deemed not substantial enough to have an effect on the integrity of his services. Financial interests of this kind may also be made nondisqualifying by a general regulation published in the Federal Register. Section 208 is similar in purpose to the former 18 U.S.C. 434 but prohibits a greater variety of conduct than the 'transaction of business with * * * (a) business entity' to which the prohibition of section 434 was limited. In addition, the provision in section 208 including the interests of a spouse and others is new, as is the provision authorizing exemptions for insignificant interest. New 18 U.S.C. 209. Subsection (a) prevents an officer or employee of the executive branch, an independent agency or the District of Columbia from receiving, and anyone from paying him, any salary or supplementation of salary from a private source as compensation for his services to the Government. This provision uses much of the language of the former 18 U.S.C. 1914 and does not vary from that statute in substance. The remainder of section 209 is new. Subsection (b) specifically authorizes an officer or employee covered by subsection (a) to continue his participation in a bona fide pension plan or other employee welfare or benefit plan maintained by a former employer. Subsection (c) provides that section 209 does not apply to a special Government employee or to anyone serving the Government without compensation whether or not he is a special Government employee. Subsection (d) provides that the section does not prohibit the payment or acceptance of contributions, awards or other expenses under the terms of the Government Employees Training Act. (72 Stat. 327, 5 U.S.C. 2301-2319). STATUTORY EXEMPTIONS FROM CONFLICT OF INTEREST LAWS Congress has in the past enacted statutes exempting persons in certain positions - usually advisory in nature - from the provisions of some or all of the former conflict of interest laws. Section 2 of the Act grants corresponding exemptions from the new laws with respect to legislative and judicial positions carrying such past exemptions. However, section 2 excludes positions in the executive branch, an independent agency and the District of Columbia from this grant. As a consequence, all statutory exemptions for persons serving in these sectors of the Government ended on January 21, 1963. RETIRED OFFICERS OF THE ARMED FORCES Public Law 87-849 enacted a new 18 U.S.C. 206 which provides in general that the new sections 203 and 205, replacing 18 U.S.C. 281 and 283, do not apply to retired officers of the armed forces and other uniformed services. However, 18 U.S.C. 281 and 283 contain special restrictions applicable to retired officers of the armed forces which are left in force by the partial repealer of those statutes set forth in section 2 of the Act. The former 18 U.S.C. 284, which contained a 2-year disqualification against postemployment activities in connection with claims against the United States, applied by its terms to persons who had served as commissioned officers and whose active service had ceased either by reason of retirement or complete separation. Its replacement, the broader 18 U.S.C. 207, also applies to persons in those circumstances. Section 207, therefore applies to retired officers of the armed forces and overlaps the continuing provisions of 18 U.S.C. 281 and 283 applicable to such officers although to a different extent than did 18 U.S.C. 284. VOIDING TRANSACTIONS IN VIOLATION OF THE CONFLICT OF INTEREST OR BRIBERY LAWS Public Law 87-849 enacted a new section, 18 U.S.C. 218, which did not supplant a pre-existing section of the criminal code. However, it was modeled on the last sentence of the former 18 U.S.C. 216 authorizing the President to declare a Government contract void which was entered into in violation of that section. It will be recalled that section 216 was one of the two statutes repealed without replacement. The new 18 U.S.C. 218 grants the President and, under Presidential regulations, an agency head the power to void and rescind any transaction or matter in relation to which there has been a 'final conviction' for a violation of the conflict of interest or bribery laws. The section also authorizes the Government's recovery, in addition to any penalty prescribed by law or in a contract, of the amount expended or thing transferred on behalf of the Government. Section 218 specifically provides that the powers it grants are 'in addition to any other remedies provided by law.' Accordingly, it would not seem to override the decision in United States v. Mississippi Valley Generating Co., 364 U.S. 520 (1961), a case in which there was no 'final conviction.' BIBLIOGRAPHY Set forth below are the citations to the legislative history of Public Law 87-849 and a list of recent material which is pertinent to a study of the act. The listed 1960 report of the Association of the Bar of the City of New York is particularly valuable. For a comprehensive bibliography of earlier material relating to the conflict of interest laws, see 13 Record of the Association of the Bar of the City of New York 323 (May 1958). LEGISLATIVE HISTORY OF PUBLIC LAW 87-849 (H.R. 8140, 87TH CONG.) 1. Hearings of June 1 and 2, 1961, before the Antitrust Subcommittee (Subcommittee No. 5) of the House Judiciary Committee, 87th Cong., 1st sess., ser. 3, on Federal Conflict of Interest Legislation. 2. H. Rept. 748, 87th Cong., 1st sess. 3. 107 Cong., Rec. 14774. 4. Hearing of June 21, 1962, before the Senate Judiciary Committee, 87th Cong., 2d sess., on Conflicts of Interest. 5. S. Rept. 2213, 87th Cong., 2d sess. 6. 108 Cong. Rec. 20805 and 21130 (daily ed., October 3 and 4, 1962). OTHER MATERIAL 1. President's special message to Congress, April 27, 1961, and attached draft bill, 107 Cong. Rec. 6835. 2. President's Memorandum of February 9, 1962, to the heads of executive departments and agencies entitled Preventing Conflicts of Interest on the Part of Advisers and Consultants to the Government, 27 F.R. 1341. 3. 42 Op. A.G. No. 6, January 31, 1962. 4. Memorandum of December 10, 1956, for the Attorney General from the Office of Legal Counsel re conflict of interest statutes, Hearings before the Antitrust Subcommittee (Subcommittee No. 5) of House Judiciary Committee, 86th Cong., 2d sess., ser. 17, pt. 2, p. 619. 5. Staff report of Antitrust Subcommittee (Subcommittee No. 5) of House Judiciary Committee, 85th Cong., 2d sess., Federal Conflict of Interest Legislation (Comm. Print 1958). 6. Report of the Association of the Bar of the City of New York, Conflict of Interest and Federal Service (Harvard Univ. Press 1960). FOOTNOTES (FOOTNOTE 1) Section 190 of the Revised Statutes (5 U.S.C. 99), which was repealed by section 3 of Public Law 87-849, applied to a former officer or employee of the Government who had served in a department of the executive branch. It prohibited him, for a period of two years after his employment had ceased, from representing anyone in the prosecution of a claim against the United States which was pending in that or any other executive department during his period of employment. The subject of post-employment activities of former Government officers and employees was also dealt with in another statute which was repealed, 18 U.S.C. 284. Public Law 87-849 covers the subject in a single section enacted as the new 18 U.S.C. 207. 18 U.S.C. 216, which was repealed by section 1(c) of Public Law 87-849, prohibited the payment to or acceptance by a Member of Congress or officer or employee of the Government of any money or thing of value for giving or procuring a Government contract. Since this offense is within the scope of the newly enacted 18 U.S.C. 201 and 18 U.S.C. 203, relating to bribery and conflicts of interest, respectively, section 216 is no longer necessary. (FOOTNOTE 2) See section 2 of Public Law 87-849. 18 U.S.C. 281 and 18 U.S.C. 283 were not completely set aside by section 2 but remain in effect to the extent that they apply to retired officers of the Armed Forces (see 'Retired Officers of the Armed Forces,' infra). (FOOTNOTE 3) S. Rept. 2213, 87th Cong., 2d sess., p. 6. (FOOTNOTE 4) The term 'official responsibility' is defined by the new 18 U.S.C. 202(b) to mean 'the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.' (FOOTNOTE 5) These two provisions of section 205 refer to an 'officer or employee' and not, as do certain of the other provisions of the Act, to an 'officer or employee, including a special Government employee.' However, it is plain from the definition in section 202(a) that a special Government employee is embraced within the comprehensive term 'officer or employee.' There would seem to be little doubt, therefore, that the instant provisions of section 205 apply to special Government employees even in the absence of an explicit reference to them. (FOOTNOTE 6) The prohibitions of the two subsections apply to persons ending service in these areas whether they leave the Government entirely or move to the legislative or judicial branch. As a practical matter, however, the prohibitions would rarely be significant in the latter situation because officers and employees of the legislative and judicial branches are covered by sections 203 and 205. (FOOTNOTE 7) Neither section 203 nor section 205 prevents a special Government employee, during his period of affiliation with the Government, from representing another person before the Government in a particular matter only because it is within his official responsibility. Therefore the inclusion of a former special Government employee within the 1-year postemployment ban of subsection (b) may subject him to a temporary restraint from which he was free prior to the end of his Government service. However, since special Government employees usually do not have 'official responsibility,' as that term is defined in section 202(b), their inclusion within the 1-year ban will not have a widespread effect. (FOOTNOTE 8) Subsection (a), as it first appeared in H.R. 8140, the bill which became Public Law 87-849, made it unlawful for a former officer or employee to act as agent or attorney for, or aid or assist, anyone in a matter in which he had participated. The House Judiciary Committee struck the underlined words, and the bill became law without them. It should be noted also that the repealed provisions of 18 U.S.C. 283 made the distinction between one's acting as agent or attorney for another and his aiding or assisting another. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Contracts by Members of Congress, see section 431 of this title. Customs, penal provisions relating to entry of goods, see section 541 et seq. of this title. Demand or acceptance of gift, fee or illegal payment by revenue officer or agent, see section 7214 of Title 26, Internal Revenue Code. Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 593, 1901, 2071, 2381, 2385, 2387 of this title. Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961, 2516 of this title; title 7 section 84; title 12 sections 1441a, 2245; title 15 section 4805; title 28 section 656. ------DocID 23840 Document 82 of 1438------ -CITE- 18 USC Sec. 202 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 202. Definitions -STATUTE- (a) For the purpose of sections 203, 205, 207, 208, and 209 of this title the term 'special Government employee' shall mean an officer or employee of the executive or legislative branch of the United States Government, of any independent agency of the United States or of the District of Columbia, who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed one hundred and thirty days during any period of three hundred and sixty-five consecutive days, temporary duties either on a full-time or intermittent basis, a part-time United States commissioner, a part-time United States magistrate, or, regardless of the number of days of appointment, an independent counsel appointed under chapter 40 of title 28 and any person appointed by that independent counsel under section 594(c) of title 28. Notwithstanding the next preceding sentence, every person serving as a part-time local representative of a Member of Congress in the Member's home district or State shall be classified as a special Government employee. Notwithstanding section 29(c) and (d) (FOOTNOTE 1) of the Act of August 10, 1956 (70A Stat. 632; 5 U.S.C. 30r(c) and (d)), a Reserve officer of the Armed Forces, or an officer of the National Guard of the United States, unless otherwise an officer or employee of the United States, shall be classified as a special Government employee while on active duty solely for training. A Reserve officer of the Armed Forces or an officer of the National Guard of the United States who is voluntarily serving a period of extended active duty in excess of one hundred and thirty days shall be classified as an officer of the United States within the meaning of section 203 and sections 205 through 209 and 218. A Reserve officer of the Armed Forces or an officer of the National Guard of the United States who is serving involuntarily shall be classified as a special Government employee. The terms 'officer or employee' and 'special Government employee' as used in sections 203, 205, 207 through 209, and 218, shall not include enlisted members of the Armed Forces. (FOOTNOTE 1) See References in Text note below. (b) For the purposes of sections 205 and 207 of this title, the term 'official responsibility' means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action. (c) Except as otherwise provided in such sections, the terms 'officer' and 'employee' in sections 203, 205, 207 through 209, and 218 of this title shall not include the President, the Vice President, a Member of Congress, or a Federal judge. (d) The term 'Member of Congress' in sections 204 and 207 means - (1) a United States Senator; and (2) a Representative in, or a Delegate or Resident Commissioner to, the House of Representatives. (e) As used in this chapter, the term - (1) 'executive branch' includes each executive agency as defined in title 5, and any other entity or administrative unit in the executive branch; (2) 'judicial branch' means the Supreme Court of the United States; the United States courts of appeals; the United States district courts; the Court of International Trade; the United States bankruptcy courts; any court created pursuant to article I of the United States Constitution, including the Court of Military Appeals, the United States Claims Court, and the United States Tax Court, but not including a court of a territory or possession of the United States; the Federal Judicial Center; and any other agency, office, or entity in the judicial branch; and (3) 'legislative branch' means - (A) the Congress; and (B) the Office of the Architect of the Capitol, the United States Botanic Garden, the General Accounting Office, the Government Printing Office, the Library of Congress, the Office of Technology Assessment, the Congressional Budget Office, the United States Capitol Police, and any other agency, entity, office, or commission established in the legislative branch. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1121, and amended Pub. L. 90-578, title III, Sec. 301(b), Oct. 17, 1968, 82 Stat. 1115; Pub. L. 100-191, Sec. 3(a), Dec. 15, 1987, 101 Stat. 1306; Pub. L. 101-194, title IV, Sec. 401, Nov. 30, 1989, 103 Stat. 1747; Pub. L. 101-280, Sec. 5(a), May 4, 1990, 104 Stat. 158.) -REFTEXT- REFERENCES IN TEXT Section 29(c) and (d) of the Act of August 10, 1956 (70A Stat. 632; 5 U.S.C. 30r(c) and (d)), referred to in subsec. (a), was repealed and the provisions thereof were reenacted as sections 502, 2105(d), and 5534, of Title 5, Government Organization and Employees, by Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 278. -MISC2- PRIOR PROVISIONS A prior section 202, act June 25, 1948, ch. 645, 62 Stat. 691, prescribed penalties for any officer or other person who accepted or solicited anything of value to influence his decision, prior to the general amendment of this chapter by Pub. L. 87-849, and is substantially covered by revised section 201. AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-280, Sec. 5(a)(1), amended subsec. (c) generally. Prior to amendment, subsec. (c) read as follows: 'Except as otherwise provided in such sections, the terms 'officer' and 'employee' in sections 203, 205, 207, 208, and 209 of this title, mean those individuals defined in sections 2104 and 2105 of title 5. The terms 'officer' and 'employee' shall not include the President, the Vice President, a Member of Congress, or a Federal judge.' Subsec. (d). Pub. L. 101-280, Sec. 5(a)(2), substituted 'means' for 'shall include'. Subsec. (e)(1). Pub. L. 101-280, Sec. 5(a)(3)(1), substituted 'includes each' for 'means any'. Subsec. (e)(3)(A). Pub. L. 101-280, Sec. 5(a)(3)(2)(A), amended subpar. (A) generally. Prior to amendment, subpar. (A) read as follows: 'a Member of Congress, or any officer or employee of the United States Senate or United States House of Representatives; and'. Subsec. (e)(3)(B). Pub. L. 101-280, Sec. 5(a)(3)(2)(B), substituted 'the Office' for 'an officer or employee'. 1989 - Subsecs. (c) to (e). Pub. L. 101-194 added subsecs. (c) to (e). 1987 - Subsec. (a). Pub. L. 100-191 expanded definition of 'special Government employee' to include an independent counsel appointed under chapter 40 of title 28 and any person appointed by that independent counsel under section 594(c) of title 28, regardless of the number of days of appointment. 1968 - Subsec. (a). Pub. L. 90-578 substituted 'a part-time United States commissioner, or a part-time United States magistrate' for 'or a part-time United States Commissioner'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1987 AMENDMENT Amendment by Pub. L. 100-191 effective Dec. 15, 1987, and applicable to independent counsel proceedings under 28 U.S.C. 591 et seq. pending on that date as well as to proceedings on and after that date, see section 6 of Pub. L. 100-191, set out as a note under section 591 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 588; title 12 section 2245; title 15 sections 3710d, 4805; title 22 sections 3507, 3508; title 26 sections 1043, 4946; title 28 sections 594, 656, 995; title 40 App. section 108. ------DocID 23841 Document 83 of 1438------ -CITE- 18 USC Sec. 203 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 203. Compensation to Members of Congress, officers, and others in matters affecting the Government -STATUTE- (a) Whoever, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly - (1) demands, seeks, receives, accepts, or agrees to receive or accept any compensation for any representational services, as agent or attorney or otherwise, rendered or to be rendered either personally or by another - (A) at a time when such person is a Member of Congress, Member of Congress Elect, Delegate, Delegate Elect, Resident Commissioner, or Resident Commissioner Elect; or (B) at a time when such person is an officer or employee or Federal judge of the United States in the executive, legislative, or judicial branch of the Government, or in any agency of the United States, in relation to any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the United States is a party or has a direct and substantial interest, before any department, agency, court, court-martial, officer, or any civil, military, or naval commission; or (2) knowingly gives, promises, or offers any compensation for any such representational services rendered or to be rendered at a time when the person to whom the compensation is given, promised, or offered, is or was such a Member, Member Elect, Delegate, Delegate Elect, Commissioner, Commissioner Elect, Federal judge, officer, or employee; shall be subject to the penalties set forth in section 216 of this title. (b) Whoever, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly - (1) demands, seeks, receives, accepts, or agrees to receive or accept any compensation for any representational services, as agent or attorney or otherwise, rendered or to be rendered either personally or by another, at a time when such person is an officer or employee of the District of Columbia, in relation to any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the District of Columbia is a party or has a direct and substantial interest, before any department, agency, court, officer, or commission; or (2) knowingly gives, promises, or offers any compensation for any such representational services rendered or to be rendered at a time when the person to whom the compensation is given, promised, or offered, is or was an officer or employee of the District of Columbia; shall be subject to the penalties set forth in section 216 of this title. (c) A special Government employee shall be subject to subsections (a) and (b) only in relation to a particular matter involving a specific party or parties - (1) in which such employee has at any time participated personally and substantially as a Government employee or as a special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise; or (2) which is pending in the department or agency of the Government in which such employee is serving except that paragraph (2) of this subsection shall not apply in the case of a special Government employee who has served in such department or agency no more than sixty days during the immediately preceding period of three hundred and sixty-five consecutive days. (d) Nothing in this section prevents an officer or employee, including a special Government employee, from acting, with or without compensation, as agent or attorney for or otherwise representing his parents, spouse, child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal fiduciary except - (1) in those matters in which he has participated personally and substantially as a Government employee or as a special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise; or (2) in those matters that are the subject of his official responsibility, subject to approval by the Government official responsible for appointment to his position. (e) Nothing in this section prevents a special Government employee from acting as agent or attorney for another person in the performance of work under a grant by, or a contract with or for the benefit of, the United States if the head of the department or agency concerned with the grant or contract certifies in writing that the national interest so requires and publishes such certification in the Federal Register. (f) Nothing in this section prevents an individual from giving testimony under oath or from making statements required to be made under penalty of perjury. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1121, and amended Pub. L. 91-405, title II, Sec. 204(d)(2), (3), Sept. 22, 1970, 84 Stat. 853; Pub. L. 99-646, Sec. 47(a), Nov. 10, 1986, 100 Stat. 3604; Pub. L. 101-194, title IV, Sec. 402, Nov. 30, 1989, 103 Stat. 1748; Pub. L. 101-280, Sec. 5(b), May 4, 1990, 104 Stat. 159.) -MISC1- PRIOR PROVISIONS A prior section 203, act June 25, 1948, ch. 645, 62 Stat. 692, related to the acceptance or demand by district attorneys, or marshals and their assistants of any fee other than provided by law, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. Provisions similar to those comprising this section were contained in section 281 of this title prior to the repeal of such section and the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1990 - Subsec. (a)(1)(B). Pub. L. 101-280, Sec. 5(b)(1), inserted 'or Federal judge' after 'employee'. Subsec. (a)(2). Pub. L. 101-280, Sec. 5(b)(2), inserted 'Commissioner Elect, Federal judge,' after 'Commissioner,'. Subsec. (b)(2). Pub. L. 101-280, Sec. 5(b)(3), inserted 'representational' before 'services'. Subsec. (d)(1). Pub. L. 101-280, Sec. 5(b)(4), substituted 'Government employee or as a special Government employee' for 'Government employee,'. Subsec. (f). Pub. L. 101-280, Sec. 5(b)(5), added subsec. (f). 1989 - Subsec. (a). Pub. L. 101-194, Sec. 402(3), in concluding provisions, substituted 'shall be subject to the penalties set forth in section 216 of this title' for 'shall be fined under this title or imprisoned for not more than two years, or both; and shall be incapable of holding any office of honor, trust, or profit under the United States'. Subsec. (a)(1). Pub. L. 101-194, Sec. 402(1), (2), (7), in introductory provisions, substituted 'representational services, as agent or attorney or otherwise,' for 'services', in concluding provisions, inserted 'court,' after 'department, agency,' and in subpar. (B), struck out 'including the District of Columbia,' after 'agency of the United States'. Subsec. (a)(2). Pub. L. 101-194, Sec. 402(4)-(6), inserted 'representational' before 'services', 'Member Elect,' after 'Member,' and 'Delegate Elect,' after 'Delegate,'. Subsec. (b). Pub. L. 101-194, Sec. 402(9), added subsec. (b). Former subsec. (b) redesignated (c). Subsec. (c). Pub. L. 101-194, Sec. 402(8), redesignated subsec. (b) as (c) and substituted 'subsections (a) and (b)' for 'subsection (a)'. Subsecs. (d), (e). Pub. L. 101-194, Sec. 402(10), added subsecs. (d) and (e). 1986 - Pub. L. 99-646, Sec. 47(a)(3)(D), provided for alignment of margins of each subsection, paragraph, and subparagraph of this section. Subsec. (a). Pub. L. 99-646, Sec. 47(a)(1), (2), substituted 'indirectly - ' for 'indirectly' in introductory provisions, redesignated the undesignated par. which followed former subsec. (b) as concluding par. of subsec. (a), and substituted 'shall be fined under this title' for 'Shall be fined not more than $10,000'. Subsec. (a)(1). Pub. L. 99-646, Sec. 47(a)(1), substituted '(1) demands, seeks, receives, accepts, or agrees to receive or accept any' for 'receives or agrees to receive, or asks, demands, solicits, or seeks, any' and 'personally or by' for 'by himself or', redesignated former par. (1) as subpar. (A) and substituted 'such person' for 'he' and 'Delegate, Delegate Elect' for 'Delegate from the District of Columbia, Delegate Elect from the District of Columbia', redesignated former par. (2) as subpar. (B) and substituted 'such person' for 'he', and in closing provisions substituted 'commission; or' for 'commission, or'. Subsec. (a)(2). Pub. L. 99-646, Sec. 47(a)(2), redesignated former subsec. (b) as par. (2) and substituted 'knowingly gives' for 'Whoever, knowingly, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly gives' and 'employee;' for 'employee - '. Subsecs. (b), (c). Pub. L. 99-646, Sec. 47(a)(3), (4), redesignated former subsec. (c) as (b) and substituted 'parties - ' for 'parties', 'such employee' for 'he', 'otherwise; or' for 'otherwise, or', and 'in which such employee is serving except that paragraph (2) of this subsection' for 'in which he is serving: Provided, That clause (2)'. Former subsec. (b) redesignated (a)(2). 1970 - Subsec. (a)(1). Pub. L. 91-405, Sec. 204(d)(2), included references to Delegate from District of Columbia and Delegate Elect from District of Columbia. Subsec. (b). Pub. L. 91-405, Sec. 204(d)(3), included reference to Delegate. EFFECTIVE DATE OF 1986 AMENDMENT Section 47(b) of Pub. L. 99-646 provided that: 'The amendments made by this section (amending this section) shall take effect 30 days after the date of enactment of this Act (Nov. 10, 1986).' EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-405 effective Sept. 22, 1970, see section 206(b) of Pub. L. 91-405, set out as an Effective Date note under section 25a of Title 2, The Congress. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. -TRANS- DELEGATION OF AUTHORITY Authority of President under subsec. (d) of this section to grant exemptions or approvals to individuals delegated to agency heads, see section 401 of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. Authority of President under subsec. (d) of this section to grant exemptions or approvals for Presidential appointees to committees, commissions, boards, or similar groups established by the President, and for individuals appointed pursuant to sections 105 and 107(a) of Title 3, The President, delegated to Counsel to President, see section 402 of Ex Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5. -MISC5- EXEMPTIONS Section 2 of Pub. L. 87-849 provided in part that: 'All exemptions from the provisions of sections 281, 282, 283, 284, 434, or 1914 of title 18 of the United States Code heretofore created or authorized by statute which are in force on the effective date of this Act (see Effective Date note under section 201 of this title) shall, on and after that date, be deemed to be exemptions from sections 203, 204, 205, 207, 208, or 209, respectively, of title 18 of the United States Code except to the extent that they affect officers or employees of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, as to whom they are no longer applicable.' PRIVATE SECTOR REPRESENTATIVES ON UNITED STATES DELEGATIONS TO INTERNATIONAL TELECOMMUNICATIONS MEETINGS AND CONFERENCES Pub. L. 97-241, title I, Sec. 120, Aug. 24, 1982, 96 Stat. 280, provided that: '(a) Sections 203, 205, 207, and 208 of title 18, United States Code, shall not apply to a private sector representative on the United States delegation to an international telecommunications meeting or conference who is specifically designated to speak on behalf of or otherwise represent the interests of the United States at such meeting or conference with respect to a particular matter, if the Secretary of State (or the Secretary's designee) certifies that no Government employee on the delegation is as well qualified to represent United States interests with respect to such matter and that such designation serves the national interest. All such representatives shall have on file with the Department of State the financial disclosure report required for special Government employees. '(b) As used in this section, the term 'international telecommunications meeting or conference' means the conferences of the International Telecommunications Union, meetings of its International Consultative Committees for Radio and for Telephone and Telegraph, and such other international telecommunications meetings or conferences as the Secretary of State may designate.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Activities of officers and employees in matters affecting the Government, see section 205 of this title. Definitions, see section 202 of this title. Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 201, 592, 593, 1901, 2071, 2381, 2385, 2387 of this title. Exemption of retired officers of the uniformed services, see section 206 of this title. Extortion by Government officers or employees, see section 872 of this title. Lobbying with appropriated moneys, see section 1913 of this title. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. Political contributions, solicitation of, see section 602 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 202, 206, 216 of this title; title 5 sections 588, 3374; title 12 section 2245; title 15 section 4805; title 16 section 459b-7; title 22 sections 3507, 3508; title 28 sections 594, 656; title 30 section 663; title 38 section 3402; title 40 App. section 108; title 42 sections 1314, 1975d; title 50 section 405; title 50 App. section 463. ------DocID 23842 Document 84 of 1438------ -CITE- 18 USC Sec. 204 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 204. Practice in United States Claims Court or the United States Court of Appeals for the Federal Circuit by Members of Congress -STATUTE- Whoever, being a Member of Congress or Member of Congress Elect, practices in the United States Claims Court or the United States Court of Appeals for the Federal Circuit shall be subject to the penalties set forth in section 216 of this title. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1122, and amended Pub. L. 91-405, title II, Sec. 204(d)(2), Sept. 22, 1970, 84 Stat. 853; Pub. L. 97-164, title I, Sec. 147, Apr. 2, 1982, 96 Stat. 45; Pub. L. 101-194, title IV, Sec. 403, Nov. 30, 1989, 103 Stat. 1749.) -MISC1- PRIOR PROVISIONS A prior section 204, act June 25, 1948, ch. 645, 62 Stat. 692, related to an offer to influence a Member of Congress, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. Provisions similar to this section were contained in former section 282 of this title prior to the repeal of such section and the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1989 - Pub. L. 101-194 amended section generally. Prior to amendment, section read as follows: 'Whoever, being a Member of Congress, Member of Congress Elect, Delegate from the District of Columbia, Delegate Elect from the District of Columbia, Resident Commissioner, or Resident Commissioner Elect, practices in the United States Claims Court or the United States Court of Appeals for the Federal Circuit, shall be fined not more than $10,000 or imprisoned for not more than two years, or both, and shall be incapable of holding any office of honor, trust, or profit under the United States.' 1982 - Pub. L. 97-164 substituted 'United States Claims Court or the United States Court of Appeals for the Federal Circuit' for 'Court of Claims'. 1970 - Pub. L. 91-405 included references to Delegate from District of Columbia and Delegate Elect from District of Columbia. EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-164 effective Oct. 1, 1982, see section 402 of Pub. L. 97-164, set out as a note under section 171 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-405 effective Sept. 22, 1970, see section 206(b) of Pub. L. 91-405, set out as an Effective Date note under section 25a of Title 2, The Congress. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. EXEMPTIONS Exemptions from former section 282 of this title deemed to be exemptions from this section, see section 2 of Pub. L. 87-849, set out as a note under section 203 of this title. -CROSS- CROSS REFERENCES Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 201, 203, 592, 593, 1901, 2071, 2381, 2385, 2387 of this title. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 202, 216 of this title; title 5 section 588; title 28 sections 594, 656; title 40 App. section 108. ------DocID 23843 Document 85 of 1438------ -CITE- 18 USC Sec. 205 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 205. Activities of officers and employees in claims against and other matters affecting the Government -STATUTE- (a) Whoever, being an officer or employee of the United States in the executive, legislative, or judicial branch of the Government or in any agency of the United States, other than in the proper discharge of his official duties - (1) acts as agent or attorney for prosecuting any claim against the United States, or receives any gratuity, or any share of or interest in any such claim, in consideration of assistance in the prosecution of such claim; or (2) acts as agent or attorney for anyone before any department, agency, court, court-martial, officer, or civil, military, or naval commission in connection with any covered matter in which the United States is a party or has a direct and substantial interest; shall be subject to the penalties set forth in section 216 of this title. (b) Whoever, being an officer or employee of the District of Columbia or an officer or employee of the Office of the United States Attorney for the District of Columbia, otherwise than in the proper discharge of official duties - (1) acts as agent or attorney for prosecuting any claim against the District of Columbia, or receives any gratuity, or any share of or interest in any such claim in consideration of assistance in the prosecution of such claim; or (2) acts as agent or attorney for anyone before any department, agency, court, officer, or commission in connection with any covered matter in which the District of Columbia is a party or has a direct and substantial interest; shall be subject to the penalties set forth in section 216 of this title. (c) A special Government employee shall be subject to subsections (a) and (b) only in relation to a covered matter involving a specific party or parties - (1) in which he has at any time participated personally and substantially as a Government employee or special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise; or (2) which is pending in the department or agency of the Government in which he is serving. Paragraph (2) shall not apply in the case of a special Government employee who has served in such department or agency no more than sixty days during the immediately preceding period of three hundred and sixty-five consecutive days. (d) Nothing in subsection (a) or (b) prevents an officer or employee, if not inconsistent with the faithful performance of his duties, from acting without compensation as agent or attorney for, or otherwise representing, any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings in connection with those proceedings. (e) Nothing in subsection (a) or (b) prevents an officer or employee, including a special Government employee, from acting, with or without compensation, as agent or attorney for, or otherwise representing, his parents, spouse, child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal fiduciary except - (1) in those matters in which he has participated personally and substantially as a Government employee or special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or (2) in those matters which are the subject of his official responsibility, subject to approval by the Government official responsible for appointment to his position. (f) Nothing in subsection (a) or (b) prevents a special Government employee from acting as agent or attorney for another person in the performance of work under a grant by, or a contract with or for the benefit of, the United States if the head of the department or agency concerned with the grant or contract certifies in writing that the national interest so requires and publishes such certification in the Federal Register. (g) Nothing in this section prevents an officer or employee from giving testimony under oath or from making statements required to be made under penalty for perjury or contempt. (h) For the purpose of this section, the term 'covered matter' means any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1122, and amended Pub. L. 101-194, title IV, Sec. 404, Nov. 30, 1989, 103 Stat. 1750; Pub. L. 101-280, Sec. 5(c), May 4, 1990, 104 Stat. 159.) -MISC1- PRIOR PROVISIONS A prior section 205, act June 25, 1948, ch. 645, 62 Stat. 692, related to the acceptance by a Member of Congress of anything of value to influence him, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. Provisions similar to those comprising this section were contained in section 283 of this title prior to the repeal of such section and the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1990 - Subsec. (a)(2). Pub. L. 101-280, Sec. 5(c)(1), substituted 'civil' for 'any civil'. Subsec. (b)(2). Pub. L. 101-280, Sec. 5(c)(2), substituted 'commission' for 'any commission'. 1989 - Pub. L. 101-194 amended section generally, revising and restating as subsecs. (a) to (h) provisions formerly consisting of eight undesignated pars. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. -TRANS- DELEGATION OF AUTHORITY Authority of President under subsec. (e) of this section to grant exemptions or approvals to individuals delegated to agency heads, see section 401 of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. Authority of President under subsec. (e) of this section to grant exemptions or approvals for Presidential appointees to committees, commissions, boards, or similar groups established by the President, and for individuals appointed pursuant to sections 105 and 107(a) of Title 3, The President, delegated to Counsel to President, see section 402 of Ex Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5. -MISC5- EXEMPTIONS Exemptions from former section 283 of this title deemed to be exemptions from this section, see section 2 of Pub. L. 87-849, set out as a note under section 203 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Claims generally, see section 3721 et seq. of Title 31, Money and Finance. Definitions, see section 202 of this title. Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 204, 592, 593, 1901, 2071, 2381, 2385, 2387 of this title. Exemption of retired officers of the uniformed services, see section 206 of this title. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 202, 206, 216 of this title; title 5 sections 588, 3374; title 10 section 942; title 12 section 2245; title 15 section 4805; title 16 section 459b-7; title 22 sections 3507, 3508; title 25 section 450i; title 28 sections 594, 656; title 30 section 663; title 38 section 3402; title 40 App. section 108; title 41 section 120; title 42 sections 1314, 1975d; title 50 section 405; title 50 App. section 463. ------DocID 23844 Document 86 of 1438------ -CITE- 18 USC Sec. 206 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 206. Exemption of retired officers of the uniformed services -STATUTE- Sections 203 and 205 of this title shall not apply to a retired officer of the uniformed services of the United States while not on active duty and not otherwise an officer or employee of the United States, or to any person specially excepted by Act of Congress. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1123.) -MISC1- PRIOR PROVISIONS A prior section 206, act June 25, 1948, ch. 645, 62 Stat. 692, related to an offer to a judge or judicial officer to influence him, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. -CROSS- CROSS REFERENCES Definitions, see section 202 of this title. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 202 of this title; title 5 section 588; title 12 section 2245; title 28 sections 594, 656; title 38 section 3402; title 40 App. section 108. ------DocID 23845 Document 87 of 1438------ -CITE- 18 USC Sec. 207 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 207. Restrictions on former officers, employees, and elected officials of the executive and legislative branches -STATUTE- (a) Restrictions on All Officers and Employees of the Executive Branch and Certain Other Agencies. - (1) Permanent restrictions on representation on particular matters. - Any person who is an officer or employee (including any special Government employee) of the executive branch of the United States (including any independent agency of the United States), or of the District of Columbia, and who, after the termination of his or her service or employment with the United States or the District of Columbia, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of any department, agency, court, or court-martial of the United States or the District of Columbia, on behalf of any other person (except the United States or the District of Columbia) in connection with a particular matter - (A) in which the United States or the District of Columbia is a party or has a direct and substantial interest, (B) in which the person participated personally and substantially as such officer or employee, and (C) which involved a specific party or specific parties at the time of such participation, shall be punished as provided in section 216 of this title. (2) Two-year restrictions concerning particular matters under official responsibility. - Any person subject to the restrictions contained in paragraph (1) who, within 2 years after the termination of his or her service or employment with the United States or the District of Columbia, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of any department, agency, court, or court-martial of the United States or the District of Columbia, on behalf of any other person (except the United States or the District of Columbia), in connection with a particular matter - (A) in which the United States or the District of Columbia is a party or has a direct and substantial interest, (B) which such person knows or reasonably should know was actually pending under his or her official responsibility as such officer or employee within a period of 1 year before the termination of his or her service or employment with the United States or the District of Columbia, and (C) which involved a specific party or specific parties at the time it was so pending, shall be punished as provided in section 216 of this title. (3) Clarification of Restrictions. - The restrictions contained in paragraphs (1) and (2) shall apply - (A) in the case of an officer or employee of the executive branch of the United States (including any independent agency), only with respect to communications to or appearances before any officer or employee of any department, agency, court, or court-martial of the United States on behalf of any other person (except the United States), and only with respect to a matter in which the United States is a party or has a direct and substantial interest; and (B) in the case of an officer or employee of the District of Columbia, only with respect to communications to or appearances before any officer or employee of any department, agency, or court of the District of Columbia on behalf of any other person (except the District of Columbia), and only with respect to a matter in which the District of Columbia is a party or has a direct and substantial interest. (b) One-Year Restrictions on Aiding or Advising. - (1) In general. - Any person who is a former officer or employee of the executive branch of the United States (including any independent agency) and is subject to the restrictions contained in subsection (a)(1), or any person who is a former officer or employee of the legislative branch or a former Member of Congress, who personally and substantially participated in any ongoing trade or treaty negotiation on behalf of the United States within the 1-year period preceding the date on which his or her service or employment with the United States terminated, and who had access to information concerning such trade or treaty negotiation which is exempt from disclosure under section 552 of title 5, which is so designated by the appropriate department or agency, and which the person knew or should have known was so designated, shall not, on the basis of that information, knowingly represent, aid, or advise any other person (except the United States) concerning such ongoing trade or treaty negotiation for a period of 1 year after his or her service or employment with the United States terminates. Any person who violates this subsection shall be punished as provided in section 216 of this title. (2) Definition. - For purposes of this paragraph - (A) the term 'trade negotiation' means negotiations which the President determines to undertake to enter into a trade agreement pursuant to section 1102 of the Omnibus Trade and Competitiveness Act of 1988, and does not include any action taken before that determination is made; and (B) the term 'treaty' means an international agreement made by the President that requires the advice and consent of the Senate. (c) One-Year Restrictions on Certain Senior Personnel of the Executive Branch and Independent Agencies. - (1) Restrictions. - In addition to the restrictions set forth in subsections (a) and (b), any person who is an officer or employee (including any special Government employee) of the executive branch of the United States (including an independent agency), who is referred to in paragraph (2), and who, within 1 year after the termination of his or her service or employment as such officer or employee, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of the department or agency in which such person served within 1 year before such termination, on behalf of any other person (except the United States), in connection with any matter on which such person seeks official action by any officer or employee of such department or agency, shall be punished as provided in section 216 of this title. (2) Persons to whom restrictions apply. - (A) Paragraph (1) shall apply to a person (other than a person subject to the restrictions of subsection (d)) - (i) employed at a rate of pay specified in or fixed according to subchapter II of chapter 53 of title 5, (ii) employed in a position which is not referred to in clause (i) and for which the basic rate of pay, exclusive of any locality-based pay adjustment under section 5302 of title 5 (or any comparable adjustment pursuant to interim authority of the President), is equal to or greater than the rate of basic pay payable for level V of the Executive Schedule; (FOOTNOTE 1) (FOOTNOTE 1) So in original. The semicolon probably should be a comma. (iii) appointed by the President to a position under section 105(a)(2)(B) of title 3 or by the Vice President to a position under section 106(a)(1)(B) of title 3, or (iv) employed in a position which is held by an active duty commissioned officer of the uniformed services who is serving in a grade or rank for which the pay grade (as specified in section 201 of title 37) is pay grade O-7 or above. (B) Paragraph (1) shall not apply to a special Government employee who serves less than 60 days in the 1-year period before his or her service or employment as such employee terminates. (C) At the request of a department or agency, the Director of the Office of Government Ethics may waive the restrictions contained in paragraph (1) with respect to any position, or category of positions, referred to in clause (ii) or (iv) of subparagraph (A), in such department or agency if the Director determines that - (i) the imposition of the restrictions with respect to such position or positions would create an undue hardship on the department or agency in obtaining qualified personnel to fill such position or positions, and (ii) granting the waiver would not create the potential for use of undue influence or unfair advantage. (d) Restrictions on Very Senior Personnel of the Executive Branch and Independent Agencies. - (1) Restrictions. - In addition to the restrictions set forth in subsections (a) and (b), any person who - (A) serves in the position of Vice President of the United States, (B) is employed in a position in the executive branch of the United States (including any independent agency) at a rate of pay payable for level I of the Executive Schedule or employed in a position in the Executive Office of the President at a rate of pay payable for level II of the Executive Schedule, or (C) is appointed by the President to a position under section 105(a)(2)(A) of title 3 or by the Vice President to a position under section 106(a)(1)(A) of title 3, and who, within 1 year after the termination of that person's service in that position, knowingly makes, with the intent to influence, any communication to or appearance before any person described in paragraph (2), on behalf of any other person (except the United States), in connection with any matter on which such person seeks official action by any officer or employee of the executive branch of the United States, shall be punished as provided in section 216 of this title. (2) Persons who may not be contacted. - The persons referred to in paragraph (1) with respect to appearances or communications by a person in a position described in subparagraph (A), (B), or (C) of paragraph (1) are - (A) any officer or employee of any department or agency in which such person served in such position within a period of 1 year before such person's service or employment with the United States Government terminated, and (B) any person appointed to a position in the executive branch which is listed in section 5312, 5313, 5314, 5315, or 5316 of title 5. (e) Restrictions on Members of Congress and Officers and Employees of the Legislative Branch. - (1) Members of congress and elected officers. - (A) Any person who is a Member of Congress or an elected officer of either House of Congress and who, within 1 year after that person leaves office, knowingly makes, with the intent to influence, any communication to or appearance before any of the persons described in subparagraph (B) or (C), on behalf of any other person (except the United States) in connection with any matter on which such former Member of Congress or elected officer seeks action by a Member, officer, or employee of either House of Congress, in his or her official capacity, shall be punished as provided in section 216 of this title. (B) The persons referred to in subparagraph (A) with respect to appearances or communications by a former Member of Congress are any Member, officer, or employee of either House of Congress, and any employee of any other legislative office of the Congress. (C) The persons referred to in subparagraph (A) with respect to appearances or communications by a former elected officer are any Member, officer, or employee of the House of Congress in which the elected officer served. (2) Personal staff. - (A) Any person who is an employee of a Senator or an employee of a Member of the House of Representatives and who, within 1 year after the termination of that employment, knowingly makes, with the intent to influence, any communication to or appearance before any of the persons described in subparagraph (B), on behalf of any other person (except the United States) in connection with any matter on which such former employee seeks action by a Member, officer, or employee of either House of Congress, in his or her official capacity, shall be punished as provided in section 216 of this title. (B) The persons referred to in subparagraph (A) with respect to appearances or communications by a person who is a former employee are the following: (i) the Senator or Member of the House of Representatives for whom that person was an employee; and (ii) any employee of that Senator or Member of the House of Representatives. (3) Committee staff. - Any person who is an employee of a committee of Congress and who, within 1 year after the termination of that person's employment on such committee, knowingly makes, with the intent to influence, any communication to or appearance before any person who is a Member or an employee of that committee or who was a Member of the committee in the year immediately prior to the termination of such person's employment by the committee, on behalf of any other person (except the United States) in connection with any matter on which such former employee seeks action by a Member, officer, or employee of either House of Congress, in his or her official capacity, shall be punished as provided in section 216 of this title. (4) Leadership staff. - (A) Any person who is an employee on the leadership staff of the House of Representatives or an employee on the leadership staff of the Senate and who, within 1 year after the termination of that person's employment on such staff, knowingly makes, with the intent to influence, any communication to or appearance before any of the persons described in subparagraph (B), on behalf of any other person (except the United States) in connection with any matter on which such former employee seeks action by a Member, officer, or employee of either House of Congress, in his or her official capacity, shall be punished as provided in section 216 of this title. (B) The persons referred to in subparagraph (A) with respect to appearances or communications by a former employee are the following: (i) in the case of a former employee on the leadership staff of the House of Representatives, those persons are any Member of the leadership of the House of Representatives and any employee on the leadership staff of the House of Representatives; and (ii) in the case of a former employee on the leadership staff of the Senate, those persons are any Member of the leadership of the Senate and any employee on the leadership staff of the Senate. (5) Other legislative offices. - (A) Any person who is an employee of any other legislative office of the Congress and who, within 1 year after the termination of that person's employment in such office, knowingly makes, with the intent to influence, any communication to or appearance before any of the persons described in subparagraph (B), on behalf of any other person (except the United States) in connection with any matter on which such former employee seeks action by any officer or employee of such office, in his or her official capacity, shall be punished as provided in section 216 of this title. (B) The persons referred to in subparagraph (A) with respect to appearances or communications by a former employee are the employees and officers of the former legislative office of the Congress of the former employee. (6) Limitation on restrictions. - (A) The restrictions contained in paragraphs (2), (3), and (4) apply only to acts by a former employee who, for at least 60 days, in the aggregate, during the 1-year period before that former employee's service as such employee terminated, was paid a rate of basic pay equal to or greater than an amount which is 75 percent of the basic rate of pay payable for a Member of the House of Congress in which such employee was employed. (B) The restrictions contained in paragraph (5) apply only to acts by a former employee who, for at least 60 days, in the aggregate, during the 1-year period before that former employee's service as such employee terminated, was employed in a position for which the rate of basic pay, exclusive of any locality-based pay adjustment under section 5302 of title 5 (or any comparable adjustment pursuant to interim authority of the President), is equal to or greater than the basic rate of pay payable for level V of the Executive Schedule. (7) Definitions. - As used in this subsection - (A) the term 'committee of Congress' includes standing committees, joint committees, and select committees; (B) a person is an employee of a House of Congress if that person is an employee of the Senate or an employee of the House of Representatives; (C) the term 'employee of the House of Representatives' means an employee of a Member of the House of Representatives, an employee of a committee of the House of Representatives, an employee of a joint committee of the Congress whose pay is disbursed by the Clerk of the House of Representatives, and an employee on the leadership staff of the House of Representatives; (D) the term 'employee of the Senate' means an employee of a Senator, an employee of a committee of the Senate, an employee of a joint committee of the Congress whose pay is disbursed by the Secretary of the Senate, and an employee on the leadership staff of the Senate; (E) a person is an employee of a Member of the House of Representatives if that person is an employee of a Member of the House of Representatives under the clerk hire allowance; (F) a person is an employee of a Senator if that person is an employee in a position in the office of a Senator; (G) the term 'employee of any other legislative office of the Congress' means an officer or employee of the Architect of the Capitol, the United States Botanic Garden, the General Accounting Office, the Government Printing Office, the Library of Congress, the Office of Technology Assessment, the Congressional Budget Office, the Copyright Royalty Tribunal, the United States Capitol Police, and any other agency, entity, or office in the legislative branch not covered by paragraph (1), (2), (3), or (4) of this subsection; (H) the term 'employee on the leadership staff of the House of Representatives' means an employee of the office of a Member of the leadership of the House of Representatives described in subparagraph (L), and any elected minority employee of the House of Representatives; (I) the term 'employee on the leadership staff of the Senate' means an employee of the office of a Member of the leadership of the Senate described in subparagraph (M); (J) the term 'Member of Congress' means a Senator or a Member of the House of Representatives; (K) the term 'Member of the House of Representatives' means a Representative in, or a Delegate or Resident Commissioner to, the Congress; (L) the term 'Member of the leadership of the House of Representatives' means the Speaker, majority leader, minority leader, majority whip, minority whip, chief deputy majority whip, chief deputy minority whip, chairman of the Democratic Steering Committee, chairman and vice chairman of the Democratic Caucus, chairman, vice chairman, and secretary of the Republican Conference, chairman of the Republican Research Committee, and chairman of the Republican Policy Committee, of the House of Representatives (or any similar position created on or after the effective date set forth in section 102(a) of the Ethics Reform Act of 1989); (M) the term 'Member of the leadership of the Senate' means the Vice President, and the President pro tempore, Deputy President pro tempore, majority leader, minority leader, majority whip, minority whip, chairman and secretary of the Conference of the Majority, chairman and secretary of the Conference of the Minority, chairman and co-chairman of the Majority Policy Committee, and chairman of the Minority Policy Committee, of the Senate (or any similar position created on or after the effective date set forth in section 102(a) of the Ethics Reform Act of 1989). (f) Restrictions Relating to Foreign Entities. - (1) Restrictions. - Any person who is subject to the restrictions contained in subsection (c), (d), or (e) and who knowingly, within 1 year after leaving the position, office, or employment referred to in such subsection - (A) represents a foreign entity before any officer or employee of any department or agency of the United States with the intent to influence a decision of such officer or employee in carrying out his or her official duties, or (B) aids or advises a foreign entity with the intent to influence a decision of any officer or employee of any department or agency of the United States, in carrying out his or her official duties, shall be punished as provided in section 216 of this title. (2) Definition. - For purposes of this subsection, the term 'foreign entity' means the government of a foreign country as defined in section 1(e) of the Foreign Agents Registration Act of 1938, as amended, or a foreign political party as defined in section 1(f) of that Act. (g) Special Rules for Detailees. - For purposes of this section, a person who is detailed from one department, agency, or other entity to another department, agency, or other entity shall, during the period such person is detailed, be deemed to be an officer or employee of both departments, agencies, or such entities. (h) Designations of Separate Statutory Agencies and Bureaus. - (1) Designations. - For purposes of subsection (c) and except as provided in paragraph (2), whenever the Director of the Office of Government Ethics determines that an agency or bureau within a department or agency in the executive branch exercises functions which are distinct and separate from the remaining functions of the department or agency and that there exists no potential for use of undue influence or unfair advantage based on past Government service, the Director shall by rule designate such agency or bureau as a separate department or agency. On an annual basis the Director of the Office of Government Ethics shall review the designations and determinations made under this subparagraph and, in consultation with the department or agency concerned, make such additions and deletions as are necessary. Departments and agencies shall cooperate to the fullest extent with the Director of the Office of Government Ethics in the exercise of his or her responsibilities under this paragraph. (2) Inapplicability of designations. - No agency or bureau within the Executive Office of the President may be designated under paragraph (1) as a separate department or agency. No designation under paragraph (1) shall apply to persons referred to in subsection (c)(2)(A)(i) or (iii). (i) Definitions. - For purposes of this section - (1) the term 'officer or employee', when used to describe the person to whom a communication is made or before whom an appearance is made, with the intent to influence, shall include - (A) in subsections (a), (c), and (d), the President and the Vice President; and (B) in subsection (f), the President, the Vice President, and Members of Congress; (2) the term 'participated' means an action taken as an officer or employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or other such action; and (3) the term 'particular matter' includes any investigation, application, request for a ruling or determination, rulemaking, contract, controversy, claim, charge, accusation, arrest, or judicial or other proceeding. (j) Exceptions. - (1) Official government duties. - The restrictions contained in this section shall not apply to acts done in carrying out official duties on behalf of the United States or the District of Columbia or as an elected official of a State or local government. (2) State and local governments and institutions, hospitals, and organizations. - The restrictions contained in subsections (c), (d), and (e) shall not apply to acts done in carrying out official duties as an employee of - (A) an agency or instrumentality of a State or local government if the appearance, communication, or representation is on behalf of such government, or (B) an accredited, degree-granting institution of higher education, as defined in section 1201(a) of the Higher Education Act of 1965, or a hospital or medical research organization, exempted and defined under section 501(c)(3) of the Internal Revenue Code of 1986, if the appearance, communication, or representation is on behalf of such institution, hospital, or organization. (3) International organizations. - The restrictions contained in this section shall not apply to an appearance or communication on behalf of, or advice or aid to, an international organization in which the United States participates, if the Secretary of State certifies in advance that such activity is in the interests of the United States. (4) Special knowledge. - The restrictions contained in subsections (c), (d), and (e) shall not prevent an individual from making or providing a statement, which is based on the individual's own special knowledge in the particular area that is the subject of the statement, if no compensation is thereby received. (5) Exception for scientific or technological information. - The restrictions contained in subsections (a), (c), and (d) shall not apply with respect to the making of communications solely for the purpose of furnishing scientific or technological information, if such communications are made under procedures acceptable to the department or agency concerned or if the head of the department or agency concerned with the particular matter, in consultation with the Director of the Office of Government Ethics, makes a certification, published in the Federal Register, that the former officer or employee has outstanding qualifications in a scientific, technological, or other technical discipline, and is acting with respect to a particular matter which requires such qualifications, and that the national interest would be served by the participation of the former officer or employee. For purposes of this paragraph, the term 'officer or employee' includes the Vice President. (6) Exception for testimony. - Nothing in this section shall prevent an individual from giving testimony under oath, or from making statements required to be made under penalty of perjury. Notwithstanding the preceding sentence - (A) a former officer or employee of the executive branch of the United States (including any independent agency) who is subject to the restrictions contained in subsection (a)(1) with respect to a particular matter may not, except pursuant to court order, serve as an expert witness for any other person (except the United States) in that matter; and (B) a former officer or employee of the District of Columbia who is subject to the restrictions contained in subsection (a)(1) with respect to a particular matter may not, except pursuant to court order, serve as an expert witness for any other person (except the District of Columbia) in that matter. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1123, and amended Pub. L. 95-521, title V, Sec. 501(a), Oct. 26, 1978, 92 Stat. 1864; Pub. L. 96-28, June 22, 1979, 93 Stat. 76; Pub. L. 101-189, div. A, title VIII, Sec. 814(d)(2), Nov. 29, 1989, 103 Stat. 1499; Pub. L. 101-194, title I, Sec. 101(a), Nov. 30, 1989, 103 Stat. 1716; Pub. L. 101-280, Sec. 2(a), 5(d), May 4, 1990, 104 Stat. 149, 159; Pub. L. 101-509, title V, Sec. 529 (title I, Sec. 101(b)(8)(A)), Nov. 5, 1990, 104 Stat. 1427, 1440.) -REFTEXT- REFERENCES IN TEXT Section 1102 of the Omnibus Trade and Competitiveness Act of 1988, referred to in subsec. (b)(2)(A), is classified to section 2902 of Title 19, Customs Duties. Levels I, II, and V of the Executive Schedule, referred to in subsecs. (c)(2)(A)(ii), (d)(1)(B), and (e)(6)(B), are set out in sections 5312, 5313, and 5316, respectively, of Title 5, Government Organization and Employees. Section 102(a) of the Ethics Reform Act of 1989, referred to in subsec. (e)(7)(L), (M), is section 102(a) of Pub. L. 101-194, which is set out below. Section 1(e) and (f) of the Foreign Agents Registration Act of 1938, referred to in subsec. (f)(2), is classified to section 611(e) and (f) of Title 22, Foreign Relations and Intercourse. Section 1201(a) of the Higher Education Act of 1965, referred to in subsec. (j)(2)(B), is classified to section 1141(a) of Title 20, Education. Section 501(c)(3) of the Internal Revenue Code of 1986, referred to in subsec. (j)(2)(B), is classified to section 501(c)(3) of Title 26, Internal Revenue Code. -COD- CODIFICATION Another section 501(a) of Pub. L. 95-521, as added by Pub. L. 101-194, title VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1760, is set out in the Appendix to Title 5, Government Organization and Employees. -MISC3- PRIOR PROVISIONS A prior section 207, act June 25, 1948, ch. 645, 62 Stat. 692, related to the acceptance of a bribe by a judge, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. Provisions similar to those comprising this section were contained in section 284 of this title prior to the repeal of such section and the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-280, Sec. 2(a)(1), amended subsec. (a)(1), as amended by Pub. L. 101-194, by inserting '(including any special Government employee)' after 'who is an officer or employee', striking out 'Government' after 'executive branch of the United States', 'and any special Government employee' after 'independent agency of the United States', 'Government' after 'employment with the United States', 'as the case may be,' before 'knowingly makes' and before 'on behalf of', inserting 'or the District of Columbia' after '(except the United States', and in subpar. (A) inserting 'or the District of Columbia' after 'United States'. Subsec. (a)(2). Pub. L. 101-280, Sec. 2(a), amended subsec. (a)(2), as amended by Pub. L. 101-194, by substituting 'or the District of Columbia, knowingly' for 'Government, knowingly' and '(except the United States or the District of Columbia)' for '(except the United States)', in subpar. (A) inserting 'or the District of Columbia' after 'United States)', and in subpar. (B) striking out 'Government' after 'United States'. Subsec. (a)(3). Pub. L. 101-280, Sec. 2(a)(3), amended subsec. (a), as amended by Pub. L. 101-194, by adding par. (3). Subsec. (b)(1). Pub. L. 101-280, Sec. 2(a)(4), amended subsec. (b)(1), as amended by Pub. L. 101-194, by substituting 'a former officer or employee of the executive branch of the United States (including any independent agency) and is' for 'a former officer or employee', substituting 'or any person who is a former officer or employee of the legislative branch or a former Member of Congress' for 'and any person described in subsection (e)(7)', substituting 'which is so designated by the appropriate department or agency, and which the person knew or should have known was so designated, shall not, on the basis of that information, knowingly represent' for 'and which is so designated by the appropriate department or agency, shall not, on the basis of that information, which the person knew or should have known was so designated, knowingly represent', inserting 'a period of' before '1 year', and striking out 'Government' before 'terminates'. Subsec. (c). Pub. L. 101-280, Sec. 5(d), substituted 'shall be subject to the penalties set forth in section 216 of this title' for 'shall be fined not more than $10,000 or imprisoned for not more than two years, or both' in concluding provisions of subsec. (c) as in effect on May 4, 1990. Subsec. (c)(1). Pub. L. 101-280, Sec. 2(a)(5)(A), amended subsec. (c)(1), as amended by Pub. L. 101-194, by substituting '(including any special Government employee) of the executive branch of the United States' for 'of the executive branch'. Subsec. (c)(2)(A)(i). Pub. L. 101-280, Sec. 2(a)(5)(B)(i), amended subsec. (c)(2)(A)(i), as amended by Pub. L. 101-194, by inserting 'specified in or' after 'employed at a rate of pay' and striking out 'or a comparable or greater rate of pay under other authority,' after 'chapter 53 of title 5,'. Subsec. (c)(2)(A)(ii). Pub. L. 101-509, Sec. 529 (title I, Sec. 101(b)(8)(A)(i)), added cl. (ii) and struck out former cl. (ii) which read as follows: 'employed in a position which is not referred to in clause (i) and for which the rate of basic pay is equal to or greater than the rate of basic pay payable for GS-17 of the General Schedule,'. Pub. L. 101-280, Sec. 2(a)(5)(B)(ii), amended subsec. (a)(2)(A)(ii), as amended by Pub. L. 101-194, by substituting 'rate of basic' for 'basic rate of' wherever appearing. Subsec. (c)(2)(C), (D). Pub. L. 101-280, Sec. 2(a)(5)(B)(iii), amended subsec. (c)(2)(C), (D), as amended by Pub. L. 101-194, by redesignating subpar. (D) as (C) and striking out former subpar. (C) which read as follows: 'Subparagraph (A)(ii) includes persons employed in the Senior Executive Service at the basic rate of pay specified in that subparagraph.' Subsec. (d)(1)(B). Pub. L. 101-280, Sec. 2(a)(6)(A), amended subsec. (d)(1)(B), as amended by Pub. L. 101-194, by substituting 'in the executive branch of the United States (including any independent agency)' for 'paid'. Subsec. (d)(2). Pub. L. 101-280, Sec. 2(a)(6)(B), amended subsec. (d)(2), as amended by Pub. L. 101-194, by substituting 'Persons who may not be contacted' for 'Entities to which restrictions apply' in heading, and striking out 'other' after 'any' in subpar. (B). Subsec. (e)(6). Pub. L. 101-509, Sec. 529 (title I, Sec. 101(b)(8)(A)(ii)), added par. (6) and struck out former par. (6) which read as follows: 'The restrictions contained in paragraphs (2), (3), (4), and (5) apply only to acts by a former employee who, for at least 60 days, in the aggregate, during the 1-year period before that former employee's service as such employee terminated, was paid for such service at a rate of basic pay equal to or greater than the rate of basic pay payable for GS-17 of the General Schedule under section 5332 of title 5.' Pub. L. 101-280, Sec. 2(a)(7)(A), amended subsec. (e)(6), as amended by Pub. L. 101-194, by substituting 'rate of basic' for 'basic rate of' wherever appearing. Subsec. (e)(7)(L), (M). Pub. L. 101-280, Sec. 2(a)(7)(B), amended subsec. (e)(7)(L), (M), as amended by Pub. L. 101-194, by inserting 'on or' before 'after the effective date'. Subsec. (f)(1). Pub. L. 101-280, Sec. 2(a)(8)(A), amended subsec. (f)(1), as amended by Pub. L. 101-194, by substituting 'such subsection' for 'subsection (c), (d), or (e), as the case may be'. Subsec. (f)(1)(A). Pub. L. 101-280, Sec. 2(a)(8)(B), amended subsec. (f)(1)(A), as amended by Pub. L. 101-194, by striking out 'the interests of' after 'represents' and 'of the Government' after 'department or agency'. Subsec. (f)(1)(B). Pub. L. 101-280, Sec. 2(a)(8)(C), amended subsec. (f)(1)(B), as amended by Pub. L. 101-194, by striking out 'of the Government' after 'department or agency'. Subsec. (i)(1). Pub. L. 101-280, Sec. 2(a)(9), amended subsec. (i)(1), as amended by Pub. L. 101-194, by adding par. (1) and striking out former par. (1) which read as follows: 'the term 'intent to influence' means the intent to affect any official action by a Government entity of the United States through any officer or employee of the United States, including Members of Congress;'. Subsec. (j)(1). Pub. L. 101-280, Sec. 2(a)(10)(A), amended subsec. (j)(1), as amended by Pub. L. 101-194, by substituting 'this section' for 'subsections (a), (c), (d), and (e)', 'on behalf of' for 'as an officer or employee of', and 'or the District of Columbia' for 'Government'. Subsec. (j)(3). Pub. L. 101-280, Sec. 2(a)(10)(B), amended subsec. (j)(3), as amended by Pub. L. 101-194, by substituting 'this section' for 'subsections (c), (d), and (e)' and 'in which the United States participates, if the Secretary of State certifies in advance that such activity is in the interests of the United States' for 'of which the United States is a member'. Subsec. (j)(4). Pub. L. 101-280, Sec. 2(a)(10)(C), amended subsec. (j)(4), as amended by Pub. L. 101-194, by substituting 'Special' for 'Personal matters and special' in heading, substituting 'prevent an individual' for 'apply to appearances or communications by a former officer or employee concerning matters of a personal and individual nature, such as personal income taxes or pension benefits; nor shall the prohibitions of those subsections prevent a former officer or employee', substituting 'individual's' for 'former officer's or employee's', and striking out ', other than that regularly provided for by law or regulation for witnesses' after 'if no compensation is thereby received'. Subsec. (j)(5). Pub. L. 101-280, Sec. 2(a)(10)(D), amended subsec. (j)(5), as amended by Pub. L. 101-194, by substituting 'and (d)' for '(d), and (e)' and inserting 'For purposes of this paragraph, the term 'officer or employee' includes the Vice President.' Subsec. (j)(6). Pub. L. 101-280, Sec. 2(a)(10)(E)(ii), amended subsec. (j)(6), as amended by Pub. L. 101-194, by substituting 'sentence - ' for 'sentence, a former officer or employee subject to the restrictions contained in subsection (a)(1) with respect to a particular matter may not, except pursuant to court order, serve as an expert witness for any other person (except the United States) in that matter.' and adding subpars. (A) and (B). Pub. L. 101-280, Sec. 2(a)(10)(E)(i), amended subsec. (j)(6), as amended by Pub. L. 101-194, by substituting 'an individual' for 'a former Member of Congress or officer or employee of the executive or legislative branch or an independent agency (including the Vice President and any special Government employee)'. 1989 - Pub. L. 101-194 amended section generally, substituting 'Restrictions on former officers, employees, and elected officials of the executive and legislative branches' for 'Disqualification of former officers and employees; disqualification of partners of current officers and employees' as section catchline and making extensive changes in content and structure of text. For text of section as it existed prior to the general amendment by Pub. L. 101-194, see Effective Date of 1989 Amendment; Effect on Employment note set out below. Subsec. (k). Pub. L. 101-189 added subsec. (k). 1979 - Subsec. (b). Pub. L. 96-28, Sec. 1, substituted 'by personal presence at any formal or informal appearance' for 'concerning any formal or informal appearance' in cl. (ii) of provisions before par. (1), and, in par. (3), inserted 'as to (i),' before 'which was actually pending' and ', as to (ii),' before 'in which he participated'. Subsec. (d). Pub. L. 96-28, Sec. 2, designated existing provisions as par. (1), designated existing pars. (1) and (3) as subpars. (A) and (B) of par. (1) as so designated, and added subpar. (C) of par. (1) and par. (2), incorporating into the new par. and subpar. portions of former provisions relating to positions for which the basic rate of pay was equal to or greater than the basic rate of pay for GS-17 of the General Schedule prescribed by section 5332 of Title 5 and who had significant decision-making or supervisory responsibility, as designated by the Director of the Office of Government Ethics, in consultation with the head of the department or agency concerned, and provisions relating to the designation of positions by the Director of the Office of Government Ethics. 1978 - Pub. L. 95-521 expanded section to include provisions designed to more effectively deal with the problem of the disproportionate influence former officers and employees might have upon the government processes and decision-making in their previous departments or agencies when they return in the role of representatives or advocates of nongovernmental groups or interests before those same departments or agencies. EFFECTIVE DATE OF 1990 AMENDMENTS Section 529 (title I, Sec. 101(b)(8)(B)) of Pub. L. 101-509 provided that: 'The amendments made by subparagraph (A) (amending this section) take effect on January 1, 1991.' Amendment by Pub. L. 101-280 effective May 4, 1990, see section 11 of Pub. L. 101-280, set out as a note under section 101 of Pub. L. 95-521 in the Appendix to Title 5, Government Organization and Employees. EFFECTIVE DATE OF 1989 AMENDMENT; EFFECT ON EMPLOYMENT Section 102 of Pub. L. 101-194, as amended by Pub. L. 101-280, Sec. 2(b), May 4, 1990, 104 Stat. 152, provided that: '(a) In General. - (1) Subject to paragraph (2) and to subsection (b), the amendments made by section 101 (amending this section) take effect on January 1, 1991. '(2) Subject to subsection (b), the amendments made by section 101 take effect at noon on January 3, 1991, with respect to Members of Congress (within the meaning of section 207 of title 18, United States Code). '(b) Effect on Employment. - (1) The amendments made by section 101 apply only to persons whose service as a Member of Congress, the Vice President, or an officer or employee to which such amendments apply terminates on or after the effective date of such amendments. '(2) With respect to service as an officer or employee which terminates before the effective date set forth in subsection (a), section 207 of title 18, United States Code, as in effect at the time of the termination of such service, shall continue to apply, on and after such effective date, with respect to such service.' Prior to the effective date of the amendment by Pub. L. 101-194, section 207 read as follows: 'Sec. 207. Disqualification of former officers and employees; disqualification of partners of current officers and employees '(a) Whoever, having been an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, after his employment has ceased, knowingly acts as agent or attorney for, or otherwise represents, any other person (except the United States), in any formal or informal appearance before, or, with the intent to influence, makes any oral or written communication on behalf of any other person (except the United States) to - '(1) any department, agency, court, court-martial, or any civil, military, or naval commission of the United States or the District of Columbia, or any officer or employee thereof, and '(2) in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States or the District of Columbia is a party or has a direct and substantial interest, and '(3) in which he participated personally and substantially as an officer or employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, while so employed; or '(b) Whoever, (i) having been so employed, within two years after his employment has ceased, knowingly acts as agent or attorney for, or otherwise represents, any other person (except the United States), in any formal or informal appearance before, or, with the intent to influence, makes any oral or written communication on behalf of any other person (except the United States) to, or (ii) having been so employed and as specified in subsection (d) of this section, within two years after his employment has ceased, knowingly represents or aids, counsels, advises, consults, or assists in representing any other person (except the United States) by personal presence at any formal or informal appearance before - '(1) any department, agency, court, court-martial, or any civil, military or naval commission of the United States or the District of Columbia, or any officer or employee thereof, and '(2) in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties in which the United States or the District of Columbia is a party or has a direct and substantial interest, and '(3) as to (i), which was actually pending under his official responsibility as an officer or employee within a period of one year prior to the termination of such responsibility, or, as to (ii), in which he participated personally and substantially as an officer or employee; or '(c) Whoever, other than a special Government employee who serves for less than sixty days in a given calendar year, having been so employed as specified in subsection (d) of this section, within one year after such employment has ceased, knowingly acts as agent or attorney for, or otherwise represents, anyone other than the United States in any formal or informal appearance before, or, with the intent to influence, makes any oral or written communication on behalf of anyone other than the United States, to - '(1) the department or agency in which he served as an officer or employee, or any officer or employee thereof, and '(2) in connection with any judicial, rulemaking, or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter, and '(3) which is pending before such department or agency or in which such department or agency has a direct and substantial interest - shall be subject to the penalties set forth in section 216 of this title. '(d)(1) Subsection (c) of this section shall apply to a person employed - '(A) at a rate of pay specified in or fixed according to subchapter II of chapter 53 of title 5, United States Code, or a comparable or greater rate of pay under other authority; '(B) on active duty as a commissioned officer of a uniformed service assigned to pay grade of O-9 or above as described in section 201 of title 37, United States Code; or '(C) in a position which involves significant decision-making or supervisory responsibility, as designated under this subparagraph by the Director of the Office of Government Ethics, in consultation with the department or agency concerned. Only positions which are not covered by subparagraphs (A) and (B) above, and for which the basic rate of pay is equal to or greater than the basic rate of pay for GS-17 of the General Schedule prescribed by section 5332 of title 5, United States Code, or positions which are established within the Senior Executive Service pursuant to the Civil Service Reform Act of 1978, or positions of active duty commissioned officers of the uniformed services assigned to pay O-7 or O-8, as described in section 201 of title 37, United States Code, may be designated. As to persons in positions designated under this subparagraph, the Director may limit the restrictions of subsection (c) to permit a former officer or employee, who served in a separate agency or bureau within a department or agency, to make appearances before or communications to persons in an unrelated agency or bureau, within the same department or agency, having separate and distinct subject matter jurisdiction, upon a determination by the Director that there exists no potential for use of undue influence or unfair advantage based on past government service. On an annual basis, the Director of the Office of Government Ethics shall review the designations and determinations made under this subparagraph and, in consultation with the department or agency concerned, make such additions and deletions as are necessary. Departments and agencies shall cooperate to the fullest extent with the Director of the Office of Government Ethics in the exercise of his responsibilities under this paragraph. '(2) The prohibition of subsection (c) shall not apply to appearances, communications, or representation by a former officer or employee, who is - '(A) an elected official of a State or local government, or '(B) whose principal occupation or employment is with (i) an agency or instrumentality of a State or local government, (ii) an accredited, degree-granting institution of higher education, as defined in section 1201(a) of the Higher Education Act of 1965, or (iii) a hospital or medical research organization, exempted and defined under section 501(c)(3) of the Internal Revenue Code of 1986, and the appearance, communication, or representation is on behalf of such government, institution, hospital, or organization. '(e) For the purposes of subsection (c), whenever the Director of the Office of Government Ethics determines that a separate statutory agency or bureau within a department or agency exercises functions which are distinct and separate from the remaining functions of the department or agency, the Director shall by rule designate such agency or bureau as a separate department or agency; except that such designation shall not apply to former heads of designated bureaus or agencies, or former officers and employees of the department or agency whose official responsibilities included supervision of said agency or bureau. '(f) The prohibitions of subsections (a), (b), and (c) shall not apply with respect to the making of communications solely for the purpose of furnishing scientific or technological information under procedures acceptable to the department or agency concerned, or if the head of the department or agency concerned with the particular matter, in consultation with the Director of the Office of Government Ethics, makes a certification, published in the Federal Register, that the former officer or employee has outstanding qualifications in a scientific, technological, or other technical discipline, and is acting with respect to a particular matter which requires such qualifications, and that the national interest would be served by the participation of the former officer or employee. '(g) Whoever, being a partner of an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, acts as agent or attorney for anyone other than the United States before any department, agency, court, court-martial, or any civil, military, or naval commission of the United States or the District of Columbia, or any officer or employee thereof, in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter in which the United States or the District of Columbia is a party or has a direct and substantial interest and in which such officer or employee or special Government employee participates or has participated personally and substantially as an officer or employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or which is the subject of his official responsibility, shall be fined not more than $5,000, or imprisoned for not more than one year, or both. '(h) Nothing in this section shall prevent a former officer or employee from giving testimony under oath, or from making statements required to be made under penalty of perjury. '(i) The prohibition contained in subsection (c) shall not apply to appearances or communications by a former officer or employee concerning matters of a personal and individual nature, such as personal income taxes or pension benefits; nor shall the prohibition of that subsection prevent a former officer or employee from making or providing a statement, which is based on the former officer's or employee's own special knowledge in the particular area that is the subject of the statement, provided that no compensation is thereby received, other than that regularly provided for by law or regulation for witnesses. '(j) If the head of the department or agency in which the former officer or employee served finds, after notice and opportunity for a hearing, that such former officer or employee violated subsection (a), (b), or (c) of this section, such department or agency head may prohibit that person from making, on behalf of any other person (except the United States), any informal or formal appearance before, or, with the intent to influence, any oral or written communication to, such department or agency on a pending matter of business for a period not to exceed five years, or may take other appropriate disciplinary action. Such disciplinary action shall be subject to review in an appropriate United States district court. No later than six months after the effective date of this Act, departments and agencies shall, in consultation with the Director of the Office of Government Ethics, establish procedures to carry out this subsection. '(k)(1)(A) The President may grant a waiver of a restriction imposed by this section to any officer or employee described in paragraph (2) if the President determines and certifies in writing that it is in the public interest to grant the waiver and that the services of the officer or employee are critically needed for the benefit of the Federal Government. Not more than 25 officers and employees currently employed by the Federal Government at any one time may have been granted waivers under this paragraph. '(B) A waiver granted under this paragraph to any person shall apply only with respect to activities engaged in by that person after that person's Federal Government employment is terminated and only to that person's employment at a Government-owned, contractor operated entity with which the person served as an officer or employee immediately before the person's Federal Government employment began. '(2) Waivers under paragraph (1) may be granted only to civilian officers and employees of the executive branch, other than officers and employees in the Executive Office of the President. '(3) A certification under paragraph (1) shall take effect upon its publication in the Federal Register and shall identify - '(A) the officer or employee covered by the waiver by name and by position, and '(B) the reasons for granting the waiver. A copy of the certification shall also be provided to the Director of the Office of Government Ethics. '(4) The President may not delegate the authority provided by this subsection. '(5)(A) Each person granted a waiver under this subsection shall prepare reports, in accordance with subparagraph (B), stating whether the person has engaged in activities otherwise prohibited by this section for each six-month period described in subparagraph (B), and if so, what those activities were. '(B) A report under subparagraph (A) shall cover each six-month period beginning on the date of the termination of the person's Federal Government employment (with respect to which the waiver under this subsection was granted) and ending two years after that date. Such report shall be filed with the President and the Director of the Office of Government Ethics not later than 60 days after the end of the six-month period covered by the report. All reports filed with the Director under this paragraph shall be made available for public inspection and copying. '(C) If a person fails to file any report in accordance with subparagraphs (A) and (B), the President shall revoke the waiver and shall notify the person of the revocation. The revocation shall take effect upon the person's receipt of the notification and shall remain in effect until the report is filed. '(D) Any person who is granted a waiver under this subsection shall be ineligible for appointment in the civil service unless all reports required of such person by subparagraphs (A) and (B) have been filed. '(E) As used in this subsection, the term 'civil service' has the meaning given that term in section 2101 of title 5.' EFFECTIVE DATE OF 1978 AMENDMENT Section 503 of Pub. L. 95-521, which provided that the amendments made by section 501 (amending this section) shall become effective on July 1, 1979, was amended generally by Pub. L. 101-194, title VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1761, and is now set out in the Appendix to Title 5, Government Organization and Employees. Section 502 of Pub. L. 95-521, which provided that the amendments made by section 501 (amending this section) shall not apply to those individuals who left Government service prior to the effective date of such amendments (July 1, 1979) or, in the case of individuals who occupied positions designated pursuant to section 207(d) of title 18, United States Code, prior to the effective date of such designation; except that any such individual who returns to Government service on or after the effective date of such amendments or designation shall be thereafter covered by such amendments or designation, was amended generally by Pub. L. 101-194, title VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1761, and is now set out in the Appendix to Title 5. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. PROMULGATION OF REGULATIONS Responsibility of Office of Government Ethics for promulgating regulations and interpreting this section, see section 201(c) of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. AGENCIES WITHIN EXECUTIVE OFFICE OF PRESIDENT For provisions relating to treatment of agencies within the Executive Office of the President as one agency under subsec. (c) of this section, see Ex. Ord. No. 12674, Sec. 202, Apr. 12, 1989, 54 F.R. 15160, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. EXEMPTIONS Exemptions from former section 284 of this title deemed to be exemptions from this section, see section 2 of Pub. L. 87-849, set out as a note under section 203 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES American Institute in Taiwan, employees in representing Institute to be exempt from this section, see section 3310 of Title 22, Foreign Relations and Intercourse. Definitions, see section 202 of this title. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. Officials appointed under laws and regulations of the Universal Military Training and Service System, nonapplicability of this section to, see section 463 of Title 50, Appendix, War and National Defense. Surplus property, disposal of, restriction on practice by former Government officers and employees and commissioned officers, see section 471 et seq. of Title 40, Public Buildings, Property, and Works. Wartime suspension of limitations, see section 3287 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 202, 216 of this title; title 5 sections 588, 3374; title 12 section 2245; title 16 section 459b-7; title 22 sections 3310, 3507, 3508, 3622; title 25 section 450i; title 28 sections 594, 656; title 30 section 663; title 38 section 3402; title 40 App. section 108; title 42 sections 1396a, 1975d, 7216, 7218; title 50 section 405; title 50 App. section 463. ------DocID 23846 Document 88 of 1438------ -CITE- 18 USC Sec. 208 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 208. Acts affecting a personal financial interest -STATUTE- (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the United States Government, or of any independent agency of the United States, a Federal Reserve bank director, officer, or employee, or an officer or employee of the District of Columbia, including a special Government employee, participates personally and substantially as a Government officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, general partner, organization in which he is serving as officer, director, trustee, general partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest - Shall be subject to the penalties set forth in section 216 of this title. (b) Subsection (a) shall not apply - (1) if the officer or employee first advises the Government official responsible for appointment to his or her position of the nature and circumstances of the judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officer or employee; (2) if, by regulation issued by the Director of the Office of Government Ethics, applicable to all or a portion of all officers and employees covered by this section, and published in the Federal Register, the financial interest has been exempted from the requirements of subsection (a) as being too remote or too inconsequential to affect the integrity of the services of the Government officers or employees to which such regulation applies; (3) in the case of a special Government employee serving on an advisory committee within the meaning of the Federal Advisory Committee Act (including an individual being considered for an appointment to such a position), the official responsible for the employee's appointment, after review of the financial disclosure report filed by the individual pursuant to the Ethics in Government Act of 1978, certifies in writing that the need for the individual's services outweighs the potential for a conflict of interest created by the financial interest involved; or (4) the (FOOTNOTE 1) financial interest that would be affected by the particular matter involved is that resulting solely from the interest of the officer or employee, or his or her spouse or minor child, in birthrights - (FOOTNOTE 1) So in original. Probably should be 'if the'. (A) in an Indian tribe, band, nation, or other organized group or community, including any Alaska Native village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act, which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians, (B) in an Indian allotment the title to which is held in trust by the United States or which is inalienable by the allottee without the consent of the United States, or (C) in an Indian claims fund held in trust or administered by the United States, if the particular matter does not involve the Indian allotment or claims fund or the Indian tribe, band, nation, organized group or community, or Alaska Native village corporation as a specific party or parties. (c)(1) For the purpose of paragraph (1) of subsection (b), in the case of class A and B directors of Federal Reserve Banks, (FOOTNOTE 2) the Board of Governors of the Federal Reserve System shall be deemed to be the Government official responsible for appointment. (FOOTNOTE 2) So in original. Probably should not be capitalized. (2) The potential availability of an exemption under any particular paragraph of subsection (b) does not preclude an exemption being granted pursuant to another paragraph of subsection (b). (d)(1) Upon request, a copy of any determination granting an exemption under subsection (b)(1) or (b)(3) shall be made available to the public by the agency granting the exemption pursuant to the procedures set forth in section 105 of the Ethics in Government Act of 1978. In making such determination available, the agency may withhold from disclosure any information contained in the determination that would be exempt from disclosure under section 552 of title 5. For purposes of determinations under subsection (b)(3), the information describing each financial interest shall be no more extensive than that required of the individual in his or her financial disclosure report under the Ethics in Government Act of 1978. (2) The Office of Government Ethics, after consultation with the Attorney General, shall issue uniform regulations for the issuance of waivers and exemptions under subsection (b) which shall - (A) list and describe exemptions; and (B) provide guidance with respect to the types of interests that are not so substantial as to be deemed likely to affect the integrity of the services the Government may expect from the employee. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1124, and amended Pub. L. 95-188, title II, Sec. 205, Nov. 16, 1977, 91 Stat. 1388; Pub. L. 101-194, title IV, Sec. 405, Nov. 30, 1989, 103 Stat. 1751; Pub. L. 101-280, Sec. 5(e), May 4, 1990, 104 Stat. 159.) -REFTEXT- REFERENCES IN TEXT The Federal Advisory Committee Act, referred to in subsec. (b)(3), is Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, as amended, which is set out in the Appendix to Title 5, Government Organization and Employees. The Ethics in Government Act of 1978, referred to in subsecs. (b)(3) and (d)(1), is Pub. L. 95-521, Oct. 26, 1978, 92 Stat. 1824, as amended. For complete classification of this Act to the Code, see Short Title note set out under section 101 of Pub. L. 95-521 in the Appendix to Title 5 and Tables. The Alaska Native Claims Settlement Act, referred to in subsec. (b)(4)(A), is Pub. L. 92-203, Dec. 18, 1971, 85 Stat. 688, as amended, which is classified generally to chapter 33 (Sec. 1601 et seq.) of Title 43, Public Lands. For complete classification of this Act to the Code, see Short Title note set out under section 1601 of Title 43 and Tables. -MISC2- PRIOR PROVISIONS A prior section 208, act June 25, 1948, ch. 645, 62 Stat. 693, related to the acceptance of solicitation of a bribe by a judicial officer, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. Provisions similar to those comprising this section were contained in section 434 of this title prior to the repeal of such section and the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-280, Sec. 5(e)(2), made technical correction to directory language of Pub. L. 101-194, Sec. 405(1)(C). See 1989 Amendment note below. Subsec. (b)(2). Pub. L. 101-280, Sec. 5(e)(1)(A), substituted 'subsection (a)' for 'paragraph (1)'. Subsec. (b)(3). Pub. L. 101-280, Sec. 5(e)(1)(B), struck out 'section 107 of' after 'individual pursuant to'. Subsec. (d)(1). Pub. L. 101-280, Sec. 5(e)(1)(C), amended par. (1) generally. Prior to amendment, par. (1) read as follows: 'A copy of any determination by other than the Director of the Office of Government Ethics granting an exemption pursuant to subsection (b)(1) or (b)(3) shall be submitted to the Director, who shall make all determinations available to the public pursuant to section 105 of the Ethics in Government Act of 1978. For determinations pursuant to subsection (b)(3), the information from the financial disclosure report of the officer or employee involved describing the asset or assets that necessitated the waiver shall also be made available to the public. This subsection shall not apply, however, if the head of the agency or his or her designee determines that the determination under subsection (b)(1) or (b)(3), as the case may be, involves classified information.' 1989 - Subsec. (a). Pub. L. 101-194, Sec. 405(1), as amended by Pub. L. 101-280, Sec. 5(e)(2), inserted 'or' after 'United States Government,' and 'an officer or employee' before 'of the District of Columbia', substituted 'general partner' for 'partner' in two places, and substituted 'Shall be subject to the penalties set forth in section 216 of this title' for 'Shall be fined not more than $10,000, or imprisoned not more than two years, or both'. Subsec. (b). Pub. L. 101-194, Sec. 405(2), added subsec. (b) and struck out former subsec. (b), which read as follows: 'Subsection (a) hereof shall not apply (1) if the officer or employee first advises the Government official responsible for appointment to his position of the nature and circumstances of the judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officer or employee, or (2) if, by general rule or regulation published in the Federal Register, the financial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers' or employees' services. In the case of class A and B directors of Federal Reserve banks, the Board of Governors of the Federal Reserve System shall be the Government official responsible for appointment.' Subsecs. (c), (d). Pub. L. 101-194, Sec. 405(2), added subsecs. (c) and (d). 1977 - Subsec. (a). Pub. L. 95-188, Sec. 205(a), extended conflicts of interest prohibition to a Federal Reserve bank director, officer, or employee. Subsec. (b). Pub. L. 95-188, Sec. 205(b), inserted at end 'In the case of class A and B directors of Federal Reserve banks, the Board of Governors of the Federal Reserve System shall be the Government official responsible for appointment.' EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. EXEMPTIONS Exemptions from former section 434 of this title deemed to be exemptions from this section, see section 2 of Pub. L. 87-849, set out as a note under section 203 of this title. -TRANS- DELEGATION OF AUTHORITY Authority of the President under subsec. (b) of this section to grant exemptions or approvals to individuals delegated to agency heads, see section 401 of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. Authority of the President under subsec. (b) of this section to grant exemptions or approvals for Presidential appointees to committees, commissions, boards, or similar groups established by the President, and for individuals appointed pursuant to sections 105 and 107(a) of Title 3, The President, delegated to Counsel to the President, see section 402 of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5. -MISC5- PROMULGATION OF REGULATIONS Responsibility of Office of Government Ethics for promulgating regulations and interpreting this section, see section 201(c) of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. 'PARTICULAR MATTER' DEFINED Pub. L. 100-446, title III, Sec. 319, Sept. 27, 1988, 102 Stat. 1826, which provided that notwithstanding any other provision of law, for the purposes of this section 'particular matter', as applied to employees of the Department of the Interior and the Indian Health Service, means 'particular matter involving specific parties', was repealed by Pub. L. 101-194, title V, Sec. 505(b), Nov. 30, 1989, 103 Stat. 1756, as amended by Pub. L. 101-280, Sec. 6(c), May 4, 1990, 104 Stat. 160. Similar provisions were contained in Pub. L. 100-202, Sec. 101(g) (title III, Sec. 318), Dec. 22, 1987, 101 Stat. 1329-213, 1329-255. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Definitions, see section 202 of this title. Mail contracts, conflict of interest, see section 440 of this title. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. Purchase of certain claims against United States forbidden, see section 291 of this title. Salary of Government officials and employees payable only by the United States, see section 209 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 202, 216 of this title; title 5 sections 588, 3374; title 12 section 2245; title 15 section 4805; title 16 section 1852; title 20 section 5508; title 22 sections 3507, 3508, 3622; title 26 section 1043; title 28 sections 594, 656; title 28 App. section 302; title 40 App. section 108; title 42 sections 1396a, 1975d, 7218; title 46 App. section 1717; title 47 section 154. ------DocID 23847 Document 89 of 1438------ -CITE- 18 USC Sec. 209 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 209. Salary of Government officials and employees payable only by United States -STATUTE- (a) Whoever receives any salary, or any contribution to or supplementation of salary, as compensation for his services as an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, from any source other than the Government of the United States, except as may be contributed out of the treasury of any State, county, or municipality; or Whoever, whether an individual, partnership, association, corporation, or other organization pays, or makes any contribution to, or in any way supplements the salary of, any such officer or employee under circumstances which would make its receipt a violation of this subsection - Shall be subject to the penalties set forth in section 216 of this title. (b) Nothing herein prevents an officer or employee of the executive branch of the United States Government, or of any independent agency of the United States, or of the District of Columbia, from continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profit-sharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer. (c) This section does not apply to a special Government employee or to an officer or employee of the Government serving without compensation, whether or not he is a special Government employee, or to any person paying, contributing to, or supplementing his salary as such. (d) This section does not prohibit payment or acceptance of contributions, awards, or other expenses under the terms of the (FOOTNOTE 1) chapter 41 of title 5. (FOOTNOTE 1) So in original. The word 'the' probably should not appear. (e) This section does not prohibit the payment of actual relocation expenses incident to participation, or the acceptance of same by a participant in an executive exchange or fellowship program in an executive agency: Provided, That such program has been established by statute or Executive order of the President, offers appointments not to exceed three hundred and sixty-five days, and permits no extensions in excess of ninety additional days or, in the case of participants in overseas assignments, in excess of three hundred and sixty-five days. (f) This section does not prohibit acceptance or receipt, by any officer or employee injured during the commission of an offense described in section 351 or 1751 of this title, of contributions or payments from an organization which is described in section 501(c)(3) of the Internal Revenue Code of 1986 and which is exempt from taxation under section 501(a) of such Code. -SOURCE- (Added Pub. L. 87-849, Sec. 1(a), Oct. 23, 1962, 76 Stat. 1125, and amended Pub. L. 96-174, Dec. 29, 1979, 93 Stat. 1288; Pub. L. 97-171, Apr. 13, 1982, 96 Stat. 67; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 99-646, Sec. 70, Nov. 10, 1986, 100 Stat. 3617; Pub. L. 101-194, title IV, Sec. 406, Nov. 30, 1989, 103 Stat. 1753; Pub. L. 101-647, title XXXV, Sec. 3510, Nov. 29, 1990, 104 Stat. 4922.) -REFTEXT- REFERENCES IN TEXT Section 501 of the Internal Revenue Code of 1986, referred to in subsec. (f), is classified to section 501 of Title 26, Internal Revenue Code. -MISC2- PRIOR PROVISIONS A prior section 209, act June 25, 1948, ch. 645, 62 Stat. 693, related to an offer of a bribe to a witness, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered by section 201. Provisions similar to those comprising this section were contained in section 1914 of this title prior to the repeal of such section and the general amendment of this chapter by Pub. L. 87-849. AMENDMENTS 1990 - Subsec. (d). Pub. L. 101-647 substituted 'chapter 41 of title 5' for 'Government Employees Training Act (Public Law 85-507, 72 Stat. 327; 5 U.S.C. 2301-2319, July 7, 1958)'. 1989 - Subsec. (a). Pub. L. 101-194 substituted at end 'Shall be subject to the penalties set forth in section 216 of this title.' for 'Shall be fined not more than $5,000 or imprisoned not more than one year, or both.' 1986 - Subsec. (e). Pub. L. 99-646 inserted 'or, in the case of participants in overseas assignments, in excess of three hundred and sixty-five days'. Subsec. (f). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. 1982 - Subsec. (f). Pub. L. 97-171 added subsec. (f). 1979 - Subsec. (e). Pub. L. 96-174 added subsec. (e). EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. PROMULGATION OF REGULATIONS Responsibility of Office of Government Ethics for promulgating regulations and interpreting this section, see section 201(c) of Ex. Ord. No. 12674, Apr. 12, 1989, 54 F.R. 15159, as amended, set out as a note under section 7301 of Title 5, Government Organization and Employees. EXEMPTIONS Exemptions from former section 1914 of this title deemed to be exemptions from this section, see section 2 of Pub. L. 87-849, set out as a note under section 203 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Acceptance of contributions, awards and other payments incident to training without regard to this section, see section 4111 of Title 5, Government Organization and Employees. Definitions, see section 202 of this title. Department of Agriculture officials and employees not subject to this section, see section 2220 of Title 7, Agriculture. Doctors, hospitals, etc., performing services in connection with benefits under Railroad Unemployment Insurance Act exempt from this section, see section 362 of Title 45, Railroads. Forest Service officials and employees not subject to this section, see section 2220 of Title 7, Agriculture. Immigration officials, section not to prevent receipt of reimbursements for services incident to inspection of aliens in foreign contiguous territory, see section 1353c of Title 8, Aliens and Nationality. International organizations, payment of employees detailed to without regard to this section, see section 3343 of Title 5, Government Organization and Employees. Memorandum of Attorney General regarding conflict of interest provisions, see note under section 201 of this title. Railroad Retirement Board employees administrating Railroad Unemployment Insurance Act exempt from this section, see section 362 of Title 45, Railroads. Reading assistants for blind employees, payment without regard to this section, see section 3102 of Title 5, Government Organization and Employees. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 202, 216 of this title; title 2 section 162; title 5 sections 588, 3102, 3343, 3374, 4111; title 7 section 2220; title 8 section 1353c; title 12 section 2245; title 16 section 459b-7; title 22 sections 3507, 3508; title 28 sections 594, 656; title 30 section 663; title 40 App. section 108; title 42 sections 1314, 1975d; title 45 section 362. ------DocID 23848 Document 90 of 1438------ -CITE- 18 USC Sec. 210 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 210. Offer to procure appointive public office -STATUTE- Whoever pays or offers or promises any money or thing of value, to any person, firm, or corporation in consideration of the use or promise to use any influence to procure any appointive office or place under the United States for any person, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 694, Sec. 210, formerly Sec. 214, renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(b), 76 Stat. 1125.) -MISC1- HISTORICAL AND REVISION NOTES Based on Title 18, U. S.C., 1940 ed., Sec. 149 and 151 (Dec. 11, 1926, c. 3, Sec. 1, 3, 44 Stat. 918). Changes of style and substance were made in this section. Term 'or place' was inserted after words 'appointive office' in order to give broader scope to the section and also to follow the phraseology used in similar provisions of section 202 of Title 18, U.S.C., 1940 ed., now section 216 (repealed) of this title. (See 46 Corpus Juris 924, where it is explained that the work 'places' is used in a less technical sense than the word 'offices'.) The punishment provision, added at the end of this section and section 215 (now section 211) of this title to secure uniformity of style throughout this chapter, was originally enacted as a separate section, incorporating the other two by reference. 80th Congress House Report No. 304. PRIOR PROVISIONS A prior section 210, act June 25, 1948, ch. 645, 62 Stat. 693, related to acceptance of a bribe by a witness, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered in revised section 201. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 28 section 656. ------DocID 23849 Document 91 of 1438------ -CITE- 18 USC Sec. 211 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 211. Acceptance or solicitation to obtain appointive public office -STATUTE- Whoever solicits or receives, either as a political contribution, or for personal emolument, any money or thing of value, in consideration of the promise of support or use of influence in obtaining for any person any appointive office or place under the United States, shall be fined not more than $1,000 or imprisoned not more than one year, or both. Whoever solicits or receives any thing of value in consideration of aiding a person to obtain employment under the United States either by referring his name to an executive department or agency of the United States or by requiring the payment of a fee because such person has secured such employment shall be fined not more than $1,000, or imprisoned not more than one year, or both. This section shall not apply to such services rendered by an employment agency pursuant to the written request of an executive department or agency of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 694, Sec. 211, formerly Sec. 215, amended Sept. 13, 1951, ch. 380, 65 Stat. 320, and renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(b), 76 Stat. 1125.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 150 and 151 (Dec. 11, 1926, ch. 3, Sec. 2, 3, 44 Stat. 918). Same changes of style and substance were made in this section as in section 214 of this title. PRIOR PROVISIONS A prior section 211, act June 25, 1948, ch. 645, 62 Stat. 693, related to an offer of a gratuity to a revenue officer, prior to the general amendment of this chapter by Pub. L. 87-849 and is substantially covered in revised section 201. AMENDMENTS 1951 - Act Sept. 13, 1951, inserted second paragraph. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 28 section 656. ------DocID 23850 Document 92 of 1438------ -CITE- 18 USC Sec. 212 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 212. Offer of loan or gratuity to bank examiner -STATUTE- Whoever, being an officer, director or employee of a financial institution which is a member of the Federal Reserve System, or the deposits of which are insured by the Federal Deposit Insurance Corporation, or which is a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or which is an organization operating under section 25 or section 25(a) of the Federal Reserve Act, or of any National Agricultural Credit Corporation, or of any Farm Credit Bank, bank for cooperatives, production credit association, Federal land bank association, agricultural credit association, Federal land credit association, service organization chartered under section 4.26 of the Farm Credit Act of 1971, the Farm Credit System Financial Assistance Corporation, the Federal Agricultural Mortgage Credit Corporation, the Federal Farm Credit Banks Funding Corporation, the National Consumer Cooperative Bank, or other institution subject to examination by a Farm Credit Administration examiner, or of any small business investment company, makes or grants any loan or gratuity, to any examiner or assistant examiner who examines or has authority to examine such bank, branch, agency, organization, corporation, or institution, shall be fined not more than $5,000 or imprisoned not more than one year, or both; and may be fined a further sum equal to the money so loaned or gratuity given. The provisions of this section and section 218 (FOOTNOTE 1) of this title shall apply to all public examiners and assistant examiners who examine member banks of the Federal Reserve System, insured financial institutions, branches or agencies of foreign banks (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), organizations operating under section 25 or section 25(a) of the Federal Reserve Act, or National Agricultural Credit Corporations, whether appointed by the Comptroller of the Currency, by the Board of Governors of the Federal Reserve System, by a Federal Reserve Agent, by a Federal Reserve bank, by the Federal Deposit Insurance Corporation, by the Office of Thrift Supervision, or by the Federal Housing Finance Board, or appointed or elected under the laws of any state; but shall not apply to private examiners or assistant examiners employed only by a clearinghouse association or by the directors of a bank. (FOOTNOTE 1) See References in Text note below. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 694, Sec. 212, formerly Sec. 217, amended Aug. 21, 1958, Pub. L. 85-699, title VII, Sec. 701(a), 72 Stat. 698; Aug. 18, 1959, Pub. L. 86-168, title I, Sec. 104(h), 73 Stat. 387, and renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(d), 76 Stat. 1125; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 962(a)(1), 103 Stat. 501; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(b), 104 Stat. 4908.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 593 and 1245 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22, 38 Stat. 272; Sept. 26, 1918, ch. 177, Sec. 5, 40 Stat. 970; Mar. 4, 1923, ch. 252, title II, Sec. 209(e), 42 Stat. 1468; Feb. 25, 1927, ch. 191, Sec. 15, 44 Stat. 1232; Aug. 23, 1935, ch. 614, Sec. 326(a), 49 Stat. 715). Section 593 of title 12, U.S.C., 1940 ed., Banks and Banking, was divided into three sections: this section and sections 218 and 655 of this title. Words 'shall be deemed guilty of a misdemeanor and' were omitted as unnecessary in view of definition of misdemeanor in section 1 of this title. This section was expanded to include 'National Agricultural Credit Corporations' by including this term in each paragraph, upon authority of section 1245 of title 12, U.S.C., 1940 ed., Banks and Banking. No penalty was provided for offering a bribe to farm credit examiners. The words 'or of any land bank, national farm loan association, or other institution subject to examination by a farm credit examiner,' were added upon the authority of section 952 of said title 12. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Changes in phraseology were also made. -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12, Banks and Banking. Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. Section 4.26 of the Farm Credit Act of 1971, referred to in text, is classified to section 2212 of Title 12. Section 218 of this title, referred to in text, is a reference to section 218 prior to its redesignation as section 213 of this title by section 1(d) of Pub. L. 87-849. -MISC2- PRIOR PROVISIONS A prior section 212, act June 25, 1948, ch. 645, 62 Stat. 693, related to an offer or threat to a customs officer or employee, prior to the general amendment to this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. AMENDMENTS 1990 - Pub. L. 101-647 in first undesignated par. substituted 'System, or the deposits of which' for 'System or the deposits of which', inserted 'or which is a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or which is an organization operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'Federal Deposit Insurance Corporation,' and inserted 'branch, agency, organization,' after 'who examines or has authority to examine such bank,' and in second undesignated par. substituted 'System, insured' for 'System or insured', and inserted 'branches or agencies of foreign banks (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), organizations operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'financial institutions,'. 1989 - Pub. L. 101-73 in first undesignated paragraph substituted 'financial institution' for first reference to 'bank' and substituted 'Farm Credit Bank, bank for cooperatives, production credit association, Federal land bank association, agricultural credit association, Federal land credit association, service organization chartered under section 4.26 of the Farm Credit Act of 1971, the Farm Credit System Financial Assistance Corporation, the Federal Agricultural Mortgage Credit Corporation, the Federal Farm Credit Banks Funding Corporation, the National Consumer Cooperative Bank, or other institution subject to examination by a Farm Credit Administration examiner' for 'land bank, Federal land bank association or other institution subject to examination by a farm credit examiner', and in second undesignated paragraph substituted 'insured financial institutions' for 'insured banks' and substituted ', by the Federal Deposit Insurance Corporation, by the Office of Thrift Supervision, or by the Federal Housing Finance Board' for 'or by the Federal Deposit Insurance Corporation'. 1959 - Pub. L. 86-168 substituted 'Federal land bank association' for 'national farm loan association'. 1958 - Pub. L. 85-699 included officers, directors and employees of small business investment companies. EFFECTIVE DATE OF 1959 AMENDMENT Amendment of section by Pub. L. 86-168 effective Dec. 31, 1959, see section 104(k) of Pub. L. 86-168. -TRANS- EXCEPTION AS TO TRANSFER OF FUNCTIONS Functions vested by any provision of law in the Comptroller of the Currency, referred to in this section, were not included in the transfer of functions of officers, agencies and employees of the Department of the Treasury to the Secretary of the Treasury, made by Reorg. Plan No. 26 of 1950, Sec. 1, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280. See section 321(c)(2) of Title 31, Money and Finance. -MISC5- NATIONAL AGRICULTURAL CREDIT CORPORATION Title II of the Agricultural Credits Act, act Mar. 4, 1923, title II, Sec. 201-217, 42 Stat. 1461, which authorized the creation of national agricultural credit corporations, was substantially repealed by Pub. L. 86-230, Sept. 8, 1959, Sec. 24, 73 Stat. 466. Prior to such repeal, act June 16, 1933, Sec. 77, 48 Stat. 292, had prohibited the creation, after June 16, 1933, of national agricultural credit corporations authorized to be formed under the Agricultural Credits Act. -CROSS- CROSS REFERENCES Civil liability of officers or directors of member banks of the Federal Reserve System for violating or permitting violation of this section, see section 503 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 503. ------DocID 23851 Document 93 of 1438------ -CITE- 18 USC Sec. 213 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 213. Acceptance of loan or gratuity by bank examiner -STATUTE- Whoever, being an examiner or assistant examiner of member banks of the Federal Reserve System, financial institutions the deposits of which are insured by the Federal Deposit Insurance Corporation, which are branches or agencies of foreign banks (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or which are organizations operating under section 25 or section 25(a) of the Federal Reserve Act, or a farm credit examiner or examiner of National Agricultural Credit Corporations, or an examiner of small business investment companies, accepts a loan or gratuity from any bank, branch, agency, corporation, association or organization examined by him or from any person connected herewith, shall be fined not more than $5,000 or imprisoned not more than one year, or both; and may be fined a further sum equal to the money so loaned or gratuity given, and shall be disqualified from holding office as such examiner. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 695, Sec. 213, formerly Sec. 218, amended Aug. 21, 1958, Pub. L. 85-699, title VII, Sec. 701(b), 72 Stat. 698, and renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(d), 76 Stat. 1125; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 962(a)(2), 103 Stat. 502; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(c), 104 Stat. 4909.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 593, 952, 981, 1124, 1243, 1314 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22, 38 Stat. 272; July 17, 1916, ch. 245, Sec. 28, 31, 39 Stat. 381, 382, and Sec. 211(d) as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1460; Sept. 26, 1918, ch. 177, Sec. 5, 40 Stat. 970; Mar. 4, 1923, ch. 252, title II, Sec. 209(e), 216(d), 42 Stat. 1468, 1471; Feb. 25, 1927, ch. 191, Sec. 15, 44 Stat. 1232; Ex. Ord. No. 6084, Mar. 27, 1933; June 16, 1933, ch. 98, Sec. 80(a), 48 Stat. 273; Aug. 23, 1935, ch. 614, Sec. 326(a), 49 Stat. 715; Aug. 19, 1937, ch. 704, Sec. 20, 50 Stat. 710). This section is derived primarily from second paragraph of section 593 of title 12, U.S.C., 1940 ed., Banks and Banking, and consolidates provisions from sections 952, 981, 1124, 1243, and 1314 of said title 12. Words 'shall be deemed guilty of a misdemeanor' were omitted in view of definition of misdemeanor in section 1 of this title. The bribery provisions of such sections were alike and indeed were patterned after section 593 of said title 12, U.S.C., 1940 ed., Banks and Banking, incorporated in this section and section 217 of this title. Therefore, and in the light of sections 952 and 1243 of title 12, U.S.C., 1940 ed., Banks and Banking, this section was written as a consolidated section without change of substance or effect and with only such changes of phraseology as were necessary to effect the consolidation and secure uniformity of style. Other provisions of said sections 593, 952, 981, 1124, 1243 and 1314 of title 12, U.S.C., 1940 ed., are incorporated in sections 217, 655, 1014, 1908, and 1909 of this title. -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12, Banks and Banking. Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. -MISC2- PRIOR PROVISIONS A prior section 213, act June 25, 1948, ch. 645, 62 Stat. 693, related to the acceptance or demand of a bribe by a customs officer or employee, prior to the general amendment to this chapter by Pub. L. 87-849 and is substantially covered by revised section 201. AMENDMENTS 1990 - Pub. L. 101-647 substituted 'System, financial institutions the deposits of which' for 'System or financial institutions the deposits of which' and inserted 'which are branches or agencies of foreign banks (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or which are organizations operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'Federal Deposit Insurance Corporation,' and 'branch, agency,' after 'gratuity from any bank,'. 1989 - Pub. L. 101-73 substituted 'financial institutions the deposits of which' for 'banks the deposits of which'. 1958 - Pub. L. 85-699 included examiners of small business investment companies. NATIONAL AGRICULTURAL CREDIT CORPORATION Title II of the Agricultural Credits Act, act Mar. 4, 1923, title II, Sec. 201-217, 42 Stat. 1461, which authorized the creation of national agricultural credit corporations, was substantially repealed by Pub. L. 86-230, Sept. 8, 1959, Sec. 24, 73 Stat. 466. Prior to such repeal, act June 16, 1933, Sec. 77, 48 Stat. 292, had prohibited the creation, after June 16, 1933, of national agricultural credit corporations authorized to be formed under the Agricultural Credits Act. -CROSS- CROSS REFERENCES Civil liability of officers or directors for violations, see section 503 of Title 12, Banks and Banking. Offer of loan or gratuity to public examiners, see section 212 of this title. Secret Service, arrest of violators, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 212, 3056 of this title; title 12 section 503. ------DocID 23852 Document 94 of 1438------ -CITE- 18 USC Sec. 214 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 214. Offer for procurement of Federal Reserve bank loan and discount of commercial paper -STATUTE- Whoever stipulates for or gives or receives, or consents or agrees to give or receive, any fee, commission, bonus, or thing of value for procuring or endeavoring to procure from any Federal Reserve bank any advance, loan, or extension of credit or discount or purchase of any obligation or commitment with respect thereto, either directly from such Federal Reserve bank or indirectly through any financing institution, unless such fee, commission, bonus, or thing of value and all material facts with respect to the arrangement or understanding therefor shall be disclosed in writing in the application or request for such advance, loan, extension of credit, discount, purchase, or commitment, shall be fined not more than $5,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 695, Sec. 214, formerly Sec. 219, renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(d), 76 Stat. 1125.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 599 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22(k), as added by act June 19, 1934, ch. 653, Sec. 3, 48 Stat. 1108). Final sentence of said section 599, imposing civil liability on violators, was omitted as unnecessary, being merely a declaration of that rule of common law which in the absence of statute fixes civil liability on the wrongdoer. Minor changes were made in phraseology. PRIOR PROVISIONS A prior section 214 of this title was redesignated section 210. -CROSS- CROSS REFERENCES Liability of directors and officers of member banks, see section 503 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 503. ------DocID 23853 Document 95 of 1438------ -CITE- 18 USC Sec. 215 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 215. Receipt of commissions or gifts for procuring loans -STATUTE- (a) Whoever - (1) corruptly gives, offers, or promises anything of value to any person, with intent to influence or reward an officer, director, employee, agent, or attorney of a financial institution in connection with any business or transaction of such institution; or (2) as an officer, director, employee, agent, or attorney of a financial institution, corruptly solicits or demands for the benefit of any person, or corruptly accepts or agrees to accept, anything of value from any person, intending to be influenced or rewarded in connection with any business or transaction of such institution; shall be fined not more than $1,000,000 or three times the value of the thing given, offered, promised, solicited, demanded, accepted, or agreed to be accepted, whichever is greater, or imprisoned not more than 30 years, or both, but if the value of the thing given, offered, promised, solicited, demanded, accepted, or agreed to be accepted does not exceed $100, shall be fined not more than $1,000 or imprisoned not more than one year, or both. ((b) Transferred) (c) This section shall not apply to bona fide salary, wages, fees, or other compensation paid, or expenses paid or reimbursed, in the usual course of business. (d) Federal agencies with responsibility for regulating a financial institution shall jointly establish such guidelines as are appropriate to assist an officer, director, employee, agent, or attorney of a financial institution to comply with this section. Such agencies shall make such guidelines available to the public. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 695, Sec. 215, formerly Sec. 220, amended Sept. 21, 1950, ch. 967, Sec. 4, 64 Stat. 894, and renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(d), 76 Stat. 1125; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1107(a), 98 Stat. 2145; Aug. 4, 1986, Pub. L. 99-370, Sec. 2, 100 Stat. 779; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(a), 962(e)(1), 103 Stat. 499, 503; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(a), 104 Stat. 4861.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 595, 1125, and 1315 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22, first sentence of second paragraph, 38 Stat. 272; July 17, 1916, ch. 245, Sec. 211(e), as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1460; June 21, 1917, ch. 32, Sec. 11, 40 Stat. 240; Sept. 26, 1918, ch. 177, Sec. 5, part 22(c), 40 Stat. 970; Mar. 4, 1923, ch. 252, title II, Sec. 216(e), 42 Stat. 1472). The punishment provisions of the three sections were identical, and all other provisions thereof were similar, except that section 595 of title 12, U.S.C., 1940 ed., Banks and Banking, relating to officers, directors, employees, or attorneys of member banks of the Federal Reserve System, did not include the terms 'agent' and 'acceptance' and did not include the phrase 'or extension or renewal of loan or substitution of security'. Words 'shall be deemed guilty of a misdemeanor' were omitted because of definition of misdemeanor in section 1 of this title. Words 'and upon conviction' and 'and shall upon conviction thereof' were omitted as surplusage because punishment cannot be imposed until after conviction. Verbal changes were made for style purposes. PRIOR PROVISIONS A prior section 215 of this title was redesignated section 211. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted '30' for '20' before 'years' in concluding provisions. 1989 - Subsec. (a). Pub. L. 101-73, Sec. 961(a), in closing provisions, substituted '$1,000,000' for '$5,000' and '20 years' for 'five years'. Subsec. (b). Pub. L. 101-73, Sec. 962(e)(1), transferred subsec. (b) to section 20 of this title. 1986 - Pub. L. 99-370 amended section generally, combining in subsec. (a) the statement of prohibited activities formerly set out in subsecs. (a) and (b), transferring to subsec. (b) and expanding provisions formerly set out in subsec. (c) which defined 'financial institution', transferring to subsec. (c) and amending provisions formerly set out in subsec. (d) relating to applicability of section, and adding new subsec. (d) relating to establishment of guidelines to assist financial institutions in complying with this section. 1984 - Pub. L. 98-473 amended section generally. Prior to amendment section read as follows: 'Whoever, being an officer, director, employee, agent, or attorney of any bank, the deposits of which are insured by the Federal Deposit Insurance Corporation, of a Federal intermediate credit bank, or of a National Agricultural Credit Corporation, except as provided by law, stipulates for or receives or consents or agrees to receive any fee, commission, gift, or thing of value, from any person, firm, or corporation, for procuring or endeavoring to procure for such person, firm, or corporation, or for any other person, firm, or corporation, from any such bank or corporation, any loan or extension or renewal of loan or substitution of security, or the purchase or discount or acceptance of any paper, note, draft, check, or bill of exchange by any such bank or corporation, shall be fined not more than $5,000 or imprisoned not more than one year or both.' 1950 - Act Sept. 21, 1950, substituted 'any bank, the deposits of which are insured by the Federal Deposit Insurance Corporation' for 'a member bank of the Federal Reserve System'. EFFECTIVE DATE OF 1986 AMENDMENT Section 3 of Pub. L. 99-370 provided that: 'This Act and the amendments made by this Act (amending this section and enacting a provision set out as a note under section 201 of this title) shall take effect 30 days after the date of the enactment of this Act (Aug. 4, 1986).' -CROSS- CROSS REFERENCES Civil liability of officers or directors of member banks of the Federal Reserve System, see section 503 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 3059A, 3293, 3322 of this title; title 12 sections 503, 1786, 1787, 1821, 1828, 1829, 1831k, 1833a. ------DocID 23854 Document 96 of 1438------ -CITE- 18 USC Sec. 216 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 216. Penalties and injunctions -STATUTE- (a) The punishment for an offense under section 203, 204, 205, 207, 208, or 209 of this title is the following: (1) Whoever engages in the conduct constituting the offense shall be imprisoned for not more than one year or fined in the amount set forth in this title, or both. (2) Whoever willfully engages in the conduct constituting the offense shall be imprisoned for not more than five years or fined in the amount set forth in this title, or both. (b) The Attorney General may bring a civil action in the appropriate United States district court against any person who engages in conduct constituting an offense under section 203, 204, 205, 207, 208, or 209 of this title and, upon proof of such conduct by a preponderance of the evidence, such person shall be subject to a civil penalty of not more than $50,000 for each violation or the amount of compensation which the person received or offered for the prohibited conduct, whichever amount is greater. The imposition of a civil penalty under this subsection does not preclude any other criminal or civil statutory, common law, or administrative remedy, which is available by law to the United States or any other person. (c) If the Attorney General has reason to believe that a person is engaging in conduct constituting an offense under section 203, 204, 205, 207, 208, or 209 of this title, the Attorney General may petition an appropriate United States district court for an order prohibiting that person from engaging in such conduct. The court may issue an order prohibiting that person from engaging in such conduct if the court finds that the conduct constitutes such an offense. The filing of a petition under this section does not preclude any other remedy which is available by law to the United States or any other person. -SOURCE- (Added Pub. L. 101-194, title IV, Sec. 407(a), Nov. 30, 1989, 103 Stat. 1753, and amended Pub. L. 101-280, Sec. 5(f), May 4, 1990, 104 Stat. 159.) -MISC1- PRIOR PROVISIONS A prior section 216, acts June 25, 1948, ch. 645, 62 Stat. 695, Sec. 216, formerly Sec. 221, amended Aug. 21, 1958, Pub. L. 85-699, title VII, Sec. 702(a)-(c), 72 Stat. 698; Aug. 18, 1959, Pub. L. 86-168, title I, Sec. 104(h), 73 Stat. 387, and renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(d), 76 Stat. 1125, which related to receipt or charge of commissions or gifts for farm loan, land bank, or small business transactions, was repealed by Pub. L. 98-473, title II, Sec. 1107(b), Oct. 12, 1984, 98 Stat. 2146. Another prior section 216, act June 25, 1948, ch. 645, 62 Stat. 694, which related to procurement of a contract by an officer or Member of Congress, was repealed by section 1(c) of Pub. L. 87-849. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-280, Sec. 5(f)(1), substituted 'section 203, 204, 205, 207, 208, or 209' for 'sections 203, 204, 205, 207, 208, and 209'. Subsec. (b). Pub. L. 101-280, Sec. 5(f)(2), substituted 'section 203, 204, 205, 207, 208, or 209' for 'sections 203, 204, 205, 207, 208, and 209'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 203, 204, 205, 207, 208, 209 of this title. ------DocID 23855 Document 97 of 1438------ -CITE- 18 USC Sec. 217 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 217. Acceptance of consideration for adjustment of farm indebtedness -STATUTE- Whoever, being an officer or employee of, or person acting for the United States or any agency thereof, accepts any fee, commission, gift, or other consideration in connection with the compromise, adjustment, or cancellation of any farm indebtedness as provided by sections 1150, 1150a, and 1150b of Title 12, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 696, Sec. 217, formerly Sec. 222, renumbered Oct. 23, 1962, Pub. L. 87-849, Sec. 1(d), 76 Stat. 1125.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1150c(b) of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 20, 1944, ch. 623, Sec. 4(b), 58 Stat. 837). Words 'upon conviction thereof' were omitted as surplusage, since punishment cannot be imposed until after conviction. Other changes were made in phraseology without change of substance. PRIOR PROVISIONS A prior section 217 of this title was redesignated section 212. ------DocID 23856 Document 98 of 1438------ -CITE- 18 USC Sec. 218 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 218. Voiding transactions in violation of chapter; recovery by the United States -STATUTE- In addition to any other remedies provided by law the President or, under regulations prescribed by him, the head of any department or agency involved, may declare void and rescind any contract, loan, grant, subsidy, license, right, permit, franchise, use, authority, privilege, benefit, certificate, ruling, decision, opinion, or rate schedule awarded, granted, paid, furnished, or published, or the performance of any service or transfer or delivery of any thing to, by or for any agency of the United States or officer or employee of the United States or person acting on behalf thereof, in relation to which there has been a final conviction for any violation of this chapter, and the United States shall be entitled to recover in addition to any penalty prescribed by law or in a contract the amount expended or the thing transferred or delivered on its behalf, or the reasonable value thereof. -SOURCE- (Added Pub. L. 87-849, Sec. 1(e), Oct. 23, 1962, 76 Stat. 1125.) -MISC1- PRIOR PROVISIONS A prior section 218 of this title was redesignated section 213. EFFECTIVE DATE Section effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as a note under section 201 of this title. -EXEC- EX. ORD. NO. 12448. EXERCISE OF AUTHORITY Ex. Ord. No. 12448, Nov. 4, 1983, 48 F.R. 51281, provided: By the authority vested in me as President by the Constitution and statutes of the United States of America, including section 218 of title 18 of the United States Code, and in order to provide federal agencies with the authority to promulgate regulations for voiding or rescinding contracts or other benefits obtained through bribery, graft or conflict of interest, it is hereby ordered as follows: Section 1. The head of each Executive department, Military department and Executive agency is hereby delegated the authority vested in the President to declare void and rescind the transactions set forth in section 218 of title 18 of the United States Code in relation to which there has been a final conviction for any violation of chapter 11 of title 18. Sec. 2. The head of each Executive department and agency described in section 1 may exercise the authority hereby delegated by promulgating implementing regulations; provided that the Secretary of Defense, the Administrator of General Services and the Administrator of the National Aeronautics and Space Administration jointly shall issue government-wide implementing regulations related to voiding or rescission of contracts. Sec. 3. Implementing regulations adopted pursuant to this Order shall, at a minimum, provide the following procedural protections: (a) Written notice of the proposed action shall be given in each case to the person or entity affected; (b) The person or entity affected shall be afforded an opportunity to submit pertinent information on its behalf before a final decision is made; (c) Upon the request of the person or entity affected, a hearing shall be held at which it shall have the opportunity to call witnesses on its behalf and confront any witness the agency may present; and (d) The head of the agency or his designee shall issue a final written decision specifying the amount of restitution or any other remedy authorized by section 218, provided that such remedy shall take into consideration the fair value of any tangible benefits received and retained by the agency. Ronald Reagan. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Definitions, see section 202 of this title. Memorandum of Attorney General regarding conflict of interestprovisions, see note under section 201 of this title. Secret Service, detection and arrest of persons violating this section, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 202, 212 of this title. ------DocID 23857 Document 99 of 1438------ -CITE- 18 USC Sec. 219 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 219. Officers and employees acting as agents of foreign principals -STATUTE- (a) Whoever, being a public official, is or acts as an agent of a foreign principal required to register under the Foreign Agents Registration Act of 1938, as amended, shall be fined under this title or imprisoned for not more than two years, or both. (b) Nothing in this section shall apply to the employment of any agent of a foreign principal as a special Government employee in any case in which the head of the employing agency certifies that such employment is required in the national interest. A copy of any certification under this paragraph shall be forwarded by the head of such agency to the Attorney General who shall cause the same to be filed with the registration statement and other documents filed by such agent, and made available for public inspection in accordance with section 6 of the Foreign Agents Registration Act of 1938, as amended. (c) For the purpose of this section 'public official' means Member of Congress, Delegate, or Resident Commissioner, either before or after he has qualified, or an officer or employee or person acting for or on behalf of the United States, or any department, agency, or branch of Government thereof, including the District of Columbia, in any official function, under or by authority of any such department, agency, or branch of Government. -SOURCE- (Added Pub. L. 89-486, Sec. 8(b), July 4, 1966, 80 Stat. 249, and amended Pub. L. 98-473, title II, Sec. 1116, Oct. 12, 1984, 98 Stat. 2149; Pub. L. 99-646, Sec. 30, Nov. 10, 1986, 100 Stat. 3598; Pub. L. 101-647, title XXXV, Sec. 3511, Nov. 29, 1990, 104 Stat. 4922.) -REFTEXT- REFERENCES IN TEXT The Foreign Agents Registration Act of 1938, as amended, referred to in subsec. (a), is act June 8, 1938, ch. 327, 52 Stat. 631, as amended, which is classified generally to subchapter II (Sec. 611 et seq.) of chapter 11 of Title 22, Foreign Relations and Intercourse. Section 6 of the Foreign Agents Registration Act of 1938 is classified to section 616 of Title 22. For complete classification of this Act to the Code, see Short Title note set out under section 611 of Title 22 and Tables. -MISC2- PRIOR PROVISIONS A prior section 219 was redesignated section 214. AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647 substituted 'Government' for 'Governments' before 'thereof'. 1986 - Subsec. (a). Pub. L. 99-646, Sec. 30(1), designated first par. as subsec. (a) and amended it generally, which prior to amendment read as follows: 'Whoever, being a public official of the United States in the executive, legislative, or judicial branch of the Government or in any agency of the United States, including the District of Columbia, is or acts as an agent of a foreign principal required to register under the Foreign Agents Registration Act of 1938, as amended, shall be fined not more than $10,000 or imprisoned for not more than two years, or both.' Subsec. (b). Pub. L. 99-646, Sec. 30(2), designated second par. as subsec. (b). Subsec. (c). Pub. L. 99-646, Sec. 30(2), (3), designated third par. as subsec. (c) and substituted 'Delegate' for 'Delegate from the District of Columbia' and 'branch of Government' for 'branch of Government, or a juror'. 1984 - Pub. L. 98-473 substituted 'a public official' for 'an officer or employee' in first par., and inserted par. defining 'public official'. EFFECTIVE DATE Section effective ninety days after July 4, 1966, see section 9 of Pub. L. 89-486, set out as an Effective Date of 1966 Amendment note under section 611 of Title 22, Foreign Relations and Intercourse. ------DocID 23858 Document 100 of 1438------ -CITE- 18 USC Sec. 220 to 222 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- (Sec. 220 to 222. Redesignated) -MISC1- Sections, act June 25, 1948, ch. 645, 62 Stat. 695, 696, were redesignated as sections 215 to 217 by Pub. L. 87-849, Sec. 1(d), Oct. 23, 1962, 76 Stat. 1125. ------DocID 23859 Document 101 of 1438------ -CITE- 18 USC Sec. 223 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- (Sec. 223. Repealed. Pub. L. 87-849, Sec. 1(c), Oct. 23, 1962, 76 Stat. 1125) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 696, related to transactions of the Home Owners' Loan Corporation. EFFECTIVE DATE OF REPEAL Repeal effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as an Effective Date note under section 201 of this title. ------DocID 23860 Document 102 of 1438------ -CITE- 18 USC Sec. 224 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 224. Bribery in sporting contests -STATUTE- (a) Whoever carries into effect, attempts to carry into effect, or conspires with any other person to carry into effect any scheme in commerce to influence, in any way, by bribery any sporting contest, with knowledge that the purpose of such scheme is to influence by bribery that contest, shall be fined not more than $10,000, or imprisoned not more than 5 years, or both. (b) This section shall not be construed as indicating an intent on the part of Congress to occupy the field in which this section operates to the exclusion of a law of any State, territory, Commonwealth, or possession of the United States, and no law of any State, territory, Commonwealth, or possession of the United States, which would be valid in the absence of the section shall be declared invalid, and no local authorities shall be deprived of any jurisdiction over any offense over which they would have jurisdiction in the absence of this section. (c) As used in this section - (1) The term 'scheme in commerce' means any scheme effectuated in whole or in part through the use in interstate or foreign commerce of any facility for transportation or communication; (2) The term 'sporting contest' means any contest in any sport, between individual contestants or teams of contestants (without regard to the amateur or professional status of the contestants therein), the occurrence of which is publicly announced before its occurrence; (3) The term 'person' means any individual and any partnership, corporation, association, or other entity. -SOURCE- (Added Pub. L. 88-316, Sec. 1(a), June 6, 1964, 78 Stat. 203.) -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 23861 Document 103 of 1438------ -CITE- 18 USC Sec. 225 -EXPCITE- TITLE 18 PART I CHAPTER 11 -HEAD- Sec. 225. Continuing financial crimes enterprise -STATUTE- (a) Whoever - (1) organizes, manages, or supervises a continuing financial crimes enterprise; and (2) receives $5,000,000 or more in gross receipts from such enterprise during any 24-month period, shall be fined not more than $10,000,000 if an individual, or $20,000,000 if an organization, and imprisoned for a term of not less than 10 years and which may be life. (b) For purposes of subsection (a), the term 'continuing financial crimes enterprise' means a series of violations under section 215, 656, 657, 1005, 1006, 1007, 1014, 1032, or 1344 of this title, or section 1341 or 1343 affecting a financial institution, committed by at least 4 persons acting in concert. -SOURCE- (Added Pub. L. 101-647, title XXV, Sec. 2510(a), Nov. 29, 1990, 104 Stat. 4863.) ------DocID 23862 Document 104 of 1438------ -CITE- 18 USC CHAPTER 12 -EXPCITE- TITLE 18 PART I CHAPTER 12 -HEAD- CHAPTER 12 - CIVIL DISORDERS -MISC1- Sec. 231. Civil disorders. 232. Definitions. 233. Preemption. AMENDMENTS 1968 - Pub. L. 90-284, title X, Sec. 1002(a), Apr. 11, 1968, 82 Stat. 90, added chapter 12 and items 231 to 233. ------DocID 23863 Document 105 of 1438------ -CITE- 18 USC Sec. 231 -EXPCITE- TITLE 18 PART I CHAPTER 12 -HEAD- Sec. 231. Civil disorders -STATUTE- (a)(1) Whoever teaches or demonstrates to any other person the use, application, or making of any firearm or explosive or incendiary device, or technique capable of causing injury or death to persons, knowing or having reason to know or intending that the same will be unlawfully employed for use in, or in furtherance of, a civil disorder which may in any way or degree obstruct, delay, or adversely affect commerce or the movement of any article or commodity in commerce or the conduct or performance of any federally protected function; or (2) Whoever transports or manufactures for transportation in commerce any firearm, or explosive or incendiary device, knowing or having reason to know or intending that the same will be used unlawfully in furtherance of a civil disorder; or (3) Whoever commits or attempts to commit any act to obstruct, impede, or interfere with any fireman or law enforcement officer lawfully engaged in the lawful performance of his official duties incident to and during the commission of a civil disorder which in any way or degree obstructs, delays, or adversely affects commerce or the movement of any article or commodity in commerce or the conduct or performance of any federally protected function - Shall be fined not more than $10,000 or imprisoned not more than five years, or both. (b) Nothing contained in this section shall make unlawful any act of any law enforcement officer which is performed in the lawful performance of his official duties. -SOURCE- (Added Pub. L. 90-284, title X, Sec. 1002(a), Apr. 11, 1968, 82 Stat. 90.) -MISC1- SHORT TITLE Section 1001 of title X of Pub. L. 90-284 provided that: 'This title (enacting this chapter) may be cited as the 'Civil Obedience Act of 1968'.' ------DocID 23864 Document 106 of 1438------ -CITE- 18 USC Sec. 232 -EXPCITE- TITLE 18 PART I CHAPTER 12 -HEAD- Sec. 232. Definitions -STATUTE- For purposes of this chapter: (1) The term 'civil disorder' means any public disturbance involving acts of violence by assemblages of three or more persons, which causes an immediate danger of or results in damage or injury to the property or person of any other individual. (2) The term 'commerce' means commerce (A) between any State or the District of Columbia and any place outside thereof; (B) between points within any State or the District of Columbia, but through any place outside thereof; or (C) wholly within the District of Columbia. (3) The term 'federally protected function' means any function, operation, or action carried out, under the laws of the United States, by any department, agency, or instrumentality of the United States or by an officer or employee thereof; and such term shall specifically include, but not be limited to, the collection and distribution of the United States mails. (4) The term 'firearm' means any weapon which is designed to or may readily be converted to expel any projectile by the action of an explosive; or the frame or receiver of any such weapon. (5) The term 'explosive or incendiary device' means (A) dynamite and all other forms of high explosives, (B) any explosive bomb, grenade, missile, or similar device, and (C) any incendiary bomb or grenade, fire bomb, or similar device, including any device which (i) consists of or includes a breakable container including a flammable liquid or compound, and a wick composed of any material which, when ignited, is capable of igniting such flammable liquid or compound, and (ii) can be carried or thrown by one individual acting alone. (6) The term 'fireman' means any member of a fire department (including a volunteer fire department) of any State, any political subdivision of a State, or the District of Columbia. (7) The term 'law enforcement officer' means any officer or employee of the United States, any State, any political subdivision of a State, or the District of Columbia, while engaged in the enforcement or prosecution of any of the criminal laws of the United States, a State, any political subdivision of a State, or the District of Columbia; and such term shall specifically include, but shall not be limited to, members of the National Guard, as defined in section 101(9) of title 10, United States Code, members of the organized militia of any State, or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia, not included within the definition of National Guard as defined by such section 101(9), and members of the Armed Forces of the United States, while engaged in suppressing acts of violence or restoring law and order during a civil disorder. (8) The term 'State' includes a State of the United States, and any commonwealth, territory, or possession of the United States. -SOURCE- (Added Pub. L. 90-284, title X, Sec. 1002(a), Apr. 11, 1968, 82 Stat. 91, and amended Pub. L. 101-647, title XII, Sec. 1205(a), Nov. 29, 1990, 104 Stat. 4830.) -MISC1- AMENDMENTS 1990 - Par. (8). Pub. L. 101-647 added par. (8). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 844 of this title; title 49 App. sections 1472, 1806. ------DocID 23865 Document 107 of 1438------ -CITE- 18 USC Sec. 233 -EXPCITE- TITLE 18 PART I CHAPTER 12 -HEAD- Sec. 233. Preemption -STATUTE- Nothing contained in this chapter shall be construed as indicating an intent on the part of Congress to occupy the field in which any provisions of the chapter operate to the exclusion of State or local laws on the same subject matter, nor shall any provision of this chapter be construed to invalidate any provision of State law unless such provision is inconsistent with any of the purposes of this chapter or any provision thereof. -SOURCE- (Added Pub. L. 90-284, title X, Sec. 1002(a), Apr. 11, 1968, 82 Stat. 91.) ------DocID 23866 Document 108 of 1438------ -CITE- 18 USC CHAPTER 13 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- CHAPTER 13 - CIVIL RIGHTS -MISC1- Sec. 241. Conspiracy against rights. 242. Deprivation of rights under color of law. 243. Exclusion of jurors on account of race or color. 244. Discrimination against person wearing uniform of armed forces. 245. Federally protected activities. 246. Deprivation of relief benefits. 247. Damage to religious property; obstruction of persons in the free exercise of religious beliefs. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7018(b)(2), Nov. 18, 1988, 102 Stat. 4396, struck out 'of citizens' after 'rights' in item 241. Pub. L. 100-346, Sec. 3, June 24, 1988, 102 Stat. 645, added item 247. 1976 - Pub. L. 94-453, Sec. 4(b), Oct. 2, 1976, 90 Stat. 1517, added item 246. 1968 - Pub. L. 90-284, title I, Sec. 102, Apr. 11, 1968, 82 Stat. 75, added item 245. ------DocID 23867 Document 109 of 1438------ -CITE- 18 USC Sec. 241 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 241. Conspiracy against rights -STATUTE- If two or more persons conspire to injure, oppress, threaten, or intimidate any inhabitant of any State, Territory, or District in the free exercise or enjoyment of any right or privilege secured to him by the Constitution or laws of the United States, or because of his having so exercised the same; or If two or more persons go in disguise on the highway, or on the premises of another, with intent to prevent or hinder his free exercise or enjoyment of any right or privilege so secured - They shall be fined not more than $10,000 or imprisoned not more than ten years, or both; and if death results, they shall be subject to imprisonment for any term of years or for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 696; Apr. 11, 1968, Pub. L. 90-284, title I, Sec. 103(a), 82 Stat. 75; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7018(a), (b)(1), 102 Stat. 4396.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 51 (Mar. 4, 1909, ch. 321, Sec. 19, 35 Stat. 1092). Clause making conspirator ineligible to hold office was omitted as incongruous because it attaches ineligibility to hold office to a person who may be a private citizen and who was convicted of conspiracy to violate a specific statute. There seems to be no reason for imposing such a penalty in the case of one individual crime, in view of the fact that other crimes do not carry such a severe consequence. The experience of the Department of Justice is that this unusual penalty has been an obstacle to successful prosecutions for violations of the act. Mandatory punishment provision was rephrased in the alternative. Minor changes in phraseology were made. AMENDMENTS 1988 - Pub. L. 100-690 struck out 'of citizens' after 'rights' in section catchline and substituted 'inhabitant of any State, Territory, or District' for 'citizen' in text. 1968 - Pub. L. 90-284 increased limitation on fines from $5,000 to $10,000 and provided for imprisonment for any term of years or for life when death results. -CROSS- CROSS REFERENCES Action for neglect to prevent, see section 1986 of Title 42, The Public Health and Welfare. Conspiracy to commit offense or to defraud United States, see section 371 of this title. Conspiracy to interfere with civil rights, see section 1985 of Title 42, The Public Health and Welfare. Proceedings in vindication of civil rights, see section 1988 of Title 42. ------DocID 23868 Document 110 of 1438------ -CITE- 18 USC Sec. 242 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 242. Deprivation of rights under color of law -STATUTE- Whoever, under color of any law, statute, ordinance, regulation, or custom, willfully subjects any inhabitant of any State, Territory, or District to the deprivation of any rights, privileges, or immunities secured or protected by the Constitution or laws of the United States, or to different punishments, pains, or penalties, on account of such inhabitant being an alien, or by reason of his color, or race, than are prescribed for the punishment of citizens, shall be fined not more than $1,000 or imprisoned not more than one year, or both; and if bodily injury results shall be fined under this title or imprisoned not more than ten years, or both; and if death results shall be subject to imprisonment for any term of years or for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 696; Apr. 11, 1968, Pub. L. 90-284, title I, Sec. 103(b), 82 Stat. 75; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7019, 102 Stat. 4396.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 52 (Mar. 4, 1909, ch. 321, Sec. 20, 35 Stat. 1092). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. A minor change was made in phraseology. AMENDMENTS 1988 - Pub. L. 100-690 inserted 'and if bodily injury results shall be fined under this title or imprisoned not more than ten years, or both;' after 'or both;'. 1968 - Pub. L. 90-284 provided for imprisonment for any term of years or for life when death results. -CROSS- CROSS REFERENCES Civil action for deprivation of rights, see section 1983 of Title 42, The Public Health and Welfare. Equal rights under the law, see section 1981 of Title 42. Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. Proceedings in vindication of civil rights, see section 1988 of Title 42, The Public Health and Welfare. ------DocID 23869 Document 111 of 1438------ -CITE- 18 USC Sec. 243 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 243. Exclusion of jurors on account of race or color -STATUTE- No citizen possessing all other qualifications which are or may be prescribed by law shall be disqualified for service as grand or petit juror in any court of the United States, or of any State on account of race, color, or previous condition of servitude; and whoever, being an officer or other person charged with any duty in the selection or summoning of jurors, excludes or fails to summon any citizen for such cause, shall be fined not more than $5,000. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 696.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 44 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Mar. 1, 1875, ch. 114, Sec. 4, 18 Stat. 336). Words 'be deemed guilty of a misdemeanor, and' were deleted as unnecessary in view of definition of misdemeanor in section 1 of this title. Words 'on conviction thereof' were omitted as unnecessary, since punishment follows only after conviction. Minimum punishment provisions were omitted. (See reviser's note under section 203 of this title.) Minor changes in phraseology were made. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Jurors, see rule 47, Title 28, Appendix, Judiciary and Judicial Procedure. FEDERAL RULES OF CRIMINAL PROCEDURE Grand jury, see rule 6, Appendix to this title. Trial jurors, see rule 24. CROSS REFERENCES Bribery of public officials and witnesses, see section 201 of this title. Civil rights generally, see section 1981 et seq. of Title 42, The Public Health and Welfare. Exclusion or excuse from jury service, see section 1863 of Title 28, Judiciary and Judicial Procedure. Grand jurors, number of and summoning additional jurors, see section 3321 of this title. Juries generally, see section 1861 et seq. of Title 28, Judiciary and Judicial Procedure. Manner of drawing jurors, see section 1864 of Title 28. Qualifications of jurors, see section 1861 of Title 28. Summoning jurors, see section 1867 of Title 28. ------DocID 23870 Document 112 of 1438------ -CITE- 18 USC Sec. 244 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 244. Discrimination against person wearing uniform of armed forces -STATUTE- Whoever, being a proprietor, manager, or employee of a theater or other public place of entertainment or amusement in the District of Columbia, or in any Territory, or Possession of the United States, causes any person wearing the uniform of any of the armed forces of the United States to be discriminated against because of that uniform, shall be fined not more than $500. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 697; May 24, 1949, ch. 139, Sec. 5, 63 Stat. 90.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 523 (Mar. 1, 1911, ch. 187, 36 Stat. 963; Aug. 24, 1912, ch. 387, Sec. 1, 37 Stat. 512; Jan. 28, 1915, ch. 20, Sec. 1, 38 Stat. 800). Words 'guilty of a misdemeanor', following 'shall be', were omitted as unnecessary in view of definition of 'misdemeanor' in section 1 of this title. (See reviser's note under section 212 of this title.) Changes were made in phraseology. 1949 ACT This section (section 5) substitutes, in section 244 of title 18, U.S.C., 'any of the armed forces of the United States' for the enumeration of specific branches and thereby includes the Air Force, formerly part of the Army. This clarification is necessary because of the establishment of the Air Force as a separate branch of the Armed Forces by the act of July 26, 1947. AMENDMENTS 1949 - Act May 24, 1949, substituted 'any of the armed forces of the United States' for enumeration of the specific branches. -CROSS- CROSS REFERENCES Uniforms, wearing without authority, see section 702 of this title. ------DocID 23871 Document 113 of 1438------ -CITE- 18 USC Sec. 245 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 245. Federally protected activities -STATUTE- (a)(1) Nothing in this section shall be construed as indicating an intent on the part of Congress to prevent any State, any possession or Commonwealth of the United States, or the District of Columbia, from exercising jurisdiction over any offense over which it would have jurisdiction in the absence of this section, nor shall anything in this section be construed as depriving State and local law enforcement authorities of responsibility for prosecuting acts that may be violations of this section and that are violations of State and local law. No prosecution of any offense described in this section shall be undertaken by the United States except upon the certification in writing of the Attorney General, the Deputy Attorney General, the Associate Attorney General, or any Assistant Attorney General specially designated by the Attorney General that in his judgment a prosecution by the United States is in the public interest and necessary to secure substantial justice, which function of certification may not be delegated. (2) Nothing in this subsection shall be construed to limit the authority of Federal officers, or a Federal grand jury, to investigate possible violations of this section. (b) Whoever, whether or not acting under color of law, by force or threat of force willfully injures, intimidates or interferes with, or attempts to injure, intimidate or interfere with - (1) any person because he is or has been, or in order to intimidate such person or any other person or any class of persons from - (A) voting or qualifying to vote, qualifying or campaigning as a candidate for elective office, or qualifying or acting as a poll watcher, or any legally authorized election official, in any primary, special, or general election; (B) participating in or enjoying any benefit, service, privilege, program, facility, or activity provided or administered by the United States; (C) applying for or enjoying employment, or any perquisite thereof, by any agency of the United States; (D) serving, or attending upon any court in connection with possible service, as a grand or petit juror in any court of the United States; (E) participating in or enjoying the benefits of any program or activity receiving Federal financial assistance; or (2) any person because of his race, color, religion or national origin and because he is or has been - (A) enrolling in or attending any public school or public college; (B) participating in or enjoying any benefit service, privilege, program, facility or activity provided or administered by any State or subdivision thereof; (C) applying for or enjoying employment, or any perquisite thereof, by any private employer or any agency of any State or subdivision thereof, or joining or using the services or advantages of any labor organization, hiring hall, or employment agency; (D) serving, or attending upon any court of any State in connection with possible service, as a grand or petit juror; (E) traveling in or using any facility of interstate commerce, or using any vehicle, terminal, or facility of any common carrier by motor, rail, water, or air; (F) enjoying the goods, services, facilities, privileges, advantages, or accommodations of any inn, hotel, motel, or other establishment which provides lodging to transient guests, or of any restaurant, cafeteria, lunchroom, lunch counter, soda fountain, or other facility which serves the public and which is principally engaged in selling food or beverages for consumption on the premises, or of any gasoline station, or of any motion picture house, theater, concert hall, sports arena, stadium, or any other place of exhibition or entertainment which serves the public, or of any other establishment which serves the public and (i) which is located within the premises of any of the aforesaid establishments or within the premises of which is physically located any of the aforesaid establishments, and (ii) which holds itself out as serving patrons of such establishments; or (3) during or incident to a riot or civil disorder, any person engaged in a business in commerce or affecting commerce, including, but not limited to, any person engaged in a business which sells or offers for sale to interstate travelers a substantial portion of the articles, commodities, or services which it sells or where a substantial portion of the articles or commodities which it sells or offers for sale have moved in commerce; or (4) any person because he is or has been, or in order to intimidate such person or any other person or any class of persons from - (A) participating, without discrimination on account of race, color, religion or national origin, in any of the benefits or activities described in subparagraphs (1)(A) through (1)(E) or subparagraphs (2)(A) through (2)(F); or (B) affording another person or class of persons opportunity or protection to so participate; or (5) any citizen because he is or has been, or in order to intimidate such citizen or any other citizen from lawfully aiding or encouraging other persons to participate, without discrimination on account of race, color, religion or national origin, in any of the benefits or activities described in subparagraphs (1)(A) through (1)(E) or subparagraphs (2)(A) through (2)(F), or participating lawfully in speech or peaceful assembly opposing any denial of the opportunity to so participate - shall be fined not more than $1,000, or imprisoned not more than one year, or both; and if bodily injury results shall be fined not more than $10,000, or imprisoned not more than ten years, or both; and if death results shall be subject to imprisonment for any term of years or for life. As used in this section, the term 'participating lawfully in speech or peaceful assembly' shall not mean the aiding, abetting, or inciting of other persons to riot or to commit any act of physical violence upon any individual or against any real or personal property in furtherance of a riot. Nothing in subparagraph (2)(F) or (4)(A) of this subsection shall apply to the proprietor of any establishment which provides lodging to transient guests, or to any employee acting on behalf of such proprietor, with respect to the enjoyment of the goods, services, facilities, privileges, advantages, or accommodations of such establishment if such establishment is located within a building which contains not more than five rooms for rent or hire and which is actually occupied by the proprietor as his residence. (c) Nothing in this section shall be construed so as to deter any law enforcement officer from lawfully carrying out the duties of his office; and no law enforcement officer shall be considered to be in violation of this section for lawfully carrying out the duties of his office or lawfully enforcing ordinances and laws of the United States, the District of Columbia, any of the several States, or any political subdivision of a State. For purposes of the preceding sentence, the term 'law enforcement officer' means any officer of the United States, the District of Columbia, a State, or political subdivision of a State, who is empowered by law to conduct investigations of, or make arrests because of, offenses against the United States, the District of Columbia, a State, or a political subdivision of a State. (d) For purposes of this section, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. -SOURCE- (Added Pub. L. 90-284, title I, Sec. 101(a), Apr. 11, 1968, 82 Stat. 73, and amended Pub. L. 100-690, title VII, Sec. 7020(a), Nov. 18, 1988, 102 Stat. 4396; Pub. L. 101-647, title XII, Sec. 1205(b), Nov. 29, 1990, 104 Stat. 4830.) -MISC1- AMENDMENTS 1990 - Subsec. (d). Pub. L. 101-647 added subsec. (d). 1988 - Subsec. (a)(1). Pub. L. 100-690 substituted ', the Deputy' for 'or the Deputy' and inserted ', the Associate Attorney General, or any Assistant Attorney General specially designated by the Attorney General' after 'Deputy Attorney General'. FAIR HOUSING Section 101(b) of Pub. L. 90-284 provided that: 'Nothing contained in this section (enacting this section) shall apply to or affect activities under title VIII of this Act (sections 3601 to 3619 of Title 42, The Public Health and Welfare).' RIOTS OR CIVIL DISTURBANCES, SUPPRESSION AND RESTORATION OF LAW AND ORDER; ACTS OR OMISSIONS OF ENFORCEMENT OFFICERS AND MEMBERS OF MILITARY SERVICE NOT SUBJECT TO THIS SECTION Section 101(c) of Pub. L. 90-284 provided that: 'The provisions of this section (enacting this section) shall not apply to acts or omissions on the part of law enforcement officers, members of the National Guard, as defined in section 101(9) of title 10, United States Code, members of the organized militia of any State or the District of Columbia, not covered by such section 101(9), or members of the Armed Forces of the United States, who are engaged in suppressing a riot or civil disturbance or restoring law and order during a riot or civil disturbance.' ------DocID 23872 Document 114 of 1438------ -CITE- 18 USC Sec. 246 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 246. Deprivation of relief benefits -STATUTE- Whoever directly or indirectly deprives, attempts to deprive, or threatens to deprive any person of any employment, position, work, compensation, or other benefit provided for or made possible in whole or in part by any Act of Congress appropriating funds for work relief or relief purposes, on account of political affiliation, race, color, sex, religion, or national origin, shall be fined not more than $10,000, or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 94-453, Sec. 4(a), Oct. 2, 1976, 90 Stat. 1517.) ------DocID 23873 Document 115 of 1438------ -CITE- 18 USC Sec. 247 -EXPCITE- TITLE 18 PART I CHAPTER 13 -HEAD- Sec. 247. Damage to religious property; obstruction of persons in the free exercise of religious beliefs -STATUTE- (a) Whoever, in any of the circumstances referred to in subsection (b) of this section - (1) intentionally defaces, damages, or destroys any religious real property, because of the religious character of that property, or attempts to do so; or (2) intentionally obstructs, by force or threat of force, any person in the enjoyment of that person's free exercise of religious beliefs, or attempts to do so; shall be punished as provided in subsection (c) of this section. (b) The circumstances referred to in subsection (a) are that - (1) in committing the offense, the defendant travels in interstate or foreign commerce, or uses a facility or instrumentality of interstate or foreign commerce in interstate or foreign commerce; and (2) in the case of an offense under subsection (a)(1), the loss resulting from the defacement, damage, or destruction is more than $10,000. (c) The punishment for a violation of subsection (a) of this section shall be - (1) if death results, a fine in accordance with this title and imprisonment for any term of years or for life, or both; (2) if serious bodily injury results, a fine in accordance with this title and imprisonment for not more than ten years, or both; and (3) in any other case, a fine in accordance with this title and imprisonment for not more than one year, or both. (d) No prosecution of any offense described in this section shall be undertaken by the United States except upon the notification in writing of the Attorney General or his designee that in his judgment a prosecution by the United States is in the public interest and necessary to secure substantial justice. (e) As used in this section - (1) the term 'religious real property' means any church, synagogue, mosque, religious cemetery, or other religious real property; and (2) the term 'serious bodily injury' means bodily injury that involves a substantial risk of death, unconsciousness, extreme physical pain, protracted and obvious disfigurement, or protracted loss or impairment of the function of a bodily member, organ, or mental faculty. -SOURCE- (Added Pub. L. 100-346, Sec. 1, June 24, 1988, 102 Stat. 644.) ------DocID 23874 Document 116 of 1438------ -CITE- 18 USC CHAPTER 15 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- CHAPTER 15 - CLAIMS AND SERVICES IN MATTERS AFFECTING GOVERNMENT -MISC1- Sec. 281. Restrictions on retired military officers regarding certain matters affecting the Government. (282 to 284. Repealed.) 285. Taking or using papers relating to claims. 286. Conspiracy to defraud the Government with respect to claims. 287. False, fictitious or fraudulent claims. 288. False claims for postal losses. 289. False claims for pensions. 290. Discharge papers withheld by claim agent. 291. Purchase of claims for fees by court officials. 292. Solicitation of employment and receipt of unapproved fees concerning Federal employees' compensation. (293. Repealed.) AMENDMENTS 1989 - Pub. L. 101-123, Sec. 3(a), Oct. 23, 1989, 103 Stat. 760, struck out item 293 'Limitation on Government contract costs'. 1988 - Pub. L. 100-700, Sec. 3(b), Nov. 19, 1988, 102 Stat. 4633, added item 293. 1987 - Pub. L. 100-180, div. A, title VIII, Sec. 822(b)(2), Dec. 4, 1987, 101 Stat. 1133, added item 281, struck out former item 281 'Compensation to Members of Congress, officers, and others in matters affecting Government', item 282 'Practice in Court of Claims by Members of Congress', item 283 'Officers or employees interested in claims against the Government', and item 284 'Disqualification of former officers and employees in matters connected with former duties'. 1966 - Pub. L. 89-554, Sec. 3(a), Sept. 6, 1966, 80 Stat. 608, added item 292. ------DocID 23875 Document 117 of 1438------ -CITE- 18 USC Sec. 281 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 281. Restrictions on retired military officers regarding certain matters affecting the Government -STATUTE- (a)(1) A retired officer of the Armed Forces who, while not on active duty and within two years after release from active duty, directly or indirectly receives (or agrees to receive) any compensation for representation of any person in the sale of anything to the United States through the military department in which the officer is retired (in the case of an officer of the Army, Navy, Air Force, or Marine Corps) or through the Department of Transportation (in the case of an officer of the Coast Guard) shall be fined under this title or imprisoned not more than two years, or both. (2) Any person convicted under paragraph (1) shall be incapable of holding any office of honor, trust, or profit under the United States. (b) A retired officer of the Armed Forces who, while not on active duty and within two years after release from active duty, acts as agent or attorney for prosecuting or assisting in the prosecution of any claim against the United States - (1) involving the military department in which the officer is retired (in the case of an officer of the Army, Navy, Air Force, or Marine Corps) or the Department of Transportation (in the case of an officer of the Coast Guard); or (2) involving any subject matter with which the officer was directly connected while in an active-duty status; shall be fined under this title or imprisoned not more than one year, or both. (c) This section does not apply - (1) to any person because of the person's membership in the National Guard of the District of Columbia; or (2) to any person specifically excepted by law. -SOURCE- (Added Pub. L. 100-180, div. A, title VIII, Sec. 822(b)(1), Dec. 4, 1987, 101 Stat. 1132.) -STATAMEND- SUSPENSION OF EFFECT OF SECTION Pub. L. 101-510, div. A, title VIII, Sec. 815(a)(3), Nov. 5, 1990, 104 Stat. 1597, provided that this section shall have no force or effect during the period beginning on Dec. 1, 1990, and ending on May 31, 1991. Pub. L. 101-194, title V, Sec. 507(3), Nov. 30, 1989, 103 Stat. 1760, provided that this section had no force or effect during the period beginning on Dec. 1, 1989, and ending one year after such date. -MISC1- PRIOR PROVISIONS A prior section 281, acts June 25, 1948, ch. 645, 62 Stat. 697; May 24, 1949, ch. 139, Sec. 6, 63 Stat. 90, which related to compensation to Members of Congress, officers and others in matters affecting the Government, was repealed by Pub. L. 87-849, Sec. 2, 4, Oct. 23, 1962, 76 Stat. 1126, eff. 90 days after Oct. 23, 1962, which repeal continued limited applicability to retired officers of the Armed Forces of the United States. Pub. L. 100-180, div. A, title VIII, Sec. 822(a), Dec. 4, 1987, 101 Stat. 1132, repealed such prior section 281 to the extent that it had not been repealed by section 2 of Pub. L. 87-849. Such prior section 281 was supplanted by section 203 of this title. ------DocID 23876 Document 118 of 1438------ -CITE- 18 USC Sec. 282 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- (Sec. 282. Repealed. Pub. L. 87-849, Sec. 2, Oct. 23, 1962, 76 Stat. 1126) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 697, related to practice in Court of Claims by Members of Congress. Section was supplanted by section 204 of this title. EFFECTIVE DATE OF REPEAL Repeal effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as an Effective Date note under section 201 of this title. ------DocID 23877 Document 119 of 1438------ -CITE- 18 USC Sec. 283 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- (Sec. 283. Repealed. Pub. L. 87-849, Sec. 2, Oct. 23, 1962, 76 Stat. 1126; Pub. L. 100-180, div. A, title VIII, Sec. 822(a), Dec. 4, 1987, 101 Stat. 1132) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 697; June 28, 1949, ch. 268, Sec. 2(b), 63 Stat. 280, related to officers or employees interested in claims against the government. Pub. L. 87-849 continued limited applicability to retired officers of the Armed Forces of the United States. Pub. L. 100-180 repealed section to the extent that it had not been repealed by section 2 of Pub. L. 87-849. Section was supplanted by section 205 of this title. EFFECTIVE DATE OF REPEAL Repeal effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as an Effective Date note under section 201 of this title. ------DocID 23878 Document 120 of 1438------ -CITE- 18 USC Sec. 284 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- (Sec. 284. Repealed. Pub. L. 87-849, Sec. 2, Oct. 23, 1962, 76 Stat. 1126) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 698; May 24, 1949, ch. 139, Sec. 7, 63 Stat. 90, related to disqualifications of former officers and employees in matters connected with former duties. Section was supplanted by section 207 of this title. EFFECTIVE DATE OF REPEAL Repeal effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as an Effective Date note under section 201 of this title. ------DocID 23879 Document 121 of 1438------ -CITE- 18 USC Sec. 285 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 285. Taking or using papers relating to claims -STATUTE- Whoever, without authority, takes and carries away from the place where it was filed, deposited, or kept by authority of the United States, any certificate, affidavit, deposition, statement of facts, power of attorney, receipt, voucher, assignment, or other document, record, file, or paper prepared, fitted, or intended to be used or presented to procure the payment of money from or by the United States or any officer, employee, or agent thereof, or the allowance or payment of the whole or any part of any claim, account, or demand against the United States, whether the same has or has not already been so used or presented, and whether such claim, account, or demand, or any part thereof has or has not already been allowed or paid; or Whoever presents, uses, or attempts to use any such document, record, file, or paper so taken and carried away, to procure the payment of any money from or by the United States, or any officer, employee, or agent thereof, or the allowance or payment of the whole or any part of any claim, account, or demand against the United States - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 698.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 92 (Mar. 4, 1909, ch. 321, Sec. 40, 35 Stat. 1096). Word 'employee' was inserted after 'officer' in two places to clarify scope of section. The words 'five years' were substituted for 'ten years' in the punishment provision to conform to like provisions in similar offenses. (See section 1001 of this title.) Changes were made in phraseology. -CROSS- CROSS REFERENCES Claims generally, see section 3721 et seq. of Title 31, Money and Finance. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 3622. ------DocID 23880 Document 122 of 1438------ -CITE- 18 USC Sec. 286 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 286. Conspiracy to defraud the Government with respect to claims -STATUTE- Whoever enters into any agreement, combination, or conspiracy to defraud the United States, or any department or agency thereof, by obtaining or aiding to obtain the payment or allowance of any false, fictitious or fraudulent claim, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 698.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 83 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197). To clarify meaning of 'department' the word 'agency' was inserted after it. (See definitions of 'department' and 'agency' in section 6 of this title.) Words 'or any corporation in which the United States of America is a stockholder' were omitted as unnecessary in view of definition of 'agency' in section 6 of this title. Minor changes in phraseology were made. -CROSS- CROSS REFERENCES Conspiracy to defraud United States, generally, see section 371 of this title. False pension claims, see section 3503 of Title 38, Veterans' Benefits. Liability of persons making false claims; suits and procedure; duty of district attorneys; limitation of suits, see sections 3729 to 3731 of Title 31, Money and Finance. National Service Life Insurance, false or fraudulent statements, see section 787 of Title 38, Veterans' Benefits. Wartime suspension of limitations, see section 3287 of this title. ------DocID 23881 Document 123 of 1438------ -CITE- 18 USC Sec. 287 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 287. False, fictitious or fraudulent claims -STATUTE- Whoever makes or presents to any person or officer in the civil, military, or naval service of the United States, or to any department or agency thereof, any claim upon or against the United States, or any department or agency thereof, knowing such claim to be false, fictitious, or fraudulent, shall be imprisoned not more than five years and shall be subject to a fine in the amount provided in this title. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 698; Oct. 27, 1986, Pub. L. 99-562, Sec. 7, 100 Stat. 3169.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 80 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197). Section 80 of title 18, U.S.C., 1940 ed., was divided into two parts. That portion making it a crime to present false claims was retained as this section. The part relating to false statements is now section 1001 of this title. To clarify meaning of 'department' words 'agency' and 'or agency' were inserted after it. (See definitions of 'department' and 'agency' in section 6 of this title.) Words 'or any corporation in which the United States of America is a stockholder' which appeared in two places were omitted as unnecessary in view of definition of 'agency' in section 6 of this title. The words 'five years' were substituted for 'ten years' to harmonize the punishment provisions of comparable sections involving offenses of the gravity of felonies, but not of such heinous character as to warrant a 10-year punishment. (See sections 914, 1001, 1002, 1005, 1006 of this title.) Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes in phraseology were made. AMENDMENTS 1986 - Pub. L. 99-562 substituted 'imprisoned not more than five years and shall be subject to a fine in the amount provided in this title' for 'fined not more than $10,000 or imprisoned not more than five years, or both'. INCREASED PENALTIES FOR FALSE CLAIMS IN DEFENSE PROCUREMENT Pub. L. 99-145, title IX, Sec. 931(a), Nov. 8, 1985, 99 Stat. 699, provided that: 'Notwithstanding sections 287 and 3623 of title 18, United States Code, the maximum fine that may be imposed under such section for making or presenting any claim upon or against the United States related to a contract with the Department of Defense, knowing such claim to be false, fictitious, or fraudulent, is $1,000,000.' (Section 931(c) of Pub. L. 99-145 provided that section 931(a) is applicable to claims made or presented on or after Nov. 8, 1985.) -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES False statements or entries, generally, see section 1001 of this title. Liability of persons making false claims; jurisdiction and parties; duty of district attorneys; rights of plaintiffs; limitation of suits, see sections 3729 to 3731 of Title 31, Money and Finance. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1345, 3059A of this title; title 10 section 2324; title 12 section 1833a. ------DocID 23882 Document 124 of 1438------ -CITE- 18 USC Sec. 288 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 288. False claims for postal losses -STATUTE- Whoever makes, alleges, or presents any claim or application for indemnity for the loss of any registered or insured letter, parcel, package, or other article or matter, or the contents thereof, knowing such claim or application to be false, fictitious, or fraudulent; or Whoever for the purpose of obtaining or aiding to obtain the payment or approval of any such claim or application, makes or uses any false statement, certificate, affidavit, or deposition; or Whoever knowingly and willfully misrepresents, or misstates, or, for the purpose aforesaid, knowingly and willfully conceals any material fact or circumstance in respect of any such claim or application for indemnity - Shall be fined not more than $500 or imprisoned not more than one year, or both. Where the amount of such claim or application for indemnity is less than $100 only a fine shall be imposed. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 698.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 354 (Mar. 4, 1909, ch. 321, Sec. 224, 35 Stat. 1133; Aug. 5, 1939, ch. 429, 53 Stat. 1203). Reference to persons causing, assisting, aiding, or abetting, was omitted as such persons are made principals by section 2 of this title. Changes in phraseology were made. -CROSS- CROSS REFERENCES False statements or entries, generally, see section 1001 of this title. ------DocID 23883 Document 125 of 1438------ -CITE- 18 USC Sec. 289 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 289. False claims for pensions -STATUTE- Whoever knowingly and willfully makes, or presents any false, fictitious or fraudulent affidavit, declaration, certificate, voucher, endorsement, or paper or writing purporting to be such, concerning any claim for pension or payment thereof, or pertaining to any other matter within the jurisdiction of the Administrator of Veterans' Affairs, or knowingly or willfully makes or presents any paper required as a voucher in drawing a pension, which paper bears a date subsequent to that upon which it was actually signed or acknowledged by the pensioner; or Whoever knowingly and falsely certifies that the declarant, affiant, or witness named in such declaration, affidavit, voucher, endorsement, or other paper or writing personally appeared before him and was sworn thereto, or acknowledged the execution thereof - Shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 699.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 81 of title 18, section 126 of title 38, Pensions, Bonuses, and Veterans' Relief, and section 787 of title 43, Public Lands, all of U.S.C., 1940 ed. (R.S. Sec. 4746; July 7, 1898, ch. 578, 30 Stat. 718; Aug. 17, 1912, ch. 301, Sec. 1, 37 Stat. 312; July 3, 1930, ch. 863, Sec. 2, 46 Stat. 1016). Reference to persons aiding or assisting or causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'or bounty land', before 'prosecution of any claim for pension', were omitted as obsolete. (See reviser's note under section 290 of this title.) Upon authority of 1930 enactment words 'Administrator of Veterans' Affairs' were substituted for 'Commissioner of Pensions or of the Secretary of the Interior', which appeared in 1898 enactment. The fine was changed from '$500' for '$10,000' to conform with punishment provision of section 287 of this title. Minor changes in phraseology were also made. -CHANGE- CHANGE OF NAME Reference to Administrator of Veterans' Affairs deemed to refer to Secretary of Veterans Affairs pursuant to section 10 of Pub. L. 100-527, set out as a Department of Veterans Affairs Act note under section 201 of Title 38, Veterans' Benefits. -CROSS- CROSS REFERENCES Secretary of Veterans Affairs, appointment and authority, see section 210 of Title 38, Veterans' Benefits. False statements or entries, generally, see section 1001 of this title. ------DocID 23884 Document 126 of 1438------ -CITE- 18 USC Sec. 290 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 290. Discharge papers withheld by claim agent -STATUTE- Whoever, being a claim agent, attorney, or other person engaged in the collection of claims for pay, pension, or other allowances for any soldier, sailor, or marine, or for any commissioned officer of the military or naval forces, or for any person who may have been a soldier, sailor, marine, or officer of the regular or volunteer forces of the United States, or for his dependents or beneficiaries, retains, without the consent of the owner or owners thereof, or refuses to deliver or account for the same upon demand duly made by the owner or owners thereof, or by their agent or attorney, the discharge papers of any such soldier, sailor, or marine, or commissioned officer, which may have been placed in his hands for the purpose of collecting said claims, shall be fined not more than $500 or imprisoned not more than six months, or both; and shall be debarred from prosecuting any such claim in any department or agency of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 699.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 100 of title 31, Money and Finance, section 130 of title 38, Pensions, Bonuses, and Veterans' Relief, and section 841 of title 43, Public Lands, all U.S.C., 1940 ed. (May 21, 1872, ch. 178, 17 Stat. 137). Words 'deemed guilty of a misdemeanor' were deleted as unnecessary. (See definition of 'misdemeanor' in section 1 of this title.) Words 'and shall upon conviction, be' were omitted as surplusage since punishment can follow only after conviction. To clarify meaning of 'executive department' word 'executive' before 'department' was deleted and words 'or agency' were inserted after it. (See definitions of 'department' and 'agency' in section 6 of this title.) Words 'bounty', before 'pension', and 'or land warrant', before 'of any such soldier', were deleted as obsolete. According to regulations, Circular 1151, January 8, 1929, issued by the Secretary of the Interior and the General Land Office (see 43 CFR 131.1-131.2) 'warrants for bounty lands were and are issued by the Commissioner of Pensions (Administrator of Veterans' Affairs) for services in wars or battles prior to March 3, 1855 only.' Further, it is stated that 'Warrants can not now be 'located' upon the public lands. The locating privilege was denied except in the state of Missouri after the passage of the act of March 2, 1889 (25 Stat. 854; 43 U.S.C. Sec. 700), and there are no lands known to the General Land Office to be subject to warrant location in Missouri.' Words 'and honorably discharged' were omitted as unnecessary and words 'or for his dependents or beneficiaries' were inserted after 'United States' so as to embrace an important class of persons who employ attorneys or agents in the collection of claims permitted by statute. Minor changes of phraseology were also made. -CROSS- CROSS REFERENCES Withholding claim or benefit allowed and due, see section 3405 of Title 38, Veterans' Benefits. ------DocID 23885 Document 127 of 1438------ -CITE- 18 USC Sec. 291 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 291. Purchase of claims for fees by court officials -STATUTE- Whoever, being a judge, clerk, or deputy clerk of any court of the United States or a Territory or Possession thereof, or a United States district attorney, assistant attorney, marshal, deputy marshal, commissioner, or other person holding any office or employment, or position of trust or profit under the United States, directly or indirectly purchases at less than the full face value thereof, any claim against the United States for the fee, mileage, or expenses of any witness, juror, deputy marshal, or any other officer of such court, shall be fined not more than $1,000. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 699.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 193 (Mar. 4, 1909, ch. 321, Sec. 104, 35 Stat. 1107). Word 'Possession' was inserted to clarify scope of section. Minor changes were made in phraseology. -CHANGE- CHANGE OF NAME United States commissioners, referred to in text, were replaced by United States magistrates pursuant to Pub. L. 90-578, title IV, Sec. 402(b)(2), Oct. 17, 1968, 82 Stat. 1118. See chapter 43 (Sec. 631 et seq.) of Title 28, Judiciary and Judicial Procedure. Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28 -CROSS- CROSS REFERENCES Assignment of claims, see section 3727 of Title 31, Money and Finance. Fees, mileage, or expenses of - Jurors, see sections 1824, 1871 of Title 28, Judiciary and Judicial Procedure. Marshal's accounts, see section 567 of Title 28. Witnesses, see sections 1821, 1824, 1825, 1920, 1922 of Title 28. ------DocID 23886 Document 128 of 1438------ -CITE- 18 USC Sec. 292 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- Sec. 292. Solicitation of employment and receipt of unapproved fees concerning Federal employees' compensation -STATUTE- Whoever solicits employment for himself or another in respect to a case, claim, or award for compensation under, or to be brought under, subchapter I of chapter 81 of title 5; or Whoever receives a fee, other consideration, or gratuity on account of legal or other services furnished in respect to a case, claim, or award for compensation under subchapter I of chapter 81 of title 5, unless the fee, consideration, or gratuity is approved by the Secretary of Labor - Shall, for each offense, be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(b), Sept. 6, 1966, 80 Stat. 608.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 773(b) Oct. 14, 1949, ch. (last sentence). 691, Sec. 208 'Sec. 23(b) (last sentence)', 63 Stat. 865. ------------------------------- The words 'under subchapter I of chapter 81 of title 5' are substituted for 'under this Act' (Federal Employees' Compensation Act) to reflect the codification of the Act in title 5, United States Code. The words 'is approved by the Secretary of Labor' are substituted for 'is so approved'. The words 'Secretary of Labor' are substituted for 'Administrator' (Federal Security Administrator) on authority of 1950 Reorg. Plan No. 19, Sec. 1, eff. May 24, 1950, 64 Stat. 1271. The words 'shall be guilty of a misdemeanor' are omitted as unnecessary in view of the definitive section 1 of this title. (See reviser's note under 18 U.S.C. 212, 1964 ed.) The words 'and upon conviction thereof' are omitted as unnecessary because punishment can be imposed only after conviction. The words 'or both' are substituted for 'or by both such fine and imprisonment'. Minor changes in phraseology are made to conform to the style of title 18. ------DocID 23887 Document 129 of 1438------ -CITE- 18 USC Sec. 293 -EXPCITE- TITLE 18 PART I CHAPTER 15 -HEAD- (Sec. 293. Repealed. Pub. L. 101-123, Sec. 3(a), Oct. 23, 1989, 103 Stat. 760) -MISC1- Section, added Pub. L. 100-700, Sec. 3(a), Nov. 19, 1988, 102 Stat. 4632, related to limitation on Government contract costs. EFFECTIVE DATE OF REPEAL Section 3(b) of Pub. L. 101-123 provided that: 'The repeal made by this section (repealing this section and provisions formerly set out as a note below) shall be deemed to be effective on the date of enactment of Public Law 100-700 (Nov. 19, 1988).' EFFECTIVE DATE Pub. L. 100-700, Sec. 3(c), Nov. 19, 1988, 102 Stat. 4633, which provided that this section was to apply to contracts entered into after Nov. 19, 1988, was repealed by Pub. L. 101-123, Sec. 3(a), Oct. 23, 1989, 103 Stat. 760. ------DocID 23888 Document 130 of 1438------ -CITE- 18 USC CHAPTER 17 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- CHAPTER 17 - COINS AND CURRENCY -MISC1- Sec. 331. Mutilation, diminution, and falsification of coins. 332. Debasement of coins; alteration of official scales, or embezzlement of metals. 333. Mutilation of national bank obligations. 334. Issuance of Federal Reserve or national bank notes. 335. Circulation of obligations of expired corporations. 336. Issuance of circulating obligations of less than $1. 337. Coins as security for loans. AMENDMENTS 1965 - Pub. L. 89-81, title II, Sec. 212(b), July 23, 1965, 79 Stat. 257, added item 337. ------DocID 23889 Document 131 of 1438------ -CITE- 18 USC Sec. 331 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 331. Mutilation, diminution and falsification of coins -STATUTE- Whoever fraudulently alters, defaces, mutilates, impairs, diminishes, falsifies, scales, or lightens any of the coins coined at the mints of the United States, or any foreign coins which are by law made current or are in actual use or circulation as money within the United States; or Whoever fraudulently possesses, passes, utters, publishes, or sells, or attempts to pass, utter, publish, or sell, or brings into the United States, any such coin, knowing the same to be altered, defaced, mutilated, impaired, diminished, falsified, scaled, or lightened - Shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 700; July 16, 1951, ch. 226, Sec. 1, 65 Stat. 121.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 279 (Mar. 4, 1909, ch. 321, Sec. 165, 35 Stat. 1119). Mandatory punishment provision was rephrased in the alternative. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Changes were also made in phraseology. AMENDMENTS 1951 - Act July 16, 1951, made section applicable to minor coins (5-cent and 1-cent pieces), and to fraudulent alteration of coins. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 492 of this title. ------DocID 23890 Document 132 of 1438------ -CITE- 18 USC Sec. 332 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 332. Debasement of coins; alteration of official scales, or embezzlement of metals -STATUTE- If any of the gold or silver coins struck or coined at any of the mints of the United States shall be debased, or made worse as to the proportion of fine gold or fine silver therein contained, or shall be of less weight or value than the same ought to be, pursuant to law, or if any of the scales or weights used at any of the mints or assay offices of the United States shall be defaced, altered, increased, or diminished through the fault or connivance of any officer or person employed at the said mints or assay offices, with a fraudulent intent; or if any such officer or person shall embezzle any of the metals at any time committed to his charge for the purpose of being coined, or any of the coins struck or coined at the said mints, or any medals, coins, or other moneys of said mints or assay offices at any time committed to his charge, or of which he may have assumed the charge, every such officer or person who commits any of the said offenses shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 700.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 280 (Mar. 4, 1909, ch. 321, Sec. 166, 35 Stat. 1120). Mandatory punishment provision was rephrased in the alternative. -CROSS- CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 492 of this title. ------DocID 23891 Document 133 of 1438------ -CITE- 18 USC Sec. 333 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 333. Mutilation of national bank obligations -STATUTE- Whoever mutilates, cuts, defaces, disfigures, or perforates, or unites or cements together, or does any other thing to any bank bill, draft, note, or other evidence of debt issued by any national banking association, or Federal Reserve bank, or the Federal Reserve System, with intent to render such bank bill, draft, note, or other evidence of debt unfit to be reissued, shall be fined not more than $100 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 700.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 291 (Mar. 4, 1909, ch. 321, Sec. 176, 35 Stat. 1122). Words 'or Federal Reserve bank, or the Federal Reserve System' were inserted because the paper of such banks has almost supplanted national bank currency. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes in phraseology were made. -CROSS- CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 492 of this title. ------DocID 23892 Document 134 of 1438------ -CITE- 18 USC Sec. 334 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 334. Issuance of Federal Reserve or national bank notes -STATUTE- Whoever, being a Federal Reserve Agent, or an agent or employee of such Federal Reserve Agent, or of the Board of Governors of the Federal Reserve System, issues or puts in circulation any Federal Reserve notes, without complying with or in violation of the provisions of law regulating the issuance and circulation of such Federal Reserve notes; or Whoever, being an officer acting under the provisions of chapter 2 of Title 12, countersigns or delivers to any national banking association, or to any other company or person, any circulating notes contemplated by that chapter except in strict accordance with its provisions - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 700.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 581 and 592 of title 12, U.S.C., 1940 ed., Banks and Banking (R.S. Sec. 5187, 5209; Sept. 26, 1918, ch. 177, Sec. 7, 40 Stat. 972; Aug. 23, 1935, ch. 614, Sec. 316, 49 Stat. 712). This section consolidates section 581 and part of section 592 of title 12, U.S.C., 1940 ed., Banks and Banking. The punishment provision was drawn from said section 592 as being the latest expression of congressional intent, in preference to the provision of said section 581 which authorized a fine 'not more than double the amount so countersigned and delivered and imprisonment not more than 15 years'. The words 'shall be guilty of a misdemeanor' were omitted as unnecessary in view of definition of misdemeanor in section 1 of this title. Likewise the words 'upon conviction in any district court of the United States' were omitted as unnecessary since punishment can follow only after conviction. (See reviser's note under section 656 of this title for statement of reasons for dividing said section 592 into three revised sections, with consequent changes in phraseology, style, and arrangement.) -CROSS- CROSS REFERENCES State banks becoming members of Federal reserve system, application to, see section 324 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 324. ------DocID 23893 Document 135 of 1438------ -CITE- 18 USC Sec. 335 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 335. Circulation of obligations of expired corporations -STATUTE- Whoever, being a director, officer, or agent of a corporation created by Act of Congress, the charter of which has expired, or trustee thereof, or an agent of such trustee, or a person having in his possession or under his control the property of such corporation for the purpose of paying or redeeming its notes and obligations, knowingly issues, reissues, or utters as money, or in any other way knowingly puts in circulation any bill, note, check, draft, or other security purporting to have been made by any such corporation, or by any officer thereof, or purporting to have been made under authority derived therefrom, shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 700.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 289 (Mar. 4, 1909, ch. 321, Sec. 174, 35 Stat. 1122). The reference to persons aiding was omitted as unnecessary, since such persons are made principals by section 2 of this title. The last sentence excepting bona fide holders in due course was omitted as surplusage. Other changes in phraseology also were made. -CROSS- CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 492 of this title. ------DocID 23894 Document 136 of 1438------ -CITE- 18 USC Sec. 336 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 336. Issuance of circulating obligations of less than $1 -STATUTE- Whoever makes, issues, circulates, or pays out any note, check, memorandum, token, or other obligation for a less sum than $1, intended to circulate as money or to be received or used in lieu of lawful money of the United States, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 701.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 293 (Mar. 4, 1909, ch. 321, Sec. 178, 35 Stat. 1122). Numerous suggestions, of which that of Mr. E. M. Million, of Arlington, Va., is typical, recommend that this section be omitted as obsolete or revised to except commercial obligations. However, since the decisions make it plain that only obligations intended to circulate as money are within the provisions of this section and that commercial checks of less than $1 are not affected, there seems no reason so to rewrite the section. (See U.S. v. Monongahela Bridge Co., Fed. Cas. No. 15,796; Stettinius v. U.S., Fed. Cas. No. 13,387.) Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 492 of this title. ------DocID 23895 Document 137 of 1438------ -CITE- 18 USC Sec. 337 -EXPCITE- TITLE 18 PART I CHAPTER 17 -HEAD- Sec. 337. Coins as security for loans -STATUTE- Whoever lends or borrows money or credit upon the security of such coins of the United States as the Secretary of the Treasury may from time to time designate by proclamation published in the Federal Register, during any period designated in such a proclamation, shall be fined not more than $10,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-81, title II, Sec. 212(a), July 23, 1965, 79 Stat. 257.) -MISC1- EFFECTIVE DATE Section 212(c) of Pub. L. 89-81 provided that: 'The amendments made by this section (enacting this section) shall apply only with respect to loans made, renewed, or increased on or after the 31st day after the date of enactment of this Act (July 23, 1965).' ------DocID 23896 Document 138 of 1438------ -CITE- 18 USC CHAPTER 17A -EXPCITE- TITLE 18 PART I CHAPTER 17A -HEAD- CHAPTER 17A - COMMON CARRIER OPERATION UNDER THE INFLUENCE OF ALCOHOL OR DRUGS -MISC1- Sec. 341. Definitions. 342. Operation of a common carrier under the influence of alcohol or drugs. 343. Presumptions. ------DocID 23897 Document 139 of 1438------ -CITE- 18 USC Sec. 341 -EXPCITE- TITLE 18 PART I CHAPTER 17A -HEAD- Sec. 341. Definitions -STATUTE- As used in this chapter, the term 'common carrier' means a locomotive, a rail carrier, a sleeping car carrier, a bus transporting passengers in interstate commerce, a water common carrier, and an air common carrier. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1971(a), Oct. 27, 1986, 100 Stat. 3207-59, and amended Pub. L. 100-690, title VI, Sec. 6482(a), Nov. 18, 1988, 102 Stat. 4382.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 inserted 'locomotive, a' after 'means a'. ------DocID 23898 Document 140 of 1438------ -CITE- 18 USC Sec. 342 -EXPCITE- TITLE 18 PART I CHAPTER 17A -HEAD- Sec. 342. Operation of a common carrier under the influence of alcohol or drugs -STATUTE- Whoever operates or directs the operation of a common carrier while under the influence of alcohol or any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)), shall be imprisoned not more than fifteen years or fined under this title, or both. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1971(a), Oct. 27, 1986, 100 Stat. 3207-59, and amended Pub. L. 100-690, title VI, Sec. 6473(a), (b), 6482(b), Nov. 18, 1988, 102 Stat. 4379, 4382.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 substituted 'any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802))' for 'drugs', 'fifteen' for 'five', and 'fined under this title' for 'fined not more than $10,000'. ------DocID 23899 Document 141 of 1438------ -CITE- 18 USC Sec. 343 -EXPCITE- TITLE 18 PART I CHAPTER 17A -HEAD- Sec. 343. Presumptions -STATUTE- For purposes of this chapter - (1) an individual with a blood alcohol content of .10 percent or more shall be presumed to be under the influence of alcohol; and (2) an individual shall be presumed to be under the influence of drugs if the quantity of the drug in the system of the individual would be sufficient to impair the perception, mental processes, or motor functions of the average individual. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1971(a), Oct. 27, 1986, 100 Stat. 3207-59, and amended Pub. L. 100-690, title VI, Sec. 6473(c), Nov. 18, 1988, 102 Stat. 4379.) -MISC1- AMENDMENTS 1988 - Par. (1). Pub. L. 100-690, Sec. 6473(c)(1), substituted '.10 percent' for '.10' and struck out 'conclusively' after 'shall be'. Par. (2). Pub. L. 100-690, Sec. 6473(c)(2), struck out 'conclusively' after 'shall be'. ------DocID 8971 Document 142 of 1438------ -CITE- 5 USC APPENDIX - REORGANIZATION PLAN NO. 18 OF 1950 -EXPCITE- TITLE 5 APPENDIX REORGANIZATION PLANS REORGANIZATION PLAN NO -HEAD- REORGANIZATION PLAN NO. 18 OF 1950 -MISC1- EFF. JULY 1, 1950, 15 F.R. 3177, 64 STAT. 1270 Prepared by the President and transmitted to the Senate and the House of Representatives in Congress assembled, March 13, 1950, pursuant to the provisions of the Reorganization Act of 1949, approved June 20, 1949 (see 5 U.S.C. 901 et seq.). BUILDING AND SPACE MANAGEMENT FUNCTIONS SECTION 1. TRANSFER OF SPACE ASSIGNMENT AND LEASING FUNCTIONS All functions with respect to acquiring space in buildings by lease, and all functions with respect to assigning and reassigning space in buildings for use by agencies (including both space acquired by lease and space in Government-owned buildings), are hereby transferred from the respective agencies in which such functions are now vested to the Administrator of General Services, exclusive, however, of all such functions with respect to - (a) space in buildings located in any foreign country; (b) space in buildings which are located on the grounds of any fort, camp, post, arsenal, Navy yard, naval training station, airfield, proving ground, military supply depot, or school, or of any similar facility, of the Department of Defense, unless and to such extent as a permit for its use shall have been issued by the Secretary of Defense or his duly authorized representative; (c) space occupied by the Post Office Department in post-office buildings and space acquired by lease for post-office purposes; and (d) space in other Government-owned buildings which the Administrator of General Services finds are wholly or predominantly utilized for the special purposes of the agency having the custody thereof and are not generally suitable for the use of other agencies (including but not limited to hospitals, housing, laboratories, mints, manufacturing plants, and penal institutions), and space acquired by lease for any such purpose: Provided, That the space needs of the Post Office Department shall be given priority in the assignment and reassignment of space in post office buildings. SEC. 2. TRANSFER OF OFFICE BUILDING MANAGEMENT FUNCTIONS All functions with respect to the operation, maintenance, and custody of office buildings owned by the Government and of office buildings or parts thereof acquired by lease, including those post-office buildings which, as determined by the Director of the Bureau of the Budget, are not used predominantly for post-office purposes, are hereby transferred from the respective agencies in which now vested to the Administrator of General Services, exclusive, however, of all such functions with respect to - (a) any building located in any foreign country; (b) any building located on the grounds of any fort, camp, post, arsenal, navy yard, naval training station, air field, proving ground, military supply depot, or school, or of any similar facility, of the Department of Defense, unless and to such extent as a permit for its use by another agency or agencies shall have been issued by the Secretary of Defense or his duly authorized representative; (c) any building which the Administrator of General Services finds to be a part of a group of buildings which are (1) located in the same vicinity, (2) are utilized wholly or predominantly for the special purposes of the agency having custody thereof, and (3) are not generally suitable for the use of other agencies; and (d) the Treasury Building, the Bureau of Engraving and Printing Building, the buildings occupied by the National Bureau of Standards, and the buildings under the jurisdiction of the regents of the Smithsonian Institution. (References to National Bureau of Standards deemed to refer to National Institute of Standards and Technology pursuant to section 5115(c) of Pub. L. 100-418, set out as a Change of Name note under 15 U.S.C. 271.) SEC. 3. PERFORMANCE OF TRANSFERRED FUNCTIONS (a) The Administrator of General Services may from time to time make such provisions as he shall deem appropriate authorizing the performance by any other officer, or by any agency or employee, of the General Services Administration of any function transferred to such Administrator by the provisions of this reorganization plan. (b) When authorized by the Administrator of General Services, any function transferred to him by the provisions of this reorganization plan may be performed by the head of any agency of the executive branch of the Government or, subject to the direction and control of any such agency head, by such officers, employees, and organizational units under the jurisdiction of such agency head as such agency head may designate: Provided, That functions with respect to post-office buildings shall not be delegated under the authority of this subsection to the head of any agency other than the Postmaster General. (c) The Administrator of General Services shall prescribe such regulations as he deems desirable for the economical and effective performance of the functions transferred by the provisions of this reorganization plan. SEC. 4. TRANSFER OF PERSONNEL, PROPERTY, RECORDS, AND FUNDS There shall be transferred from time to time, between the agencies concerned and for use in connection with the functions transferred by the provisions of this reorganization plan, so much of the personnel, property, records, and unexpended balances (available or to be made available) of appropriations, allocations, and other funds, relating to such functions, as may be necessary for the performance of said functions. Such further measures and dispositions as the Director of the Bureau of the Budget shall determine to be necessary in order to effectuate the transfers provided for in this section shall be carried out in such manner as the Director shall direct and by such agencies as he shall designate. SEC. 5. EFFECTIVE DATE The provisions of this reorganization plan shall take effect on the 1st day of July, 1950. MESSAGE OF THE PRESIDENT To the Congress of the United States: I transmit herewith Reorganization Plan No. 18 of 1950, prepared in accordance with the provisions of the Reorganization Act of 1949. The plan transfers to the Administrator of General Services the functions of the various Federal agencies with respect to leasing and assigning general-purpose space in buildings and the operation, maintenance, and custody of office buildings. Since such authority is already largely concentrated in the General Services Administration with respect to the District of Columbia, the plan principally relates to the administration of these functions in the field. The transfers made by this plan will promote more economical leasing, better utilization of building space, and more efficient operation of Government-controlled office buildings. They will effectuate the recommendations of the Commission on Organization of the Executive Branch of the Government with respect to concentrating in the General Services Administration the responsibility for space allotment and the operation of Government buildings outside of the District of Columbia. Likewise, they will extend the principles laid down by the Congress in enacting the Federal Property and Administrative Services Act of 1949 to another important area of Government-wide administrative services - the administration of Government office buildings and general-purpose building space in the field. Within the District of Columbia, one agency, the Public Buildings Service of the General Services Administration, has long had the operation and custody of most Government buildings and the leasing and assignment of space for executive agencies. Thus, nearly all requests for building space are handled by a single organization which is responsible for seeing that agencies are properly and efficiently housed. This arrangement has proved its worth and has repeatedly been approved by the Congress. Outside of the National Capital, however, responsibility for the acquisition and control of building space and the operation of Government buildings is widely diffused. A variety of agencies operate and control general-purpose buildings. If quarters are not available in Federal buildings, each agency ordinarily does its own leasing. As a result, in some cases Federal agencies have contracted for space at high rentals at the very time that other agencies have been giving up surplus low-cost space. The assignment of space in Government-owned buildings outside of Washington is also divided among a number of agencies. While the Public Buildings Service constructs a large part of the Government buildings, it operates and controls the assignment of space in only a small proportion of them. The Post Office Department operates and allocates the space in post-office buildings, several hundred of which contain substantial amounts of office space available for other agencies. During and immediately after the war several other Federal agencies acquired office buildings in the field. As their activities have contracted, surplus space in many of these structures has become available for other uses. This plan concentrates in the General Services Administration the responsibility for the leasing and assignment of what is termed general-purpose building space; that is, space which is suitable for the uses of a number of Federal agencies. It specifically excludes space in buildings at military posts, arsenals, navy yards, and similar defense installations and space in hospitals, laboratories, factories, and other special-purpose buildings. Also, the plan excludes the Post Office Department from the transfer of leasing authority since the Department has a highly developed organization for this purpose, and it limits the transfer of space assignment authority in post-office buildings to the space not occupied by the Department. Further, it gives the needs of the Post Office Department priority in the assignment of space in post-office buildings. Thus, the plan amply safeguards the interests of the Post Office Department while making it possible to include the general office space in post-office buildings in any given city with other similar space under Federal control in planning and executing an efficient program for housing Government agencies in that area. In addition, the plan transfers to the General Services Administration the operation, maintenance, and custody of office buildings owned or leased by the Government, including those post-office buildings which are not used predominantly for post-office purposes. This will make it possible to establish a single organization for the operation and maintenance of Government office buildings in principal cities in the field as has proved desirable in the National Capital. Since many post offices are in fact primarily large office buildings, the plan includes in this transfer the post-office buildings which are not used predominantly for post-office purposes. This will relieve the Post Office Department of a considerable expenditure for building operation and maintenance which properly should not be charged against postal revenues. While the plan effects a broad transfer of functions with respect to leasing and assignment of space and the operation and maintenance of office buildings, it specifically authorizes the Administrator of General Services to delegate the performance of any part of these functions to other agencies subject to such regulations as he deems desirable for economical and effective administration. In this the plan follows the pattern adopted by the Federal Property and Administrative Services Act of 1949 for other branches of property management. In large urban centers where numerous Federal units are located unified administration of space activities by the General Services Administration will normally be advantageous. On the other hand, in the smaller communities it will no doubt be desirable to delegate the work back to the agencies directly affected, to be carried on under standards laid down by the Administrator of General Services. The plan provides ample flexibility for working out the most effective administrative arrangement for each type of situation. The fundamental soundness and economy of centralized administration of building space have been amply demonstrated in the National Capital. By virtue of unified control it has been possible since the war to accomplish far-reaching changes which have consolidated agencies in much fewer locations, released many of the rented buildings, and greatly reduced the cost of housing the Government establishment. Similar procedures applied in the larger centers of field activity should produce substantial savings. After investigation, I have found, and hereby declare, that each reorganization contained in this plan is necessary to accomplish one or more of the purposes set forth in section 2(a) of the Reorganization Act of 1949. While it is not possible at this time to calculate the reduction in expenditures which will result from this plan, it can safely be predicted that it will produce substantial savings. I am confident that this reorganization plan will constitute a significant improvement in Federal business practice and will bring about an important increase in efficiency in housing Government agencies. Harry S. Truman. The White House, March 13, 1950. ------DocID 23901 Document 143 of 1438------ -CITE- 18 USC Sec. 351 -EXPCITE- TITLE 18 PART I CHAPTER 18 -HEAD- Sec. 351. Congressional, Cabinet, and Supreme Court assassination, kidnaping, and assault; penalties -STATUTE- (a) Whoever kills any individual who is a Member of Congress or a Member-of-Congress-elect, a member of the executive branch of the Government who is the head, or a person nominated to be head during the pendency of such nomination, of a department listed in section 101 of title 5 or the second ranking official in such department, the Director (or a person nominated to be Director during the pendency of such nomination) or Deputy Director of Central Intelligence, a major Presidential or Vice Presidential candidate (as defined in section 3056 of this title), or a Justice of the United States, as defined in section 451 of title 28, or a person nominated to be a Justice of the United States, during the pendency of such nomination, shall be punished as provided by sections 1111 and 1112 of this title. (b) Whoever kidnaps any individual designated in subsection (a) of this section shall be punished (1) by imprisonment for any term of years or for life, or (2) by death or imprisonment for any term of years or for life, if death results to such individual. (c) Whoever attempts to kill or kidnap any individual designated in subsection (a) of this section shall be punished by imprisonment for any term of years or for life. (d) If two or more persons conspire to kill or kidnap any individual designated in subsection (a) of this section and one or more of such persons do any act to effect the object of the conspiracy, each shall be punished (1) by imprisonment for any term of years or for life, or (2) by death or imprisonment for any term of years or for life, if death results to such individual. (e) Whoever assaults any person designated in subsection (a) of this section shall be fined not more than $5,000, or imprisoned not more than one year, or both; and if personal injury results, shall be fined not more than $10,000, or imprisoned for not more than ten years, or both. (f) If Federal investigative or prosecutive jurisdiction is asserted for a violation of this section, such assertion shall suspend the exercise of jurisdiction by a State or local authority, under any applicable State or local law, until Federal action is terminated. (g) Violations of this section shall be investigated by the Federal Bureau of Investigation. Assistance may be requested from any Federal, State, or local agency, including the Army, Navy, and Air Force, any statute, rule, or regulation to the contrary notwithstanding. (h) In a prosecution for an offense under this section the Government need not prove that the defendant knew that the victim of the offense was an individual protected by this section. (i) There is extraterritorial jurisdiction over the conduct prohibited by this section. -SOURCE- (Added Pub. L. 91-644, title IV, Sec. 15, Jan. 2, 1971, 84 Stat. 1891, and amended Pub. L. 97-285, Sec. 1, 2(a), Oct. 6, 1982, 96 Stat. 1219; Pub. L. 99-646, Sec. 62, Nov. 10, 1986, 100 Stat. 3614; Pub. L. 100-690, title VII, Sec. 7074, Nov. 18, 1988, 102 Stat. 4405.) -MISC1- AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 inserted a comma after 'section 3056 of this title)'. 1986 - Subsec. (a). Pub. L. 99-646, Sec. 62(1), inserted 'a major Presidential or Vice Presidential candidate (as defined in section 3056 of this title)'. Subsec. (h). Pub. L. 99-646, Sec. 62(2), substituted 'individual' for 'official'. 1982 - Pub. L. 97-285, Sec. 2(a), substituted 'Congressional, Cabinet, and Supreme Court assassination, kidnaping, and assault; penalties' for 'Congressional assassination, kidnaping, and assault' in section catchline. Subsec. (a). Pub. L. 97-285, Sec. 1(a), expanded coverage of subsec. (a) to cover the killing of any individual who is a member of the executive branch of the Government and the head, or a person nominated to be head during the pendency of such nomination, of a department listed in section 101 of title 5 or the second ranking official in such department, the Director (or a person nominated to be Director during the pendency of such nomination) or Deputy Director of Central Intelligence, or a Justice of the United States, as defined in section 451 of title 28, or a person nominated to be a Justice of the United States, during the pendency of such nomination. Subsecs. (h), (i). Pub. L. 97-285, Sec. 1(b), added subsecs. (h) and (i). REPORT TO MEMBER OF CONGRESS ON INVESTIGATION CONDUCTED SUBSEQUENT TO THREAT ON MEMBER'S LIFE Pub. L. 95-624, Sec. 19, Nov. 9, 1978, 92 Stat. 3466, provided that: 'The Federal Bureau of Investigation shall provide a written report to a Member of Congress on any investigation conducted based on a threat on the Member's life under section 351 of title 18 of the United States Code.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 209, 2516 of this title; title 5 section 8112; title 22 section 2709. ------DocID 23902 Document 144 of 1438------ -CITE- 18 USC CHAPTER 19 -EXPCITE- TITLE 18 PART I CHAPTER 19 -HEAD- CHAPTER 19 - CONSPIRACY -MISC1- Sec. 371. Conspiracy to commit offense or to defraud United States. 372. Conspiracy to impede or injure officer. 373. Solicitation to commit a crime of violence. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 1003(b), Oct. 12, 1984, 98 Stat. 2138, added item 373. ------DocID 23903 Document 145 of 1438------ -CITE- 18 USC Sec. 371 -EXPCITE- TITLE 18 PART I CHAPTER 19 -HEAD- Sec. 371. Conspiracy to commit offense or to defraud United States -STATUTE- If two or more persons conspire either to commit any offense against the United States, or to defraud the United States, or any agency thereof in any manner or for any purpose, and one or more of such persons do any act to effect the object of the conspiracy, each shall be fined not more than $10,000 or imprisoned not more than five years, or both. If, however, the offense, the commission of which is the object of the conspiracy, is a misdemeanor only, the punishment for such conspiracy shall not exceed the maximum punishment provided for such misdemeanor. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 701.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 88, 294 (Mar. 4, 1909, ch. 321, Sec. 37, 35 Stat. 1096; Mar. 4, 1909, ch. 321, Sec. 178a, as added Sept. 27, 1944, ch. 425, 58 Stat. 752). This section consolidates said sections 88 and 294 of title 18, U.S.C., 1940 ed. To reflect the construction placed upon said section 88 by the courts the words 'or any agency thereof' were inserted. (See Haas v. Henkel, 1909, 30 S. Ct. 249, 216 U. S. 462, 54 L. Ed. 569, 17 Ann. Cas. 1112, where court said: 'The statute is broad enough in its terms to include any conspiracy for the purpose of impairing, obstructing, or defeating the lawful functions of any department of government.' Also, see United States v. Walter, 1923, 44 S. Ct. 10, 263 U. S. 15, 68 L. Ed. 137, and definitions of department and agency in section 6 of this title.) The punishment provision is completely rewritten to increase the penalty from 2 years to 5 years except where the object of the conspiracy is a misdemeanor. If the object is a misdemeanor, the maximum imprisonment for a conspiracy to commit that offense, under the revised section, cannot exceed 1 year. The injustice of permitting a felony punishment on conviction for conspiracy to commit a misdemeanor is described by the late Hon. Grover M. Moscowitz, United States district judge for the eastern district of New York, in an address delivered March 14, 1944, before the section on Federal Practice of the New York Bar Association, reported in 3 Federal Rules Decisions, pages 380-392. Hon. John Paul, United States district judge for the western district of Virginia, in a letter addressed to Congressman Eugene J. Keogh dated January 27, 1944, stresses the inadequacy of the 2-year sentence prescribed by existing law in cases where the object of the conspiracy is the commission of a very serious offense. The punishment provision of said section 294 of title 18 was considered for inclusion in this revised section. It provided the same penalties for conspiracy to violate the provisions of certain counterfeiting laws, as are applicable in the case of conviction for the specific violations. Such a punishment would seem as desirable for all conspiracies as for such offenses as counterfeiting and transporting stolen property in interstate commerce. A multiplicity of unnecessary enactments inevitably leads to confusion and disregard of law. (See reviser's note under section 493 of this title.) Since consolidation was highly desirable and because of the strong objections of prosecutors to the general application of the punishment provision of said section 294, the revised section represents the best compromise that could be devised between sharply conflicting views. A number of special conspiracy provisions, relating to specific offenses, which were contained in various sections incorporated in this title, were omitted because adequately covered by this section. A few exceptions were made, (1) where the conspiracy would constitute the only offense, or (2) where the punishment provided in this section would not be commensurate with the gravity of the offense. Special conspiracy provisions were retained in sections 241, 286, 372, 757, 794, 956, 1201, 2271, 2384 and 2388 of this title. Special conspiracy provisions were added to sections 2153 and 2154 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Civil rights, conspiracy against, see section 241 of this title. Claims; conspiracy to obtain allowance or payment, see section 286 of this title. Conspiracy to - Cast away or destroy vessel, see section 2271 of this title. Gather defense information, see section 794 of this title. Injure property of foreign government, see section 956 of this title. Kidnap, see section 1201 of this title. Limitation period on conspiracy of attempting to evade or defeat any tax or the payment thereof, see section 6531 of Title 26, Internal Revenue Code. Seditious conspiracy, see section 2384 of this title. Wire or oral communications, authorization for interception, to provide evidence of conspiracies to commit certain offenses, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1345 of this title; title 22 section 2778; title 26 section 6531; title 42 section 3795b; title 50 App. section 18. ------DocID 23904 Document 146 of 1438------ -CITE- 18 USC Sec. 372 -EXPCITE- TITLE 18 PART I CHAPTER 19 -HEAD- Sec. 372. Conspiracy to impede or injure officer -STATUTE- If two or more persons in any State, Territory, Possession, or District conspire to prevent, by force, intimidation, or threat, any person from accepting or holding any office, trust, or place of confidence under the United States, or from discharging any duties thereof, or to induce by like means any officer of the United States to leave the place, where his duties as an officer are required to be performed, or to injure him in his person or property on account of his lawful discharge of the duties of his office, or while engaged in the lawful discharge thereof, or to injure his property so as to molest, interrupt, hinder, or impede him in the discharge of his official duties, each of such persons shall be fined not more than $5,000 or imprisoned not more than six years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 701.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 54 (Mar. 4, 1909, ch. 321, Sec. 21, 35 Stat. 1092). Scope of section was enlarged to cover all possessions of the United States. When the section was first enacted in 1861 there were no possessions, and hence the use of the words 'State or Territory' was sufficient to describe the area then subject to the jurisdiction of the United States. The word 'District' was inserted by the codifiers of the 1909 Criminal Code. ------DocID 23905 Document 147 of 1438------ -CITE- 18 USC Sec. 373 -EXPCITE- TITLE 18 PART I CHAPTER 19 -HEAD- Sec. 373. Solicitation to commit a crime of violence -STATUTE- (a) Whoever, with intent that another person engage in conduct constituting a felony that has as an element the use, attempted use, or threatened use of physical force against property or against the person of another in violation of the laws of the United States, and under circumstances strongly corroborative of that intent, solicits, commands, induces, or otherwise endeavors to persuade such other person to engage in such conduct, shall be imprisoned not more than one-half the maximum term of imprisonment or fined not more than one-half of the maximum fine prescribed for the punishment of the crime solicited, or both; or if the crime solicited is punishable by life imprisonment or death, shall be imprisoned for not more than twenty years. (b) It is an affirmative defense to a prosecution under this section that, under circumstances manifesting a voluntary and complete renunciation of his criminal intent, the defendant prevented the commission of the crime solicited. A renunciation is not 'voluntary and complete' if it is motivated in whole or in part by a decision to postpone the commission of the crime until another time or to substitute another victim or another but similar objective. If the defendant raises the affirmative defense at trial, the defendant has the burden of proving the defense by a preponderance of the evidence. (c) It is not a defense to a prosecution under this section that the person solicited could not be convicted of the crime because he lacked the state of mind required for its commission, because he was incompetent or irresponsible, or because he is immune from prosecution or is not subject to prosecution. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1003(a), Oct. 12, 1984, 98 Stat. 2138, and amended Pub. L. 99-646, Sec. 26, Nov. 10, 1986, 100 Stat. 3597.) -MISC1- AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646 substituted 'property or against the person of another' for 'the person or property of another' and inserted 'life imprisonment or' before 'death'. ------DocID 23906 Document 148 of 1438------ -CITE- 18 USC CHAPTER 21 -EXPCITE- TITLE 18 PART I CHAPTER 21 -HEAD- CHAPTER 21 - CONTEMPTS -MISC1- Sec. 401. Power of court. 402. Contempts constituting crimes. 403. Protection of the privacy of child victims and child witnesses. AMENDMENTS 1990 - Pub. L. 101-647, title II, Sec. 225(b)(2), Nov. 29, 1990, 104 Stat. 4806, added item 403. 1949 - Act May 24, 1949, ch. 139, Sec. 8(a), (b), 63 Stat. 90, struck out 'CONSTITUTING CRIMES' in chapter heading and substituted 'Contempts constituting crimes' for 'Criminal contempts' in item 402. ------DocID 23907 Document 149 of 1438------ -CITE- 18 USC Sec. 401 -EXPCITE- TITLE 18 PART I CHAPTER 21 -HEAD- Sec. 401. Power of court -STATUTE- A court of the United States shall have power to punish by fine or imprisonment, at its discretion, such contempt of its authority, and none other, as - (1) Misbehavior of any person in its presence or so near thereto as to obstruct the administration of justice; (2) Misbehavior of any of its officers in their official transactions; (3) Disobedience or resistance to its lawful writ, process, order, rule, decree, or command. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 701.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 385 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 268, 36 Stat. 1163). Said section 385 conferred two powers. The first part authorizing courts of the United States to impose and administer oaths will remain in title 28, U.S.C., 1940 ed., Judicial Code and Judiciary. The second part relating to contempt of court constitutes this section. Changes in phraseology and arrangement were made. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Prosecution of criminal contempt by summary disposition or notice and hearing, see rule 42, Appendix to this title. Statutory provisions defining criminal contempts, see Notes of Advisory Committee on Rules, rule 42. CROSS REFERENCES Foreign witnesses, see section 1784 of Title 28, Judiciary and Judicial Procedure. Garnishee, failure to appear at term for which summoned, as contempt, see section 2405 of Title 28. Obstruction of justice, see section 1501 et seq. of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3148 of this title. ------DocID 23908 Document 150 of 1438------ -CITE- 18 USC Sec. 402 -EXPCITE- TITLE 18 PART I CHAPTER 21 -HEAD- Sec. 402. Contempts constituting crimes -STATUTE- Any person, corporation or association willfully disobeying any lawful writ, process, order, rule, decree, or command of any district court of the United States or any court of the District of Columbia, by doing any act or thing therein, or thereby forbidden, if the act or thing so done be of such character as to constitute also a criminal offense under any statute of the United States or under the laws of any State in which the act was committed, shall be prosecuted for such contempt as provided in section 3691 of this title and shall be punished by fine or imprisonment, or both. Such fine shall be paid to the United States or to the complainant or other party injured by the act constituting the contempt, or may, where more than one is so damaged, be divided or apportioned among them as the court may direct, but in no case shall the fine to be paid to the United States exceed, in case the accused is a natural person, the sum of $1,000, nor shall such imprisonment exceed the term of six months. This section shall not be construed to relate to contempts committed in the presence of the court, or so near thereto as to obstruct the administration of justice, nor to contempts committed in disobedience of any lawful writ, process, order, rule, decree, or command entered in any suit or action brought or prosecuted in the name of, or on behalf of, the United States, but the same, and all other cases of contempt not specifically embraced in this section may be punished in conformity to the prevailing usages at law. For purposes of this section, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 701; May 24, 1949, ch. 139, Sec. 8(c), 63 Stat. 90; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1205(c), 104 Stat. 4830.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 386, 387, 389, and 390a of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Oct. 15, 1914, ch. 323, Sec. 1, 21, 22, 24, 38 Stat. 730, 738, 739). Section 21 of the Clayton Act, section 386 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, is here consolidated with parts of sections 1, 22, and 24 of the same act. Section 1 of said act, section 390a of title 28 U.S.C., 1940 ed., Judicial Code and Judiciary, defined person or persons. Section 22 of said act, section 387 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, regulated the procedure and provided for the punishment of contempts. Section 24 of said act, section 389 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, limited the application of these sections to certain kinds of contempt. In transferring these sections to this title and in consolidating them numerous changes of phraseology were necessary which do not, however, change their meaning or substance. Words 'corporation or association' were inserted after 'any person' in substitution for the definition provisions of section 390a of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, which read as follows: 'The word 'person' or 'persons' wherever used in sections 381-383, 386-390a of this title, sections 12, 13, 14-19, 20, 21, 22-27 and 44 of title 15, and section 412 of title 18 shall be deemed to include corporations and associations existing under or authorized by the laws of either the United States, the laws of any of the Territories, the laws of any State, or the laws of any foreign country.' The words 'any person, corporation, or association,' unqualified except by the context of the section mean all that the more lengthy definition included. Only those persons, corporations, and associations who were parties to the order or had actual notice of it may be punished for contempt. (See McCauly v. First Trust & Savings Bank, C.C.A. Ill. 1921, 276 F. 117. See, also National Labor Relations Board v. Blackstone Mfg. Co., C.C.A. 1941, 123 F. 2d 633.) The fact that the contemnor was incorporated or organized under a foreign law or under the laws of a particular State or Territory would hardly be relevant to the issue of criminal contempt. As noted above these sections were part of the Clayton Act, entitled 'An act to supplement existing laws against unlawful restraints and monopolies, and for other purposes.' Whatever doubt might have existed as to whether the contempt provisions were variously limited to antitrust cases seems to be dispelled by the case of Sandefur v. Canoe Creek Coal Co. (C.C.A. Ky. 1923, 293 F. 379, certified question answered 45 S. Ct. 18, 266 U.S. 42, 69 L. Ed. 162, 35 A.L.R. 451), where the court says: 'The act, considered as a whole, covers several more or less distinct subjects. * * * The first eight sections pertain directly to the subject of trust and monopolies; section 9 concerns interstate commerce; section 10, combinations among common carriers; section 11, proceedings to enforce certain provisions of the act; sections 12-16, antitrust procedure and remedies; sections 17-19, regulations of injunction and restraining orders in all cases; section 20 limits the power of an equity court to issue any injunction in a certain class of cases, viz., between employer and the employee; and sections 21-24 pertain to procedure in any district court, punishing contemptuous disregard of any order of such court, providing the act constituting contempt is also a criminal offense. Observing this relation of the various parts of the act to each other, we think 'within the purview of this act' must refer to that portion of the act which most broadly covers the subject-matter to which section 22 is devoted, and this portion is section 21, which reaches all cases where the act of contempt is also a criminal offense. We know of nothing in the legislative history of the act, or within the common knowledge as to the then existing situation, which justifies us in thinking that 'within the purview of this act,' in section 22, meant to limit its effect to the employer-employee provisions of section 20, or even to the antitrust scope of some of the earlier sections.' (See also Michaelson v. United States, 1924, 45 S. Ct. 18, 166 U.S. 42, 69 L. Ed. 162, 35 A.L.R. 451, and H. Rept. No. 613, 62d Cong., 2d sess., to accompany H.R. 15657.) 1949 ACT This amendment (see section 8) corrects the catchline of section 402 of title 18, U.S.C., to better represent the section content. AMENDMENTS 1990 - Pub. L. 101-647 added par. defining 'State'. 1949 - Act May 24, 1949, substituted 'Contempts constituting crimes' for 'Criminal contempts' in section catchline. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Criminal contempt procedure, see rule 42, Appendix to this title. CROSS REFERENCES Applicability of this section to the insurance business, see sections 1011 to 1015 of Title 15, Commerce and Trade. District Courts given jurisdiction over orders of Interstate Commerce Commission, see section 1336 of Title 28, Judiciary and Judicial Procedure. Limitation of proceedings, see section 3285 of this title. Witness' failure to appear before foreign court to answer interrogatories of United States courts made contempt, see section 1784 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3285 of this title; title 21 section 332. ------DocID 23909 Document 151 of 1438------ -CITE- 18 USC Sec. 403 -EXPCITE- TITLE 18 PART I CHAPTER 21 -HEAD- Sec. 403. Protection of the privacy of child victims and child witnesses -STATUTE- A knowing or intentional violation of the privacy protection accorded by section 3509 of this title is a criminal contempt punishable by not more than one year's imprisonment, or a fine under this title, or both. -SOURCE- (Added Pub. L. 101-647, title II, Sec. 225(b)(1), Nov. 29, 1990, 104 Stat. 4805.) ------DocID 23910 Document 152 of 1438------ -CITE- 18 USC CHAPTER 23 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- CHAPTER 23 - CONTRACTS -MISC1- Sec. 431. Contracts by Member of Congress. 432. Officer or employee contracting with Member of Congress. 433. Exemptions with respect to certain contracts. (434. Repealed.) 435. Contracts in excess of specific appropriation. 436. Convict labor contracts. 437. Federal employees contracting or trading with Indians.. (FOOTNOTE 1) (FOOTNOTE 1) So in original. 438. Indian contracts for services generally. 439. Indian enrollment contracts. 440. Mail contracts. 441. Postal supply contracts. 442. Printing contracts. 443. War contracts. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3512, Nov. 29, 1990, 104 Stat. 4922, struck out item 434 'Interested persons acting as Government agents' and substituted 'Federal employees contracting or trading with Indians.' for 'Indian contracts for goods and supplies' in item 437. 1951 - Act Oct. 31, 1951, ch. 655, Sec. 18, 65 Stat. 717, struck out '; exceptions' from item 431. ------DocID 23911 Document 153 of 1438------ -CITE- 18 USC Sec. 431 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 431. Contracts by Member of Congress -STATUTE- Whoever, being a Member of or Delegate to Congress, or a Resident Commissioner, either before or after he has qualified, directly or indirectly, himself, or by any other person in trust for him, or for his use or benefit, or on his account, undertakes, executes, holds, or enjoys, in whole or in part, any contract or agreement, made or entered into in behalf of the United States or any agency thereof, by any officer or person authorized to make contracts on its behalf, shall be fined not more than $3,000. All contracts or agreements made in violation of this section shall be void; and whenever any sum of money is advanced by the United States or any agency thereof, in consideration of any such contract or agreement, it shall forthwith be repaid; and in case of failure or refusal to repay the same when demanded by the proper officer of the department or agency under whose authority such contract or agreement shall have been made or entered into, suit shall at once be brought against the person so failing or refusing and his sureties for the recovery of the money so advanced. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 702; Oct. 31, 1951, ch. 655, Sec. 19, 65 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 204 (Mar. 4, 1909, ch. 321, Sec. 114, 35 Stat. 1109). Word 'agency' was inserted in three places to eliminate any ambiguity as to scope of section. (See definition of department or agency under section 6 of this title.) Minor changes were made in phraseology. AMENDMENTS 1951 - Act Oct. 31, 1951, struck out '; exceptions', after 'Congress' in section catchline. -CROSS- CROSS REFERENCES Contracts not affected by this section, see section 433 of this title. Counterfeiting and forgery of contracts, see section 495 of this title. Interest in contracts with government prohibited, see section 22 of Title 41, Public Contracts. Loans or payments made under Agricultural Adjustment Act of 1938 as not affected by this section, see section 1386 of Title 7, Agriculture. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 433 of this title; title 7 section 1386; title 15 section 714m; title 22 section 2676. ------DocID 23912 Document 154 of 1438------ -CITE- 18 USC Sec. 432 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 432. Officer or employee contracting with Member of Congress -STATUTE- Whoever, being an officer or employee of the United States, on behalf of the United States or any agency thereof, directly or indirectly makes or enters into any contract, bargain, or agreement, with any Member of or Delegate to Congress, or any Resident Commissioner, either before or after he has qualified, shall be fined not more than $3,000. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 702.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 205 (Mar. 4, 1909, ch. 321, Sec. 115, 35 Stat. 1109). Words 'agency' and 'employee' were inserted to eliminate any ambiguity as to scope of section. (See definition of agency under section 6 of this title.) Changes were made in phraseology. -CROSS- CROSS REFERENCES Contracts not affected by this section, see section 433 of this title. Loans or payments made under Agricultural Adjustment Act of 1938 as not affected by this section, see section 1386 of Title 7, Agriculture. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 433 of this title; title 7 section 1386; title 15 section 714m. ------DocID 23913 Document 155 of 1438------ -CITE- 18 USC Sec. 433 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 433. Exemptions with respect to certain contracts -STATUTE- Sections 431 and 432 of this title shall not extend to any contract or agreement made or entered into, or accepted by any incorporated company for the general benefit of such corporation; nor to the purchase or sale of bills of exchange or other property where the same are ready for delivery and payment therefor is made at the time of making or entering into the contract or agreement. Nor shall the provisions of such sections apply to advances, loans, discounts, purchase or repurchase agreements, extensions, or renewals thereof, or acceptances, releases or substitutions of security therefor or other contracts or agreements made or entered into under the Reconstruction Finance Corporation Act, the Agricultural Adjustment Act, the Federal Farm Loan Act, the Emergency Farm Mortgage Act of 1933, the Farm Credit Act of 1933, or the Home Owners Loan Act of 1933, the Farmers' Home Administration Act of 1946, the Bankhead-Jones Farm Tenant Act, or to crop insurance agreements or contracts or agreements of a kind which the Secretary of Agriculture may enter into with farmers. Any exemption permitted by this section shall be made a matter of public record. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 703; Oct. 4, 1961, Pub. L. 87-353, Sec. 3(o), 75 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1514(f) of title 7, U.S.C., 1940 ed., Agriculture; sections 264w, 598, 1138d(e), 1441(e), 1467(d) of title 12, U.S.C., 1940 ed., Banks and Banking; section 616(e) of title 15, U.S.C., 1940 ed., Commerce and Trade; title 18, U.S.C., 1940 ed., Sec. 206 (Mar. 4, 1909, ch. 321, Sec. 116, 35 Stat. 1109; Dec. 23, 1913, ch. 6, Sec. 22(j), as added June 19, 1934, ch. 653, Sec. 3, 48 Stat. 1107; Jan. 22, 1932, ch. 8, Sec. 16(e), 47 Stat. 12; July 22, 1932, ch. 522, Sec. 21, 47 Stat. 738; June 13, 1933, ch. 64, Sec. 8, 48 Stat. 135; June 16, 1933, ch. 98, Sec. 64, 48 Stat. 268, 269; Jan. 25, 1934, ch. 5, 48 Stat. 337; Jan. 31, 1934, ch. 7, Sec. 13, 48 Stat. 347; June 27, 1934, ch. 847, title V, Sec. 510, 58 Stat. 1264; May 28, 1935, ch. 150, Sec. 20, 21, 49 Stat. 298; Aug. 23, 1935, ch. 614, Sec. 101, 49 Stat. 703; Aug. 26, 1937, ch. 821, 50 Stat. 838; Feb. 16, 1938, ch. 30, title V, Sec. 514, 52 Stat. 77). These sections were consolidated with such changes of phraseology as were necessary to effect consolidation. Said section 206 of title 18, U.S.C., 1940 ed., was the principal source of this section, but the enumeration of the kinds of commitments exempted was drawn from the various sections of said title 12 set forth above. The reference to crop insurance agreements is drawn from section 1514(f) of Title 7, Agriculture. The applicability provisions of the sections here consolidated were unclear and of doubtful value. As revised the section preserves everything of value without change of substance. References to the Bankhead-Jones Farm Tenant Act and the Farmers' Home Administrative Act of 1946 were included in this revised section notwithstanding the omission (and consequent repeal) of former subsection (d) of section 52 of the said Bankhead-Jones Act (1937) (Title 7, U.S.C., 1940 ed., Sec. 1026) in the amendment of said section 52 of such Act by section 3 of the said Farmers' Home Administration Act of 1946 (August 14, 1946, ch. 964, 60 Stat. 1062). The essential nature of the transactions under the several acts would render inconsistent any attempt to include some and exclude others. -REFTEXT- REFERENCES IN TEXT The Reconstruction Finance Corporation Act, referred to in text, is act Jan. 22, 1932, ch. 8, 47 Stat. 5, as amended, which was classified to chapter 14 (Sec. 601 et seq.) of Title 15, Commerce and Trade, and has been eliminated from the Code. For complete classification of this Act prior to its elimination from the Code, see Tables. The Agricultural Adjustment Act, referred to in text, is title I of act May 12, 1933, ch. 25, 48 Stat. 31, as amended, which is classified generally to chapter 26 (Sec. 601 et seq.) of Title 7, Agriculture. For complete classification of this Act to the Code, see Short Title note set out under section 601 of Title 7 and Tables. The Federal Farm Loan Act, referred to in text, is act July 17, 1916, ch. 245, 39 Stat. 360, as amended, which was classified principally to sections 641 et seq. of Title 12, Banks and Banking. The Federal Farm Loan Act, as amended, was repealed by section 5.26(a) of the Farm Credit Act of 1971, Pub. L. 92-181, Dec. 10, 1971, 85 Stat. 624. Section 5.26(a) of the Farm Credit Act of 1971 also provided that all references in other legislation to the Acts repealed thereby 'shall be deemed to refer to comparable provisions of this Act'. For further details, see notes under section 2001 of Title 12. For complete classification of the Federal Farm Loan Act to the Code prior to such repeal, see Tables. The Emergency Farm Mortgage Act of 1933, referred to in text, is title II of act May 12, 1933, ch. 25, 48 Stat. 31, as amended. Such title II was substantially repealed by act June 30, 1947, ch. 166, title II, Sec. 206(c), 61 Stat. 208; act Aug. 6, 1953, ch. 335, Sec. 19, 67 Stat. 400; act Oct. 4, 1961, Pub. L. 87-353, Sec. 3(a), (b), (w), 75 Stat. 773, 774; act Dec. 10, 1971, Pub. L. 92-181, title V, Sec. 5.26(a), 85 Stat. 624. For complete classification of this Act to the Code, see Tables. The Farm Credit Act of 1933, referred to in text, is act June 16, 1933, ch. 98, 48 Stat. 2, as amended, which was classified principally to subchapter IV (Sec. 1131 et seq.) of chapter 7 of Title 12, Banks and Banking. The Farm Credit Act of 1933, as amended, was repealed by section 5.26(a) of the Farm Credit Act of 1971, Pub. L. 92-181, Dec. 10, 1971, 85 Stat. 624. Section 5.26(a) of the Farm Credit Act of 1971 also provided that all references in other legislation to the Acts repealed thereby 'shall be deemed to refer to comparable provisions of this Act'. For further details, see notes under section 2001 of Title 12. For complete classification of the Farm Credit Act of 1933 to the Code prior to such repeal, see Tables. The Home Owners Loan Act of 1933, referred to in text, is act June 13, 1933, ch. 64, 48 Stat. 128, as amended, which is classified generally to chapter 12 (Sec. 1461 et seq.) of Title 12. For complete classification of this Act to the Code, see section 1461 of Title 12 and Tables. The Farmers' Home Administration Act of 1946, referred to in text, is act Aug. 14, 1946, ch. 964, 60 Stat. 1062, as amended. Such Act was substantially repealed by act June 25, 1948, ch. 645, Sec. 21, 62 Stat. 862, and act Aug. 8, 1961, Pub. L. 87-128, title III, Sec. 341(a), 75 Stat. 318. For complete classification of this Act to the Code, see Tables. The Bankhead-Jones Farm Tenant Act, referred to in text, is act July 22, 1937, ch. 517, 50 Stat. 522, as amended, which is classified generally to chapter 33 (Sec. 1000 et seq.) of Title 7, Agriculture. For complete classification of this Act to the Code, see section 1000 of Title 7 and Tables. -MISC2- AMENDMENTS 1961 - Pub. L. 87-353 struck out 'the Federal Farm Mortgage Corporation Act,' after 'the Emergency Farm Mortgage Act of 1933,'. -TRANS- ABOLITION OF RECONSTRUCTION FINANCE CORPORATION The Reconstruction Finance Corporation, which was created by the Reconstruction Finance Corporation Act, referred to in this section, was abolished by section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees. ABOLITION OF HOME OWNERS' LOAN CORPORATION The Home Owners' Loan Corporation, which was created by the Home Owners' Loan Act of 1933, referred to in this section, was dissolved and abolished by act June 30, 1953, ch. 170, Sec. 21, 67 Stat. 126, set out in note under section 1463 of Title 12, Banks and Banking. -CROSS- CROSS REFERENCES Exemptions from requirement of express conditions in contracts involving interest of Member of Congress, see section 22 of Title 41, Public Contracts. Financial control of government corporations, see section 9101 et seq. of Title 31, Money and Finance. Secret Service, detection and arrest of violators, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 23914 Document 156 of 1438------ -CITE- 18 USC Sec. 434 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- (Sec. 434. Repealed. Pub. L. 87-849, Sec. 2, Oct. 23, 1962, 76 Stat. 1126) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 703, related to interested persons acting as Government agents. Section was supplanted by section 208 of this title. EFFECTIVE DATE OF REPEAL Repeal effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as an Effective Date note under section 201 of this title. ------DocID 23915 Document 157 of 1438------ -CITE- 18 USC Sec. 435 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 435. Contracts in excess of specific appropriation -STATUTE- Whoever, being an officer or employee of the United States, knowingly contracts for the erection, repair, or furnishing of any public building, or for any public improvement, to pay a larger amount than the specific sum appropriated for such purpose, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 703.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 184 (Mar. 4, 1909, ch. 321, Sec. 98, 35 Stat. 1106). Words 'or employee' were inserted to remove any ambiguity as to scope of section. The offense described in this section involves no moral turpitude, and therefore the punishment provisions were reduced from $2,000 to $1,000 and from 2 years to 1 year, so that the stigma of a felony would not attach to an offender. (See classification of felony and misdemeanor in section 1 of this title and note thereunder.) Mandatory punishment provisions were rephrased in the alternative. Changes were also made in phraseology. -CROSS- CROSS REFERENCES Appropriations as limiting contracts, see sections 11, 12 of Title 41, Public Contracts. Construction of appropriation acts, see section 1301 of Title 31, Money and Finance. Removal from office and punishment by fine or imprisonment for expenditures in excess of appropriations, see sections 1517, 1518 of Title 31. ------DocID 23916 Document 158 of 1438------ -CITE- 18 USC Sec. 436 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 436. Convict labor contracts -STATUTE- Whoever, being an officer, employee, or agent of the United States or any department or agency thereof, contracts with any person or corporation, or permits any warden, agent, or official of any penal or correctional institution, to hire out the labor of any prisoners confined for violation of any laws of the United States, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 703.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 708, 709 (Feb. 23, 1887, ch. 213, Sec. 1, 2, 24 Stat. 411). This section consolidates sections 708 and 709 of title 18, U.S.C., 1940 ed., as the offense and penalty provisions, respectively. Words 'department or agency thereof' were inserted to clarify scope of section. See definition of department and agency in section 6 of this title. To retain uniformity words 'shall be deemed guilty of a misdemeanor, and,' were omitted. The reference to misdemeanor is now covered by the definition in section 1 of this title. Words 'on conviction thereof' were omitted as unnecessary since punishment can follow only upon conviction. The minimum punishment provisions 'less than one year nor' and 'less than $500 nor' were deleted to conform to the policy followed by codifiers of 1909 Criminal Code. (See reviser's note under section 203 of this title.) Changes were also made in phraseology. -CROSS- CROSS REFERENCES Employment of Federal prisoners in State institutions, see section 4002 of this title. Employment of prisoners confined in Federal prisons, see sections 4121 to 4128 of this title. ------DocID 23917 Document 159 of 1438------ -CITE- 18 USC Sec. 437 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 437. Federal employees contracting or trading with Indians -STATUTE- (a) Except as provided in subsection (b), whoever, being an officer, employee, or agent of the Bureau of Indian Affairs or the Indian Health Service has (other than as a lawful representative of the United States) any interest, in such officer, employee, or agent's name, or in the name of another person where such officer, employee, or agent benefits or appears to benefit from such interest - (1) in any contract made or under negotiation with any Indian, for the purchase or transportation or delivery of goods or supplies for any Indian, or (2) in any purchase or sale of any service or real or personal property (or any interest therein) from or to any Indian, or colludes with any person attempting to obtain any such contract, purchase, or sale, shall be fined not more than $5,000 or imprisoned not more than six months or both, and shall be removed from office, notwithstanding any other provision of law concerning termination from Federal employment. (b)(1) Notwithstanding the provisions of subsection (a) and in accordance with paragraph (2) of this subsection, the President or his designee may prescribe rules and regulations under which any officer, employee, or agent of the Bureau of Indian Affairs or of the Indian Health Service may purchase from or sell to any Indian any service or any real or personal property or any interest therein. (2) No rule or regulation prescribed pursuant to paragraph (1) of this subsection shall permit any officer, employee, or agent referred to in that paragraph - (A) to make any purchase from or sale to an Indian of any real or personal property (or any interest therein) for the purpose of commercially selling, reselling, trading, or bartering such property; or (B) to have any interest in any purchase or sale involving property or funds which are either held in trust by the United States for Indians or which are purchased, sold, utilized, or received in connection with a contract or grant to an Indian from the Bureau of Indian Affairs or the Indian Health Service, if such officer, employee, or agent is employed in the office or installation of such Bureau or Service which recommends, approves, executes, or administers such transaction, grant, or contract on behalf of the United States: Provided, That such officer, employee, or agent may have such an interest if such purchase or sale is approved by the Secretary of the Interior in the case of a Bureau of Indian Affairs officer, employee, or agent, or by the Secretary of Health, Education, and Welfare in the case of an Indian Health Service officer, employee, or agent, or a designee of such Secretary who is not employed at such office or installation: Provided further, That (1) any such designee may not be a relative by blood or marriage of the officer, employee, or agent engaging in such purchase or sale; (2) with respect to purchases or sales by any officer, employee, or agent employed at the reservation, agency, or service unit level, such designee must be employed at not less than one grade level higher than such officer, employee, or agent at the Washington, District of Columbia, central office or at an area office installation other than that with authority over such reservation, agency, or service unit; (3) with respect to purchases or sales by any officer, employee, or agent employed at the area office level, such designee must be employed at not less than one grade level higher than such officer, employee, or agent at the Washington, District of Columbia, central office; and (4) the Secretary must approve purchases or sales by any officer, employee, or agent employed at the Washington, District of Columbia, central office; or (C) to acquire any interest in property held in trust, or subject to restriction against alienation imposed, by the United States unless the conveyance or granting of such interest in such property is otherwise authorized by law. (c) Except as provided in subsection (b)(2), nothing contained in this section shall be construed as preventing any officer, employee, or agent of the Bureau of Indian Affairs or the Indian Health Service who is an Indian, of whatever degree of Indian blood, from obtaining or receiving any benefit or benefits made available to Indians generally or to any member of his or her particular tribe, under any Act of Congress, nor to prevent any such officer, employee, or agent who is an Indian from being a member of or receiving benefits by reason of his or her membership in any Indian tribe, corporation, or cooperative association organized by Indians, when authorized under such rules and regulations as the Secretary of the Interior or the Secretary of Health, Education, and Welfare, or their designee shall prescribe. (d) For purposes of this section, the term 'Indian' means any member of an Indian tribe recognized as eligible for the services provided by the Bureau of Indian Affairs who is residing on a Federal Indian Reservation, on land held in trust by the United States for Indians, or on land subject to a restriction against alienation imposed by the United States. The term shall also include any such tribe and any Indian owned or controlled organization located on such a reservation or land. (e) For purposes of this section, the term 'Bureau of Indian Affairs' means the Bureau of Indian Affairs and the Office of the Assistant Secretary for Indian Affairs, both in the Department of the Interior. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 703; June 17, 1980, Pub. L. 96-277, Sec. 1, 94 Stat. 544.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 87 of title 25, U.S.C., 1940 ed., Indians (June 22, 1874, ch. 389, Sec. 10, 18 Stat. 177). To clarify scope of section words 'department or agency' were substituted for 'of the departments'. (See definitions of department and agency in section 6 of this title.) Word 'officer' was inserted to remove all ambiguity as to scope of section. Words 'The violation of any of the provisions of this section shall be a misdemeanor, and' were omitted as unnecessary in view of definition of misdemeanor in section 1 of this title. The minimum fine clause 'less than $500 nor' was omitted to conform to policy followed by codifiers of 1909 Criminal Code. Changes in phraseology were also made. AMENDMENTS 1980 - Pub. L. 96-277 substituted provisions covering certain Federal employees contracting or trading with Indians for provisions respecting Indian contracts for goods and supplies which prohibited Federal personnel from having any interest, direct or indirect, in Indian contracts for goods and supplies or attempting through collusion to obtain such contracts, punishable by fine not exceeding $5,000, or imprisonment up to six months, or both, and removal from office, covered in subsec. (a) of this section. -CHANGE- CHANGE OF NAME Secretary of Health, Education, and Welfare redesignated Secretary of Health and Human Services by Pub. L. 96-88, title V, Sec. 509(b), Oct. 17, 1979, 93 Stat. 695, which is classified to section 3508(b) of Title 20, Education. -MISC4- EFFECTIVE DATE OF 1980 AMENDMENT Section 4 of Pub. L. 96-277 provided that: 'The provisions of this Act (amending this section, repealing sections 68, 68a, 87a, and 441 of Title 25, Indians, and enacting provisions set out as a note under this section) shall take effect sixty days after the date of enactment of this Act (June 17, 1980).' VALIDITY OF TRANSACTIONS PRIOR TO EFFECTIVE DATE OF PUB. L. 96-277 Section 3 of Pub. L. 96-277 provided that: 'The Secretary of the Interior may review any transaction, other than one involving the sale of property held in trust or subject to a restriction against alienation imposed by the United States, occurring prior to the effective date of this Act (see Effective Date of 1980 Amendment note set out above) and, if the Secretary finds that such transaction would have been valid had the provisions of this Act (amending this section, repealing sections 68, 68a, 87a, and 441 of Title 25, Indians, and enacting provisions set out as a note under this section) been in effect at the time of such transaction, the Secretary may declare such transaction to be valid, subject to all valid transactions subsequent to such time. The Secretary may issue or execute such documents as may be necessary or desirable to evidence the validity of such a transaction. A declaration of validity of a transaction pursuant to this section shall be conclusive evidence of such validity notwithstanding the provisions of section 437 of title 18, United States Code; section 2078 of the Revised Statutes (section 68 of Title 25); section 14 of the Act of June 30, 1834 (4 Stat. 738); and section 10 of the Act of June 22, 1874 (18 Stat. 177) (section 87 of Title 25), which may have been in effect at the time of such transaction.' -EXEC- EX. ORD. NO. 12328. DELEGATION OF FUNCTIONS Ex. Ord. No. 12328, Oct. 8, 1981, 46 F.R. 50357, as amended by Ex. Ord. No. 12608, Sept. 9, 1987, 52 F.R. 34617, provided: By the authority vested in me as President of the United States of America by Section 437(b) of Title 18 of the United States Code (94 Stat. 544; Public Law 96-277), and Section 301 of Title 3 of the United States Code, it is hereby ordered as follows: Section 1. The functions vested in the President by Section 437(b) of Title 18 of the United States Code (94 Stat. 544; Public Law 96-277) to prescribe rules and regulations under which any officer, employee, or agent of the Bureau of Indian Affairs may purchase from or sell to any Indian any service or any real or personal property or any interest therein, are delegated to the Secretary of the Interior. Sec. 2. The functions vested in the President by Section 437(b) of Title 18 of the United States Code (94 Stat. 544; Public Law 96-277) to prescribe rules and regulations under which any officer, employee, or agent of the Indian Health Service may purchase from or sell to any Indian any service or any real or personal property or any interest therein, are delegated to the Secretary of Health and Human Services. Sec. 3. Until rules and regulations are issued pursuant to Sections 1 and 2 of this Order, those rules and regulations previously applicable to Federal employees contracting or trading with Indians are hereby adopted as the rules and regulations of the President pursuant to, and to the extent not inconsistent with, Section 437(b) of Title 18 of the United States Code (25 CFR 140.5 and 141.31). Ronald Reagan. -CROSS- CROSS REFERENCES Agreements with Indians, see section 71 et seq. of Title 25, Indians. ------DocID 23918 Document 160 of 1438------ -CITE- 18 USC Sec. 438 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 438. Indian contracts for services generally -STATUTE- Whoever receives money contrary to sections 81 and 82 of Title 25, shall be fined not more than $1,000 or imprisoned not more than six months, or both; and also forfeit the money so received. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 703.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 83 of title 25, U.S.C., 1940 ed., Indians (R.S. Sec. 2105). The reference to persons aiding and abetting was omitted as unnecessary. Such persons are made principals by section 2 of this title. Punishment by imprisonment 'for not less than six months' and fine of 'not less than $1,000,' was susceptible of no other meaning than that minimum punishment was mandatory. This has been rephrased to provide a flexible punishment within the former mandatory limits. Words 'Indian agents' were omitted as such agents have not existed since 1908. (See 25 U.S.C., Sec. 32, 64, and notes thereunder.) Sentence providing 'And it shall be the duty of all district attorneys to prosecute such cases when applied to do so, and their failure and refusal shall be ground for their removal from office.' was omitted because any misfeasance of office on the part of a United States district attorney is ground for his removal. Provision of disqualification of office for violators of this section was omitted as incongruous with the small penalty and fine provisions. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Agreements with Indians, see section 71 et seq. of Title 25, Indians. ------DocID 23919 Document 161 of 1438------ -CITE- 18 USC Sec. 439 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 439. Indian enrollment contracts -STATUTE- Unless the United States consents, all contracts made with any person or persons, applicants for enrollment as citizens in the Five Civilized Tribes for compensation for services in relation thereto, shall be void, and - Whoever collects or receives any moneys from any such applicants for citizenship, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 704.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 86 (part) of title 25, U.S.C., 1940 ed., Indians (Aug. 1, 1914, ch. 222, Sec. 17, 38 Stat. 601). Only that part of said section 86 which requires the consent of the United States to enrollment contracts was incorporated in this section. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Agreements with Indians, see section 71 et seq. of Title 25, Indians. ------DocID 23920 Document 162 of 1438------ -CITE- 18 USC Sec. 440 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 440. Mail contracts -STATUTE- Whoever, being a person employed in the Postal Service, becomes interested in any contract for carrying the mail, or acts as agent, with or without compensation, for any contractor or person offering to become a contractor in any business before the Postal Service, shall be fined not more than $5,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 704; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(3), 84 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 356 (Mar. 4, 1909, ch. 321, Sec. 226, 35 Stat. 1134). Provision for dismissal from office was omitted since this might be handled better administratively. Changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Post Office Department' before ', shall be fined'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by the Board of Governors of the United States Postal Service and published by it in the Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Employment of postal employees in dual capacity, see section 1001 of Title 39, Postal Service. ------DocID 23921 Document 163 of 1438------ -CITE- 18 USC Sec. 441 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 441. Postal supply contracts -STATUTE- No contract for furnishing supplies to the Postal Service shall be made with any person who has entered, or proposed to enter, into any combination to prevent the making of any bid for furnishing such supplies, or to fix a price or prices therefor, or who has made any agreement, or given or performed, or promised to give or perform, any consideration whatever to induce any other person not to bid for any such contract, or to bid at a specified price or prices thereon. Whoever violates this section shall be fined not more than $5,000 or imprisoned not more than one year, or both; and if the offender is a contractor for furnishing such supplies his contract may be annulled. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 704; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(4), 84 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 808 of title 39, U.S.C., 1940 ed., The Postal Service (Aug. 24, 1912, ch. 389, Sec. 2, 37 Stat. 553). Minimum punishment provisions 'less than $100 nor' and 'less than three months nor' were omitted to conform to policy followed by codifiers of 1909 Criminal Code. Changes in phraseology were also made. AMENDMENTS 1970 - Pub. L. 91-375 struck out 'Post Office Department or the' before 'Postal Service'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by the Board of Governors of the United States Postal Service and published by it in the Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 23922 Document 164 of 1438------ -CITE- 18 USC Sec. 442 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 442. Printing contracts -STATUTE- Neither the Public Printer, superintendent of printing, superintendent of binding, nor any of their assistants shall, during their continuance in office, have any interest, direct or indirect, in the publication of any newspaper or periodical, or in any printing, binding, engraving, or lithographing of any kind, or in any contract for furnishing paper or other material connected with the public printing, binding, lithographing, or engraving. Whoever violates this section shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 704.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 53 of title 44, U.S.C., 1940 ed., Public Printing and Documents (Jan. 12, 1895, ch. 23, Sec. 34, 28 Stat. 605). Words 'on conviction before any court of competent jurisdiction' were omitted as unnecessary, since punishment cannot be imposed until there has been a conviction before a competent tribunal. Words 'in the penitentiary' were omitted as surplusage as section 4082 of this title commits all prisoners to the custody of the Attorney General. (See reviser's note under section 1 of this title.) The minimum punishment provision 'for a term of not less than one nor' was omitted in keeping with policy of codifiers of 1909 Criminal Code. Mandatory punishment provision was rephrased in the alternative. The offense described in this section involves no moral turpitude, and therefore the punishment provisions were reduced from 5 years to 1 year, so that the stigma of a felony would not attach to an offender. The fine was increased from $500 to $1,000 as more proportionate to the 1-year term of imprisonment. (See classification of felony and misdemeanor in section 1 of this title and note thereunder.) ------DocID 23923 Document 165 of 1438------ -CITE- 18 USC Sec. 443 -EXPCITE- TITLE 18 PART I CHAPTER 23 -HEAD- Sec. 443. War contracts -STATUTE- Whoever willfully secretes, mutilates, obliterates, or destroys - (a) any records of a war contractor relating to the negotiation, award, performance, payment, interim financing, cancellation or other termination, or settlement of a war contract of $25,000 or more; or (b) any records of a war contractor or purchaser relating to any disposition of termination inventory in which the consideration received by any war contractor or any government agency is $5,000 or more, before the lapse of (1) five years after such disposition of termination inventory by such war contractor or government agency, or (2) five years after the final settlement of such war contract, or (3) five years after 12 o'clock noon of December 31, 1946, whichever applicable period is longer, shall, if a corporation, be fined not more than $50,000, and, if a natural person, be fined not more than $10,000 or imprisoned not more than five years, or both. The Administrator of General Services, by regulation, may authorize the destruction of such records upon such terms and conditions as he deems appropriate, including the requirement for the making and retaining of photographs or microphotographs, which shall have the same force and effect as the originals thereof. The definitions of terms in section 103 of Title 41 shall apply to similar terms used in this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 704; Oct. 31, 1951, ch. 655, Sec. 20(a), 65 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 119, first and second paragraphs, of title 41 U.S.C., 1940 ed., Public Contracts (July 1, 1944, ch. 358, Sec. 19(a), 58 Stat. 667). Section was rewritten with changes of phraseology to conform to the style adopted in the revision. The definition of 'records' was omitted as surplusage in order to avoid any inference that 'records' as used in other sections was intended to have a different or more limited connotation than the broad and commonly understood meaning popularly assigned to the term. The last paragraph was added to obviate any possibility of doubt as to meaning of terms defined in section 103 of Title 41, Public Contracts. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. AMENDMENTS 1951 - Act Oct. 31, 1951, substituted '12 o'clock noon of December 31, 1946' for 'the termination of hostilities in the present war as proclaimed by the President or by a concurrent resolution of the two Houses of Congress', and, in penultimate paragraph, substituted 'Administrator of General Services' for 'Director of Contract Settlement'. -CROSS- CROSS REFERENCES Suspension of limitation of prosecution, see section 3287 of this title. ------DocID 23924 Document 166 of 1438------ -CITE- 18 USC CHAPTER 25 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- CHAPTER 25 - COUNTERFEITING AND FORGERY -MISC1- Sec. 471. Obligations or securities of United States. 472. Uttering counterfeit obligations or securities. 473. Dealing in counterfeit obligations or securities. 474. Plates or stones for counterfeiting obligations or securities. 475. Imitating obligations or securities; advertisements. 476. Taking impressions of tools used for obligations or securities. 477. Possessing or selling impressions of tools used for obligations or securities. 478. Foreign obligations or securities. 479. Uttering counterfeit foreign obligations or securities. 480. Possessing counterfeit foreign obligations or securities. 481. Plates or stones for counterfeiting foreign obligations or securities. 482. Foreign bank notes. 483. Uttering counterfeit foreign bank notes. 484. Connecting parts of different notes. 485. Coins or bars. 486. Uttering coins of gold, silver or other metal. 487. Making or possessing counterfeit dies for coins. 488. Making or possessing counterfeit dies for foreign coins. 489. Making or possessing likeness of coins. 490. Minor coins. 491. Tokens or paper used as money.. (FOOTNOTE 1) (FOOTNOTE 1) So in original. 492. Forfeiture of counterfeit paraphernalia. 493. Bonds and obligations of certain lending agencies. 494. Contractors' bonds, bids, and public records. 495. Contracts, deeds, and powers of attorney. 496. Customs matters. 497. Letters patent. 498. Military or naval discharge certificates. 499. Military, naval, or official passes. 500. Money orders. 501. Postage stamps, postage meter stamps, and postal cards. 502. Postage and revenue stamps of foreign governments. 503. Postmarking stamps. 504. Printing and filming of United States and foreign obligations and securities. 505. Seals of courts; signatures of judges or court officers. 506. Seals of departments or agencies. 507. Ship's papers. 508. Transportation requests of Government. 509. Possessing and making plates or stones for Government transportation requests. 510. Forging endorsements on Treasury checks or bonds or securities of the United States. 511. Altering or removing motor vehicle identification numbers. 512. Forfeiture of certain motor vehicles and motor vehicle parts. 513. Securities of the States and private entities. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3513, Nov. 29, 1990, 104 Stat. 4922, substituted 'or paper used as money.' for 'used as money or similar to coins' in item 491, 'matters' for 'entry certificates' in item 496, and 'stamps, postage meter stamps,' for 'stamps' in item 501. 1986 - Pub. L. 99-646, Sec. 31(b), Nov. 10, 1986, 100 Stat. 3598, redesignated second item 510, relating to securities of the State and private entities, as item 513 and substituted 'States' for 'State'. 1984 - Pub. L. 98-547, title II, Sec. 201(b), Oct. 25, 1984, 98 Stat. 2770, added items 511 and 512. Pub. L. 98-473, title II, Sec. 1105(b), Oct. 12, 1984, 98 Stat. 2145, added second item 510 'Securities of the State and private entities'. 1983 - Pub. L. 98-151, Sec. 115(c), Nov. 14, 1983, 97 Stat. 977, added item 510, relating to forging endorsements. 1965 - Pub. L. 89-81, title II, Sec. 211(b), July 23, 1965, 79 Stat. 257, struck out 'Gold or silver' before 'Coins or bars' in item 485. 1958 - Pub. L. 85-921, Sec. 2, Sept. 2, 1958, 72 Stat. 1771, substituted 'Printing and filming of United States and foreign obligations and securities' for 'Printing stamps for philatelic purposes' in item 504. 1951 - Act July 16, 1951, ch. 226, Sec. 5(c), 65 Stat. 122, struck out '; publisher's illustrations excepted' in item 489. -CROSS- CROSS REFERENCES Certificate, license or document issued to vessels, officers or seamen, counterfeiting or forging, see section 2197 of this title. Claims against the United States, use of counterfeited or forged power of attorney, authority or instrument, see section 1003 of this title. Embezzlement or carrying away tools and materials for counterfeiting, see section 642 of this title. Extradition of fugitives from country under control of United States, see section 3185 of this title. Federal Housing Administration, counterfeiting or forging instruments for purpose of influencing action, see section 1010 of this title. Forfeiture of counterfeit paraphernalia, see section 492 of this title. Indian Arts and Crafts Board trade-mark, counterfeiting, see section 1158 of this title. Mail fraud involving counterfeit articles, see section 1341 of this title. Mail keys, counterfeiting or forging, see section 1704 of this title. Naturalization or citizenship papers, counterfeiting or forging, see section 1426 of this title. Passports, counterfeiting or forging, see section 1543 of this title. Postal savings, counterfeiting and forgery laws as applicable, see section 1691 of this title. Sale or receipt of counterfeited or forged securities or tools used in counterfeiting or forging securities, see section 2315 of this title. Transportation of counterfeited or forged securities or tools used in counterfeiting or forging securities, see section 2314 of this title. Visas and permits, counterfeiting or forging, see section 1546 of this title. Weather reports, issuing counterfeit weather forecast or warning, see section 2074 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 7 section 12a; title 15 sections 78o, 80b-3. ------DocID 23925 Document 167 of 1438------ -CITE- 18 USC Sec. 471 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 471. Obligations or securities of United States -STATUTE- Whoever, with intent to defraud, falsely makes, forges, counterfeits, or alters any obligation or other security of the United States, shall be fined not more than $5,000 or imprisoned not more than fifteen years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 705.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 262 (Mar. 4, 1909, ch. 321, Sec. 148, 35 Stat. 1115). Mandatory punishment provision was rephrased in the alternative. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Obligation or other security of the United States defined, see section 8 of this title. Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961, 2516 of this title. ------DocID 23926 Document 168 of 1438------ -CITE- 18 USC Sec. 472 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 472. Uttering counterfeit obligations or securities -STATUTE- Whoever, with intent to defraud, passes, utters, publishes, or sells, or attempts to pass, utter, publish, or sell, or with like intent brings into the United States or keeps in possession or conceals any falsely made, forged, counterfeited, or altered obligation or other security of the United States, shall be fined not more than $5,000 or imprisoned not more than fifteen years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 705.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 265 (Mar. 4, 1909, ch. 321, Sec. 151, 35 Stat. 1116). Mandatory punishment provision was rephrased in the alternative. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Obligation or other security of the United States defined, see section 8 of this title. Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961, 2516 of this title. ------DocID 23927 Document 169 of 1438------ -CITE- 18 USC Sec. 473 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 473. Dealing in counterfeit obligations or securities -STATUTE- Whoever buys, sells, exchanges, transfers, receives, or delivers any false, forged, counterfeited, or altered obligation or other security of the United States, with the intent that the same be passed, published, or used as true and genuine, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 705.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 268 (Mar. 4, 1909, ch. 321, Sec. 154, 35 Stat. 1117). Reference to circulating notes of banking associations was omitted as covered by definition of obligation or other security in section 8 of this title. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961, 2516 of this title. ------DocID 23928 Document 170 of 1438------ -CITE- 18 USC Sec. 474 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 474. Plates or stones for counterfeiting obligations or securities -STATUTE- Whoever, having control, custody, or possession of any plate, stone, or other thing, or any part thereof, from which has been printed, or which may be prepared by direction of the Secretary of the Treasury for the purpose of printing, any obligation or other security of the United States, uses such plate, stone, or other thing, or any part thereof, or knowingly suffers the same to be used for the purpose of printing any such or similar obligation or other security, or any part thereof, except as may be printed for the use of the United States by order of the proper officer thereof; or Whoever makes or executes any plate, stone, or other thing in the likeness of any plate designated for the printing of such obligation or other security; or Whoever sells any such plate, stone, or other thing, or brings into the United States any such plate, stone, or other thing, except under the direction of the Secretary of the Treasury or other proper officer, or with any other intent, in either case, than that such plate, stone, or other thing be used for the printing of the obligations or other securities of the United States; or Whoever has in his control, custody, or possession any plate, stone, or other thing in any manner made after or in the similitude of any plate, stone, or other thing, from which any such obligation or other security has been printed, with intent to use such plate, stone, or other thing, or to suffer the same to be used in forging or counterfeiting any such obligation or other security, or any part thereof; or Whoever has in his possession or custody, except under authority from the Secretary of the Treasury or other proper officer, any obligation or other security made or executed, in whole or in part, after the similitude of any obligation or other security issued under the authority of the United States, with intent to sell or otherwise use the same; or Whoever prints, photographs, or in any other manner makes or executes any engraving, photograph, print, or impression in the likeness of any such obligation or other security, or any part thereof, or sells any such engraving, photograph, print, or impression, except to the United States, or brings into the United States, any such engraving, photograph, print, or impression, except by direction of some proper officer of the United States; or Whoever has or retains in his control or possession, after a distinctive paper has been adopted by the Secretary of the Treasury for the obligations and other securities of the United States, any similar paper adapted to the making of any such obligation or other security, except under the authority of the Secretary of the Treasury or some other proper officer of the United States - Shall be fined not more than $5,000 or imprisoned not more than fifteen years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 706.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 264 (Mar. 4, 1909, ch. 321, Sec. 150, 35 Stat. 1116). References to persons causing, procuring, assisting or aiding were omitted as unnecessary as such persons are made principals by section 2 of this title. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Philatelic reproductions permitted, see section 504 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 16 section 718e. ------DocID 23929 Document 171 of 1438------ -CITE- 18 USC Sec. 475 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 475. Imitating obligations or securities; advertisements -STATUTE- Whoever designs, engraves, prints, makes, or executes, or utters, issues, distributes, circulates, or uses any business or professional card, notice, placard, circular, handbill, or advertisement in the likeness or similitude of any obligation or security of the United States issued under or authorized by any Act of Congress or writes, prints, or otherwise impresses upon or attaches to any such instrument, obligation, or security, or any coin of the United States, any business or professional card, notice, or advertisement, or any notice or advertisement whatever, shall be fined not more than $500. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 706; July 16, 1951, ch. 226, Sec. 2, 65 Stat. 122.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 292 (Mar. 4, 1909, ch. 321, Sec. 177, 35 Stat. 1122). Enumeration of obligations of the United States was omitted in view of definition in section 8 of this title. Changes in phraseology were also made. AMENDMENTS 1951 - Act July 16, 1951, prohibited use of notices or advertising prints or labels on United States coins. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23930 Document 172 of 1438------ -CITE- 18 USC Sec. 476 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 476. Taking impressions of tools used for obligations or securities -STATUTE- Whoever, without authority from the United States, takes, procures, or makes an impression, stamp, or imprint of, from or by the use of any tool, implement, instrument, or thing used or fitted or intended to be used in printing, stamping, or impressing, or in making other tools, implements, instruments, or things to be used or fitted or intended to be used in printing, stamping, or impressing any obligation or other security of the United States, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 707.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 266 (Mar. 4, 1909, ch. 321, Sec. 152, 35 Stat. 1117). Enumeration of substances on which impressions could be made and enumeration of various kinds of tools to be used were omitted as unnecessary. Reference to circulating note or evidence of debt was omitted in view of definition of obligations and securities in section 8 of this title. Changes in phraseology were also made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Possession of impressions of tools used for obligations or securities, punishment, see section 477 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 477 of this title. ------DocID 23931 Document 173 of 1438------ -CITE- 18 USC Sec. 477 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 477. Possessing or selling impressions of tools used for obligations or securities -STATUTE- Whoever, with intent to defraud, possesses, keeps, safeguards, or controls, without authority from the United States, any imprint, stamp, or impression, taken or made upon any substance or material whatsoever, of any tool, implement, instrument or thing, used, fitted or intended to be used, for any of the purposes mentioned in section 476 of this title; or Whoever, with intent to defraud, sells, gives, or delivers any such imprint, stamp, or impression to any other person - Shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 707.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 267 (Mar. 4, 1909, ch. 321, Sec. 153, 35 Stat. 1117). Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23932 Document 174 of 1438------ -CITE- 18 USC Sec. 478 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 478. Foreign obligations or securities -STATUTE- Whoever, within the United States, with intent to defraud, falsely makes, alters, forges, or counterfeits any bond, certificate, obligation, or other security of any foreign government, purporting to be or in imitation of any such security issued under the authority of such foreign government, or any treasury note, bill, or promise to pay, lawfully issued by such foreign government and intended to circulate as money, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 707.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 270 (Mar. 4, 1909, ch. 321, Sec. 156, 35 Stat. 1117). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Mandatory punishment provision was rephrased in the alternative. Changes were also made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Foreign government defined, see section 11 of this title. Uttering counterfeit foreign obligations or securities, see section 479 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 479 of this title. ------DocID 23933 Document 175 of 1438------ -CITE- 18 USC Sec. 479 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 479. Uttering counterfeit foreign obligations or securities -STATUTE- Whoever, within the United States, knowingly and with intent to defraud, utters, passes, or puts off, in payment or negotiation, any false, forged, or counterfeited bond, certificate, obligation, security, treasury note, bill, or promise to pay, mentioned in section 478 of this title, whether or not the same was made, altered, forged, or counterfeited within the United States, shall be fined not more than $3,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 707.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 271 (Mar. 4, 1909, ch. 321, Sec. 157, 35 Stat. 1118). Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23934 Document 176 of 1438------ -CITE- 18 USC Sec. 480 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 480. Possessing counterfeit foreign obligations or securities -STATUTE- Whoever, within the United States, knowingly and with intent to defraud, possesses or delivers any false, forged, or counterfeit bond, certificate, obligation, security, treasury note, bill, promise to pay, bank note, or bill issued by a bank or corporation of any foreign country, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 707.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 274 (Mar. 4, 1909, ch. 321, Sec. 160, 35 Stat. 1118). Mandatory punishment provision was rephrased in the alternative. Changes were also made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23935 Document 177 of 1438------ -CITE- 18 USC Sec. 481 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 481. Plates or stones for counterfeiting foreign obligations or securities -STATUTE- Whoever, within the United States except by lawful authority, controls, holds, or possesses any plate, stone, or other thing, or any part thereof, from which has been printed or may be printed any counterfeit note, bond, obligation, or other security, in whole or in part, of any foreign government, bank, or corporation, or uses such plate, stone, or other thing, or knowingly permits or suffers the same to be used in counterfeiting such foreign obligations, or any part thereof; or Whoever, except by lawful authority, makes or engraves any plate, stone, or other thing in the likeness or similitude of any plate, stone, or other thing designated for the printing of the genuine issues of the obligations of any foreign government, bank, or corporation; or Whoever, except by lawful authority, prints, photographs, or makes, executes, or sells any engraving, photograph, print, or impression in the likeness of any genuine note, bond, obligation, or other security, or any part thereof, of any foreign government, bank, or corporation; or Whoever brings into the United States any counterfeit plate, stone, or other thing, engraving, photograph, print, or other impressions of the notes, bonds, obligations, or other securities of any foreign government, bank, or corporation - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 708.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 275 (Mar. 4, 1909, ch. 321, Sec. 161, 35 Stat. 1118). References to persons causing, procuring, assisting or aiding were omitted as unnecessary as such persons are made principals by section 2 of this title. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Philatelic reproductions permitted, see section 504 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23936 Document 178 of 1438------ -CITE- 18 USC Sec. 482 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 482. Foreign bank notes -STATUTE- Whoever, within the United States, with intent to defraud, falsely makes, alters, forges, or counterfeits any bank note or bill issued by a bank or corporation of any foreign country, and intended by the law or usage of such foreign country to circulate as money, such bank or corporation being authorized by the laws of such country, shall be fined not more than $2,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 708.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 272 (Mar. 4, 1909, ch. 321, Sec. 158, 35 Stat. 1118). Reference to persons causing, procuring, aiding and assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Uttering counterfeit foreign bank notes, see section 483 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 483 of this title. ------DocID 23937 Document 179 of 1438------ -CITE- 18 USC Sec. 483 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 483. Uttering counterfeit foreign bank notes -STATUTE- Whoever, within the United States, utters, passes, puts off, or tenders in payment, with intent to defraud, any such false, forged, altered, or counterfeited bank note or bill, mentioned in section 482 of this title, knowing the same to be so false, forged, altered, and counterfeited, whether or not the same was made, forged, altered, or counterfeited within the United States, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 708.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 273 (Mar. 4, 1909, ch. 321, Sec. 159, 35 Stat. 1118). Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23938 Document 180 of 1438------ -CITE- 18 USC Sec. 484 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 484. Connecting parts of different notes -STATUTE- Whoever so places or connects together different parts of two or more notes, bills, or other genuine instruments issued under the authority of the United States, or by any foreign government, or corporation, as to produce one instrument, with intent to defraud, shall be guilty of forgery in the same manner as if the parts so put together were falsely made or forged, and shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 708.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 276 (Mar. 4, 1909, ch. 321, Sec. 162, 35 Stat. 1119). Minor changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23939 Document 181 of 1438------ -CITE- 18 USC Sec. 485 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 485. Coins or bars -STATUTE- Whoever falsely makes, forges, or counterfeits any coin or bar in resemblance or similitude of any coin of a denomination higher than 5 cents or any gold or silver bar coined or stamped at any mint or assay office of the United States, or in resemblance or similitude of any foreign gold or silver coin current in the United States or in actual use and circulation as money within the United States; or Whoever passes, utters, publishes, sells, possesses, or brings into the United States any false, forged, or counterfeit coin or bar, knowing the same to be false, forged, or counterfeit, with intent to defraud any body politic or corporate, or any person, or attempts the commission of any offense described in this paragraph - Shall be fined not more than $5,000 or imprisoned not more than fifteen years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 708; July 23, 1965, Pub. L. 89-81, title II, Sec. 211(a), 79 Stat. 257.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 277 (Mar. 4, 1909, ch. 321, Sec. 163, 35 Stat. 1119). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Mandatory punishment provision was rephrased in the alternative. The provision for imprisonment for 10 years was changed to 15 years to conform to sections 471 and 472 of this title. Changes were made in phraseology. AMENDMENTS 1965 - Pub. L. 89-81 struck out 'Gold or silver' before 'Coins or bars' in section catchline, changed the description of the United States coins covered in first par. from gold or silver coins to any coin of a denomination higher than 5 cents, and made minor structural changes in second par. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Coins and currency generally, see sections 331 to 336 of this title and sections 5111 et seq. and 5131 et seq. of Title 31, Money and Finance. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23940 Document 182 of 1438------ -CITE- 18 USC Sec. 486 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 486. Uttering coins of gold, silver or other metal -STATUTE- Whoever, except as authorized by law, makes or utters or passes, or attempts to utter or pass, any coins of gold or silver or other metal, or alloys of metals, intended for use as current money, whether in the resemblance of coins of the United States or of foreign countries, or of original design, shall be fined not more than $3,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 709.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 281 (Mar. 4, 1909, ch. 321, Sec. 167, 35 Stat. 1120). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23941 Document 183 of 1438------ -CITE- 18 USC Sec. 487 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 487. Making or possessing counterfeit dies for coins -STATUTE- Whoever, without lawful authority, makes any die, hub, or mold, or any part thereof, either of steel or plaster, or any other substance, in likeness or similitude, as to the design or the inscription thereon, of any die, hub, or mold designated for the coining or making of any of the genuine gold, silver, nickel, bronze, copper, or other coins coined at the mints of the United States; or Whoever, without lawful authority, possesses any such die, hub, or mold, or any part thereof, or permits the same to be used for or in aid of the counterfeiting of any such coins of the United States - Shall be fined not more than $5,000 or imprisoned not more than fifteen years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 709.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 283 (Mar. 4, 1909, ch. 321, Sec. 169, 35 Stat. 1120). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Mandatory punishment provision was rephrased in the alternative. The provision for imprisonment for 10 years was changed to 15 years to conform to section 471 of this title. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23942 Document 184 of 1438------ -CITE- 18 USC Sec. 488 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 488. Making or possessing counterfeit dies for foreign coins -STATUTE- Whoever, within the United States, without lawful authority, makes any die, hub, or mold, or any part thereof, either of steel or of plaster, or of any other substance, in the likeness or similitude, as to the design or the inscription thereon, of any die, hub, or mold designated for the coining of the genuine coin of any foreign government; or Whoever, without lawful authority, possesses any such die, hub, or mold, or any part thereof, or conceals, or knowingly suffers the same to be used for the counterfeiting of any foreign coin - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 709.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 284 (Mar. 4, 1909, ch. 321, Sec. 170, 35 Stat. 1120). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Provision for $2,000 fine was increased to $5,000 to conform with section 481 of this title. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23943 Document 185 of 1438------ -CITE- 18 USC Sec. 489 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 489. Making or possessing likeness of coins -STATUTE- Whoever, within the United States, makes or brings therein from any foreign country, or possesses with intent to sell, give away, or in any other manner uses the same, except under authority of the Secretary of the Treasury or other proper officer of the United States, any token, disk, or device in the likeness or similitude as to design, color, or the inscription thereon of any of the coins of the United States or of any foreign country issued as money, either under the authority of the United States or under the authority of any foreign government shall be fined not more than $100. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 709; July 16, 1951, ch. 226, Sec. 3, 65 Stat. 122.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 285 (Mar. 4, 1909, ch. 321, Sec. 171, 35 Stat. 1121; Feb. 15, 1912, ch. 38, 37 Stat. 64). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Changes were made in phraseology. AMENDMENTS 1951 - Act July 16, 1951, struck out 'publisher's illustrations excepted' in section catchline, struck out from text all language which could be interpreted to prohibit or restrict the making and printing of coin illustrations in magazines and other publications, and gave the Secretary of the Treasury the authority to make exceptions to the application of this section. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23944 Document 186 of 1438------ -CITE- 18 USC Sec. 490 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 490. Minor coins -STATUTE- Whoever falsely makes, forges, or counterfeits any coin in the resemblance or similitude of any of the one-cent and 5-cent coins minted at the mints of the United States; or Whoever passes, utters, publishes, or sells, or brings into the United States, or possesses any such false, forged, or counterfeited coin, with intent to defraud any person, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 709; Feb. 14, 1984, Pub. L. 98-216, Sec. 3(b)(1), 98 Stat. 6.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 278 (Mar. 4, 1909, ch. 321, Sec. 164, 35 Stat. 1119). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. AMENDMENTS 1984 - Pub. L. 98-216 substituted 'one-cent and 5-cent coins minted' for 'minor coins coined'. EFFECTIVE DATE OF 1984 AMENDMENT Section 4(c) of Pub. L. 98-216 provided that: 'The amendments made by sections 1(3), (4), and (7) and 3(b)(1) of this Act (amending this section and sections 3322, 3528, and 5132 of Title 31, Money and Finance) are effective as of September 13, 1982.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23945 Document 187 of 1438------ -CITE- 18 USC Sec. 491 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 491. Tokens or paper used as money -STATUTE- (a) Whoever, being 18 years of age or over, not lawfully authorized, makes, issues, or passes any coin, card, token, or device in metal, or its compounds, intended to be used as money, or whoever, being 18 years of age or over, with intent to defraud, makes, utters, inserts, or uses any card, token, slug, disk, device, paper, or other thing similar in size and shape to any of the lawful coins or other currency of the United States or any coin or other currency not legal tender in the United States, to procure anything of value, or the use or enjoyment of any property or service from any automatic merchandise vending machine, postage-stamp machine, turnstile, fare box, coinbox telephone, parking meter or other lawful receptacle, depository, or contrivance designed to receive or to be operated by lawful coins or other currency of the United States, shall be fined not more than $1,000, or imprisoned not more than one year, or both. (b) Whoever manufactures, sells, offers, or advertises for sale, or exposes or keeps with intent to furnish or sell any token, slug, disk, device, paper, or other thing similar in size and shape to any of the lawful coins or other currency of the United States, or any token, disk, paper, or other device issued or authorized in connection with rationing or food and fiber distribution by any agency of the United States, with knowledge or reason to believe that such tokens, slugs, disks, devices, papers, or other things are intended to be used unlawfully or fraudulently to procure anything of value, or the use or enjoyment of any property or service from any automatic merchandise vending machine, postage-stamp machine, turnstile, fare box, coinbox telephone, parking meter, or other lawful receptacle, depository, or contrivance designed to receive or to be operated by lawful coins or other currency of the United States shall be fined not more than $1,000 or imprisoned not more than one year, or both. Nothing contained in this section shall create immunity from criminal prosecution under the laws of any State, Commonwealth of Puerto Rico, territory, possession, or the District of Columbia. (c) 'Knowledge or reason to believe', within the meaning of paragraph (b) of this section, may be shown by proof that any law-enforcement officer has, prior to the commission of the offense with which the defendant is charged, informed the defendant that tokens, slugs, disks, or other devices of the kind manufactured, sold, offered, or advertised for sale by him or exposed or kept with intent to furnish or sell, are being used unlawfully or fraudulently to operate certain specified automatic merchandise vending machines, postage-stamp machines, turnstiles, fare boxes, coin-box telephones, parking meters, or other receptacles, depositories, or contrivances, designed to receive or to be operated by lawful coins of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 710; Sept. 19, 1962, Pub. L. 87-667, 76 Stat. 555.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 282, 282a (Mar. 4, 1909, ch. 321, Sec. 168, 35 Stat. 1120, and Sec. 168a as added Apr. 1, 1944, ch. 151, 58 Stat. 149). Mandatory punishment provision in subsection (a) was rephrased in the alternative. Sections were consolidated and changes were made in phraseology. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Punishment provision in paragraph (a) of 5 years was changed to 1 year to make the offense a misdemeanor as was done in paragraph (b) of this section, which represents the latest expression of the intention of Congress. See definition of felony and misdemeanor in section 1 of this title and note thereunder. In paragraph (b) the $3,000 fine was reduced to $1,000 to conform to paragraph (a) and as more in keeping with the gravity of offense. AMENDMENTS 1962 - Subsec. (a). Pub. L. 87-667 inserted 'being 18 years of age or over,' before 'not lawfully authorized', and 'or whoever, being 18 years of age or over, with intent to defraud, makes, utters, inserts, or uses any card, token, slug, disk, device, paper, or other thing similar in size and shape to any of the lawful coins or other currency of the United States or any coin or other currency not legal tender in the United States, to procure anything of value, or the use or enjoyment of any property or service from any automatic merchandise vending machine, postage-stamp machine, turnstile, fare box, coinbox telephone, parking meter or other lawful receptacle, depository, or contrivance designed to receive or to be operated by lawful coins or other currency of the United States,' and deleted 'for any 1-cent, 2-cent, 3-cent, or 5-cent piece, authorized by law, or for coins of equal value' after 'intended to be used as money'. Subsec. (b). Pub. L. 87-667 substituted 'device, paper, or other thing similar' for 'device similar', 'paper, or other device issued or authorized in connection with rationing or food and fiber distribution' for 'or other device issued or authorized in connection with rationing', and 'devices, papers, or other things are intended to be used unlawfully' for 'or other devices may be used unlawfully', inserted 'or other currency' before 'of the United States' in two places, and 'lawful' before 'receptacle, depository', and provided that nothing in this section shall create immunity from criminal prosecution under the laws of any State, Commonwealth of Puerto Rico, territory, possession, or the District of Columbia. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23946 Document 188 of 1438------ -CITE- 18 USC Sec. 492 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 492. Forfeiture of counterfeit paraphernalia -STATUTE- All counterfeits of any coins or obligations or other securities of the United States or of any foreign government, or any articles, devices, and other things made, possessed, or used in violation of this chapter or of sections 331-333, 335, 336, 642 or 1720, of this title, or any material or apparatus used or fitted or intended to be used, in the making of such counterfeits, articles, devices or things, found in the possession of any person without authority from the Secretary of the Treasury or other proper officer, shall be forfeited to the United States. Whoever, having the custody or control of any such counterfeits, material, apparatus, articles, devices, or other things, fails or refuses to surrender possession thereof upon request by any authorized agent of the Treasury Department, or other proper officer, shall be fined not more than $100 or imprisoned not more than one year, or both. Whenever, except as hereinafter in this section provided, any person interested in any article, device, or other thing, or material or apparatus seized under this section files with the Secretary of the Treasury, before the disposition thereof, a petition for the remission or mitigation of such forfeiture, the Secretary of the Treasury, if he finds that such forfeiture was incurred without willful negligence or without any intention on the part of the petitioner to violate the law, or finds the existence of such mitigating circumstances as to justify the remission or the mitigation of such forfeiture, may remit or mitigate the same upon such terms and conditions as he deems reasonable and just. If the seizure involves offenses other than offenses against the coinage, currency, obligations or securities of the United States or any foreign government, the petition for the remission or mitigation of forfeiture shall be referred to the Attorney General, who may remit or mitigate the forfeiture upon such terms as he deems reasonable and just. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 710.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 286 (Mar. 4, 1909, ch. 321, Sec. 172, 35 Stat. 1121; Jan. 27, 1938, ch. 10, Sec. 4, 52 Stat. 7). Section was materially shortened through merger of former third and fourth sentences with present first and second paragraphs by extending latter to include 'articles, devices, and other things'. This necessitated many insertions and deletions in the first two paragraphs, which, however, did not affect the substance of the section. A reference in the former third sentence to violations of certain sections was broadened to read 'in violation of this chapter or of sections 331-333, 335-336, 642, 1720, of this title' and incorporated in the first paragraph. This translation extends for the first time the provisions of this section to subject matter of sections 493-496, 498, 499, 504-509 of this title. All of the sections covered by the original reference in this section are represented in the translation except section 261, now section 8 of this title, and section 287 of title 18, U.S.C., 1940 ed., which were omitted therefrom as unnecessary, since the former is definitive and the latter related to procedure only, and is superseded by rule 41(a), (b) of the Federal Rules of Criminal Procedure. The revised section was so written as to limit the authority of the Secretary of the Treasury to forfeitures within the enforcement powers of the Treasury Department, which advises that it does not investigate counterfeiting offenses not involving coins, currency, or Government obligations and securities. The Attorney General is the appropriate officer to remit or mitigate other forfeitures. Changes in phraseology were also made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Philatelic reproductions permitted, see section 504 of this title. Vessels, vehicles, and aircrafts used in counterfeiting forfeited, see section 781 et seq. of Title 49, Appendix, Transportation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23947 Document 189 of 1438------ -CITE- 18 USC Sec. 493 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 493. Bonds and obligations of certain lending agencies -STATUTE- Whoever falsely makes, forges, counterfeits or alters any note, bond, debenture, coupon, obligation, instrument, or writing in imitation or purporting to be in imitation of, a note, bond, debenture, coupon, obligation, instrument or writing, issued by the Reconstruction Finance Corporation, Federal Deposit Insurance Corporation, National Credit Union Administration, Home Owners' Loan Corporation, Farm Credit Administration, Department of Housing and Urban Development, or any land bank, intermediate credit bank, insured credit union, bank for cooperatives or any lending, mortgage, insurance, credit or savings and loan corporation or association authorized or acting under the laws of the United States, shall be fined not more than $10,000 or imprisoned not more than five years, or both. Whoever passes, utters, or publishes, or attempts to pass, utter or publish any note, bond, debenture, coupon, obligation, instrument or document knowing the same to have been falsely made, forged, counterfeited or altered, contrary to the provisions of this section, shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 711; Oct. 4, 1961, Pub. L. 87-353, Sec. 3(p), 75 Stat. 774; May 25, 1967, Pub. L. 90-19, Sec. 24(a), 81 Stat. 27; Oct. 19, 1970, Pub. L. 91-468, Sec. 3, 84 Stat. 1016.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 264(t), 982, 1126, 1138d(b), 1316, 1441(b), 1467(b), 1731(b) of title 12, U.S.C., 1940 ed., Banks and Banking, and section 616(b) of title 15, U.S.C. 1940 ed., Commerce and Trade (Dec. 23, 1913, ch. 6, Sec. 12B(t), as added June 16, 1933, ch. 89, Sec. 8, 48 Stat. 178, and amended Aug. 23, 1935, ch. 614, Sec. 101, 49 Stat. 684; July 17, 1916, ch. 245, Sec. 31 (second paragraph), 39 Stat. 383; July 17, 1916, ch. 245, Sec. 211(f), as added Mar. 4, 1923, ch. 252, title I, Sec. 2, 42 Stat. 1460; Mar. 4, 1923, ch. 252, title II, Sec. 216(f), 42 Stat. 1472; Jan. 22, 1932, ch. 8, Sec. 16(b), 47 Stat. 11; July 22, 1932, ch. 522, Sec. 21(b), 47 Stat. 738; June 13, 1933, ch. 64, Sec. 8(b), 48 Stat. 134; June 16, 1933, ch. 98, Sec. 64(b), 48 Stat. 268; June 27, 1934, ch. 847, Sec. 512(b), 48 Stat. 1265). Each of the nine sections from which this section was derived contained similar provisions with respect to one or more named agencies or corporations. The punishment was the same in each section except that in sections 982, 1126, and 1316 of title 12, U.S.C., 1940 ed., Banks and Banking, the maximum fine was $5,000. This section adopts the $10,000 maximum fine provided in the other six former sections. This section condenses and simplifies the form of the former sections without change of substance, except where the maximum fine differs as noted above. The enumeration of 'note, bond, debenture, coupon, obligation, instrument, or writing' does not occur in any one of the original sections but is an adequate enumeration of the instruments mentioned in each. Certain specific agencies are enumerated by name as are 'land bank, intermediate credit bank, bank for cooperatives,' but the phrase 'or any lending, mortgage, insurance, credit, or savings and loan corporation or association' was used to embrace the following: National Farm Loan Association, Federal Savings and Loan Insurance Corporation, Federal Savings and Loan Associations, National Agricultural Credit Corporation, Production Credit Corporations, Production Credit Associations, Home Loan Banks, National Mortgage Associations, and Central Bank for Cooperatives, Regional Agricultural Credit Corporation, or any instrumentalities created for similar purposes. Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary, such persons being principals by section 2 of this title. The section was written in two paragraphs; the first denouncing forgery, counterfeiting, and altering; the second, passing, uttering, and publishing. This arrangement, together with the simplified style of the rewritten section, will permit the repeal of similar provisions in at least nine complicated sections now in title 12, U.S.C., 1940 ed., Banks and Banking. Section 1138d(f) of title 12, U.S.C., 1940 ed., Banks and Banking, was omitted from this revision and recommended for repeal. It provides as follows: 'Whoever conspires with another to accomplish any of the acts made unlawful by the preceding provisions of this section shall, on conviction thereof, be subject to the same fine or imprisonment, or both, as is applicable in the case of conviction for doing such unlawful act.' The only case construing such subsection (f) is United States v. Halbrook, D.C. Mo. 1941, 36 F. Supp. 345, in which the District Judge said by way of obiter dictum in a footnote that 'Under this section no overt act need be shown as is true in the case of a prosecution under section 37 of the Criminal Code', now section 371 of this title. Indeed the indictment upon which Halbrook was acquitted was drawn under section 88 of title 18, U.S.C., 1940 ed., now section 371 of this title, which required allegation and proof of an overt act and provided punishment by fine of not more than $10,000, or imprisonment for not more than 2 years, or both. The second indictment charged only substantive violations and involved neither conspiracy section. It will be noted that section 1138d(f) of title 12, U.S.C., 1940 ed., Banks and Banking, applies in terms only to the Farm Credit Administration, intermediate credit banks, Federal Farm Mortgage Corporation, and by reference to the banks for cooperatives, Production Credit Associations and Production Credit Corporations, and is not applicable to land banks, loan associations, Federal Housing Administration, Home Owners' Loan Corporation, or other institutions. It is also noted that in the only reported case involving this section, the United States attorney drew his conspiracy indictment not under section 1138d(f) of title 12, U.S.C., 1940 ed., Banks and Banking, but under section 88 of title 18, U.S.C., 1940 ed., which is now section 371 of this title, indicating considerable doubt as to the scope and effect of section 1138d(f) of said title 12, U.S.C., 1940 ed., Banks and Banking. There is no sound reason for differentiating between types of credit, insurance, banking and lending agencies in the punishment of conspiracy or in the requirement as to proof of overt acts. Since conspiracies involving offenses equally serious such as obstruction of justice, bribery, embezzlements, counterfeiting and false statements and offenses against the Treasury of the United States as well as the Federal Deposit Insurance Corporation and the Home Owners' Loan Corporation are punishable under the general conspiracy statute, the same rule should be applied to lesser agencies. The blanket provision for punishment of 'any person who willfully violates any other provision of this Act' was omitted as useless, in view of the specific provisions for penalties elsewhere in the Act. AMENDMENTS 1970 - Pub. L. 91-468 inserted National Credit Union Administration and insured credit unions in enumeration of lending agencies. 1967 - Pub. L. 90-19 substituted 'Department of Housing and Urban Development' for 'Federal Housing Administration'. 1961 - Pub. L. 87-353 struck out reference to the Federal Farm Mortgage Corporation. -TRANS- EXCEPTIONS FROM TRANSFER OF FUNCTIONS Functions of corporations of Department of Agriculture, boards of directors and officers of such corporations; Advisory Board of Commodity Credit Corporation; and Farm Credit Administration or any agency, officer or entity of, under, or subject to supervision of said Administration excepted from functions of officers, agencies, and employees transferred to Secretary of Agriculture by Reorg. Plan No. 2 of 1953, Sec. 1, eff. June 4, 1953, 18 F.R. 3219, 67 Stat. 633, set out in the Appendix to Title 5, Government Organization and Employees. ABOLITION OF RECONSTRUCTION FINANCE CORPORATION Section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees, abolished the Reconstruction Finance Corporation. ABOLITION OF HOME OWNERS' LOAN CORPORATION For dissolution and abolition of Home Owners' Loan Corporation, referred to in this section, by act June 30, 1953, ch. 170, Sec. 21, 67 Stat. 126, see note set out under section 1463 of Title 12, Banks and Banking. -MISC5- FARM CREDIT ADMINISTRATION Establishment of Farm Credit Administration as independent agency, and other changes in status, function, etc., see Ex. Ord. No. 6084 set out prec. section 2241 of Title 12, Banks and Banking. See also section 2001 et seq. of Title 12. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal Deposit Insurance Corporation, Federal land banks, Federal land bank associations are concerned, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 3056 of this title. ------DocID 23948 Document 190 of 1438------ -CITE- 18 USC Sec. 494 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 494. Contractors' bonds, bids, and public records -STATUTE- Whoever falsely makes, alters, forges, or counterfeits any bond, bid, proposal, contract, guarantee, security, official bond, public record, affidavit, or other writing for the purpose of defrauding the United States; or Whoever utters or publishes as true or possesses with intent to utter or publish as true, any such false, forged, altered, or counterfeited writing, knowing the same to be false, forged, altered, or counterfeited; or Whoever transmits to, or presents at any office or to any officer of the United States, any such false, forged, altered, or counterfeited writing, knowing the same to be false, forged, altered, or counterfeited - Shall be fined not more than $1,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 711.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 72 (Mar. 4, 1909, ch. 321, Sec. 28, 35 Stat. 1094). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Changes were also made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23949 Document 191 of 1438------ -CITE- 18 USC Sec. 495 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 495. Contracts, deeds, and powers of attorney -STATUTE- Whoever falsely makes, alters, forges, or counterfeits any deed, power of attorney, order, certificate, receipt, contract, or other writing, for the purpose of obtaining or receiving, or of enabling any other person, either directly or indirectly, to obtain or receive from the United States or any officers or agents thereof, any sum of money; or Whoever utters or publishes as true any such false, forged, altered, or counterfeited writing, with intent to defraud the United States, knowing the same to be false, altered, forged, or counterfeited; or Whoever transmits to, or presents at any office or officer of the United States, any such writing in support of, or in relation to, any account or claim, with intent to defraud the United States, knowing the same to be false, altered, forged, or counterfeited - Shall be fined not more than $1,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 711.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 73 (Mar. 4, 1909, ch. 321, Sec. 29, 35 Stat. 1094). Reference in first paragraph to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Claims against the United States, use of counterfeited or forged power of attorney, authority or instrument, see section 1003 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23950 Document 192 of 1438------ -CITE- 18 USC Sec. 496 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 496. Customs matters -STATUTE- Whoever forges, counterfeits or falsely alters any writing made or required to be made in connection with the entry or withdrawal of imports or collection of customs duties, or uses any such writing knowing the same to be forged, counterfeited or falsely altered, shall be fined not more than $10,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 711.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 119 (Mar. 4, 1909, ch. 321, Sec. 63, 35 Stat. 1100). Section was rewritten to apply to all customs documents or writings. The Treasury Department advises that certificates of entry are obsolete. Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23951 Document 193 of 1438------ -CITE- 18 USC Sec. 497 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 497. Letters patent -STATUTE- Whoever falsely makes, forges, counterfeits, or alters any letters patent granted or purporting to have been granted by the President of the United States; or Whoever passes, utters, or publishes, or attempts to pass, utter, or publish as genuine, any such letters patent, knowing the same to be forged, counterfeited or falsely altered - Shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 712.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 71 (Mar. 4, 1909, ch. 321, Sec. 27, 35 Stat. 1094). Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23952 Document 194 of 1438------ -CITE- 18 USC Sec. 498 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 498. Military or naval discharge certificates -STATUTE- Whoever forges, counterfeits, or falsely alters any certificate of discharge from the military or naval service of the United States, or uses, unlawfully possesses or exhibits any such certificate, knowing the same to be forged, counterfeited, or falsely altered, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 712.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940, ed., Sec. 136 (Mar. 4, 1917, ch. 180, 39 Stat. 1182). Reference to any person causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. At the end of this section words 'in the discretion of the court' were omitted as unnecessary, as the punishment provisions, being framed in the alternative by the use of the disjunctive 'or,' vest in the court the power to impose a fine or prison sentence in its discretion. Changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23953 Document 195 of 1438------ -CITE- 18 USC Sec. 499 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 499. Military, naval, or official passes -STATUTE- Whoever falsely makes, forges, counterfeits, alters, or tampers with any naval, military, or official pass or permit, issued by or under the authority of the United States, or with intent to defraud uses or possesses any such pass or permit, or personates or falsely represents himself to be or not to be a person to whom such pass or permit has been duly issued, or willfully allows any other person to have or use any such pass or permit, issued for his use alone, shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 712.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 132 (June 15, 1917, ch. 30, title X, Sec. 3, 40 Stat. 228). Changes were made in phraselogy. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTIONS REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 23954 Document 196 of 1438------ -CITE- 18 USC Sec. 500 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 500. Money orders -STATUTE- Whoever, with intent to defraud, falsely makes, forges, counterfeits, engraves, or prints any order in imitation of or purporting to be a blank money order or a money order issued by or under the direction of the Post Office Department or Postal Service; or Whoever forges or counterfeits the signature or initials of any person authorized to issue money orders upon or to any money order, postal note, or blank therefor provided or issued by or under the direction of the Post Office Department or Postal Service, or post office department or corporation of any foreign country, and payable in the United States, or any material signature or indorsement thereon, or any material signature to any receipt or certificate of identification thereof; or Whoever falsely alters, in any material respect, any such money order or postal note; or Whoever, with intent to defraud, passes, utters or publishes or attempts to pass, utter or publish any such forged or altered money order or postal note, knowing any material initials, signature, stamp impression or indorsement thereon to be false, forged, or counterfeited, or any material alteration therein to have been falsely made; or Whoever issues any money order or postal note without having previously received or paid the full amount of money payable therefor, with the purpose of fraudulently obtaining or receiving, or fraudulently enabling any other person, either directly or indirectly, to obtain or receive from the United States or Postal Service, or any officer, employee, or agent thereof, any sum of money whatever; or Whoever embezzles, steals, or knowingly converts to his own use or to the use of another, or without authority converts or disposes of any blank money order form provided by or under the authority of the Post Office Department or Postal Service; or Whoever receives or possesses any such money order form with the intent to convert it to his own use or gain or use or gain of another knowing it to have been embezzled, stolen or converted; or Whoever, with intent to defraud the United States, the Postal Service, or any person, transmits, presents, or causes to be transmitted or presented, any money order or postal note knowing the same - (1) to contain any forged or counterfeited signature, initials, or any stamped impression, or (2) to contain any material alteration therein unlawfully made, or (3) to have been unlawfully issued without previous payment of the amount required to be paid upon such issue, or (4) to have been stamped without lawful authority; or Whoever steals, or with intend to defraud or without being lawfully authorized by the Post Office Department or Postal Service, receives, possesses, disposes of or attempts to dispose of any postal money order machine or any stamp, tool, or instrument specifically designed to be used in preparing or filling out the blanks on postal money order forms - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 712; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(5), 84 Stat. 777; Sept. 23, 1972, Pub. L. 92-430, 86 Stat. 722.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 347 (Mar. 4, 1909, ch. 321, Sec. 218, 35 Stat. 1131). References to persons causing, procuring, aiding or assisting were omitted as unnecessary as such persons are made principals by section 2 of this title. Changes were made in phraseology. AMENDMENTS 1972 - Pub. L. 92-430 substituted 'a blank money order or a money order issued by or under the direction of' for 'a money order issued by' and struck out ', or by any officer or employee thereof' in first par.; substituted 'or initials of any person authorized to issue money orders' for 'of any officer or employee of the Postal Service,' in second par.; inserted 'or attempts to pass, utter or publish' before 'any such forged' and substituted 'material initials, signature, stamp impression' for 'material signature' in fourth par.; inserted 'or Postal Service' after 'the United States' in fifth par.; inserted sixth and seventh pars.; inserted ', the Postal Service' after 'the United States', and substituted 'presents, or causes to be transmitted or presented, any money order' for 'or presents to any officer or employee, or at any office of the United States, any money order' and designated material after 'knowing the same' as cls. (1) to (3) with minor changes and added cl. (4) in eighth par.; inserted ninth par., and enacted provisions of former seventh par. as tenth par. 1970 - Pub. L. 91-375 inserted reference to Postal Service and substituted 'officer or employee' for 'postmaster or agent' in first par. and substituted 'officer or employee of the Postal Service' for 'postmaster, assistant postmaster, chief clerk, or clerk' and 'Post Office Department or the Postal Service, or post office department or corporation of any foreign country' for 'Post Office Department of the United States, or of any foreign country' in second par. -CHANGE- CHANGE OF NAME Post Office Department redesignated United States Postal Service pursuant to Pub. L. 91-375, Sec. 6(o), Aug. 12, 1970, 84 Stat. 733, set out as a note preceding section 101 of Title 39, Postal Service. -MISC4- EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by the Board of Governors of the United States Postal Service and published by it in the Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23955 Document 197 of 1438------ -CITE- 18 USC Sec. 501 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 501. Postage stamps, postage meter stamps, and postal cards -STATUTE- Whoever forges or counterfeits any postage stamp, postage meter stamp, or any stamp printed upon any stamped envelope, or postal card, or any die, plate, or engraving thereof; or Whoever makes or prints, or knowingly uses or sells, or possesses with intent to use or sell, any such forged or counterfeited postage stamp, postage meter stamp, stamped envelope, postal card, die, plate, or engraving; or Whoever makes, or knowingly uses or sells, or possesses with intent to use or sell, any paper bearing the watermark of any stamped envelope, or postal card, or any fraudulent imitation thereof; or Whoever makes or prints, or authorizes to be made or printed, any postage stamp, postage meter stamp, stamped envelope, or postal card, of the kind authorized and provided by the Post Office Department or by the Postal Service, without the special authority and direction of the Department or Postal Service; or Whoever after such postage stamp, postage meter stamp, stamped envelope, or postal card has been printed, with intent to defraud, delivers the same to any person not authorized by an instrument in writing, duly executed under the hand of the Postmaster General and the seal of the Post Office Department or the Postal Service, to receive it - Shall be fined not more than $500 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 713; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(6), 84 Stat. 777; Oct. 14, 1970, Pub. L. 91-448, Sec. 1(a), 84 Stat. 920.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 348 (Mar. 4, 1909, ch. 321, Sec. 219, 35 Stat. 1132). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes of phraseology were made. AMENDMENTS 1970 - Pub. L. 91-448 inserted references to the Postal Service and to postage meter stamps. Pub. L. 91-448, Sec. 1(b), repealed section 6(j)(6) of the Postal Reorganization Act, Pub. L. 91-375, Aug. 12, 1970, 84 Stat. 719, by which the references to the Postal Service had been inserted earlier. Pub. L. 91-375 inserted 'or by the Postal Service,' after 'Post Office Department,' and substituted 'the Department or Postal Service' for 'said department' in fourth par. and struck out the comma after 'stamped envelope' and 'to defraud' and inserted 'or the Postal Service' after 'Post Office Department' in fifth par. -CHANGE- CHANGE OF NAME Post Office Department redesignated United States Postal Service pursuant to Pub. L. 91-375, Sec. 6(o), Aug. 12, 1970, 84 Stat. 733, set out as a note preceding section 101 of Title 39, Postal Service. -MISC4- EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23956 Document 198 of 1438------ -CITE- 18 USC Sec. 502 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 502. Postage and revenue stamps of foreign governments -STATUTE- Whoever forges, or counterfeits, or knowingly utters or uses any forged or counterfeit postage stamp or revenue stamp of any foreign government, shall be fined not more than $500 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 713.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 349 (Mar. 4, 1909, ch. 321, Sec. 220, 35 Stat. 1132; May 26, 1926, ch. 396, 44 Stat. 653). A paragraph defining 'foreign government' was combined with other like provisions to form section 11 of this title. A proviso against repeal, 'Provided, however, That nothing in this section shall be held to repeal or modify section 350 of this title (now section 504 of this title)', was deleted as unnecessary since that section by express reference to this one makes it clear that these sections are in pari materia. Minor changes in phraseology were also made. -CROSS- CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Philatelic reproductions permitted, see section 504 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23957 Document 199 of 1438------ -CITE- 18 USC Sec. 503 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 503. Postmarking stamps -STATUTE- Whoever forges or counterfeits any postmarking stamp, or impression thereof with intent to make it appear that such impression is a genuine postmark, or makes or knowingly uses or sells, or possesses with intent to use or sell, any forged or counterfeited postmarking stamp, die, plate, or engraving, or such impression thereof, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 713.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 349a (Aug. 26, 1935, ch. 692, 49 Stat. 866). Minor changes in phraseology were made. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23958 Document 200 of 1438------ -CITE- 18 USC Sec. 504 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 504. Printing and filming of United States and foreign obligations and securities -STATUTE- Notwithstanding any other provision of this chapter, the following are permitted: (1) the printing, publishing, or importation, or the making or importation of the necessary plates for such printing or publishing, of illustrations of - (A) postage stamps of the United States, (B) revenue stamps of the United States, (C) any other obligation or other security of the United States, and (D) postage stamps, revenue stamps, notes, bonds, and any other obligation or other security of any foreign government, bank, or corporation, for philatelic, numismatic, educational, historical, or newsworthy purposes in articles, books, journals, newspapers, or albums (but not for advertising purposes, except illustrations of stamps and paper money in philatelic or numismatic advertising of legitimate numismatists and dealers in stamps or publishers of or dealers in philatelic or numismatic articles, books, journals, newspapers, or albums). Illustrations permitted by the foregoing provisions of this section shall be made in accordance with the following conditions - (i) all illustrations shall be in black and white, except that illustrations of postage stamps issued by the United States or by any foreign government and stamps issued under the Migratory Bird Hunting Stamp Act of 1934 may be in color; (ii) all illustrations (including illustrations of uncanceled postage stamps in color and illustrations of stamps issued under the Migratory Bird Hunting Stamp Act of 1934 in color) shall be of a size less than three-fourths or more than one and one-half, in linear dimension, of each part of any matter so illustrated which is covered by subparagraph (A), (B), (C), or (D) of this paragraph, except that black and white illustrations of postage and revenue stamps issued by the United States or by any foreign government and colored illustrations of canceled postage stamps issued by the United States may be in the exact linear dimension in which the stamps were issued; and (iii) the negatives and plates used in making the illustrations shall be destroyed after their final use in accordance with this section. (2) the making or importation, but not for advertising purposes except philatelic advertising, of motion-picture films, microfilms, or slides, for projection upon a screen or for use in telecasting, of postage and revenue stamps and other obligations and securities of the United States, and postage and revenue stamps, notes, bonds, and other obligations or securities of any foreign government, bank, or corporation. No prints or other reproductions shall be made from such films or slides, except for the purposes of paragraph (1), without the permission of the Secretary of the Treasury. For the purposes of this section the term 'postage stamp' includes postage meter stamps. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 713; Sept. 2, 1958, Pub. L. 85-921, Sec. 1, 72 Stat. 1771; June 20, 1968, Pub. L. 90-353, Sec. 1, 82 Stat. 240; Oct. 14, 1970, Pub. L. 91-448, Sec. 2, 84 Stat. 921; July 18, 1984, Pub. L. 98-369, div. A, title X, Sec. 1077(b)(1), (2), 98 Stat. 1054.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 350 (Mar. 3, 1923, ch. 218, 42 Stat. 1437; Jan. 27, 1938, ch. 10, Sec. 2, 52 Stat. 6). Minor changes in phraseology were made. -REFTEXT- REFERENCES IN TEXT The Migratory Bird Hunting Stamp Act, referred to in par. (1)(i), (ii), is act Mar. 16, 1934, ch. 71, 48 Stat. 451, as amended, which is classified generally to subchapter IV (Sec. 718 et seq.) of chapter 7 of Title 16, Conservation. For complete classification of this Act to the Code, see Short Title note set out under section 718 of Title 16 and Tables. -MISC2- AMENDMENTS 1984 - Par. (1)(i). Pub. L. 98-369, Sec. 1077(b)(1), inserted 'and stamps issued under the Migratory Bird Hunting Stamp Act of 1934'. Par. (1)(ii). Pub. L. 98-369, Sec. 1077(b)(2), inserted 'and illustrations of stamps issued under the Migratory Bird Hunting Stamp Act of 1934 in color'. 1970 - Pub. L. 91-448 inserted provision including postage meter stamp within the meaning of postage stamp for the purposes of this section. 1968 - Par. (1). Pub. L. 90-353 inserted provisions so as to permit colored illustrations of canceled United States postage stamps in the exact size of genuine stamps and colored illustrations of uncanceled United States and foreign stamps if the size of the illustrations is less than three-fourths or more than one and one-half times the size of the genuine stamps and permitted the use of colored illustrations of stamps in public documents relating to stamps printed by the Government Printing Office at the request of the Postmaster General. 1958 - Pub. L. 85-921 permitted black and white illustrations of revenue stamps of the United States for philatelic and numismatic purposes, black and white illustrations of United States and foreign paper money and other obligations and securities for educational, historical, and newsworthy purposes, and permitted motion picture films, microfilms, and slides of United States and foreign postage and revenue stamps, paper money, and other obligations and securities, except films in connection with advertising. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-369 effective July 18, 1984, see section 1077(c) of Pub. L. 98-369, set out as a note under section 718e of Title 16, Conservation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 16 section 718e. ------DocID 23959 Document 201 of 1438------ -CITE- 18 USC Sec. 505 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 505. Seals of courts; signatures of judges or court officers -STATUTE- Whoever forges the signature of any judge, register, or other officer of any court of the United States, or of any Territory thereof, or forges or counterfeits the seal of any such court, or knowingly concurs in using any such forged or counterfeit signature or seal, for the purpose of authenticating any proceeding or document, or tenders in evidence any such proceeding or document with a false or counterfeit signature of any such judge, register, or other officer, or a false or counterfeit seal of the court, subscribed or attached thereto, knowing such signature or seal to be false or counterfeit, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 714.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 236 (Mar. 4, 1909, ch. 321, Sec. 130, 35 Stat. 1112). Mandatory punishment provision was rephrased in the alternative. Minor changes of phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23960 Document 202 of 1438------ -CITE- 18 USC Sec. 506 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 506. Seals of departments or agencies -STATUTE- Whoever falsely makes, forges, counterfeits, mutilates, or alters the seal of any department or agency of the United States; or Whoever knowingly uses, affixes, or impresses any such fraudulently made, forged, counterfeited, mutilated, or altered seal to or upon any certificate, instrument, commission, document, or paper, of any description; or Whoever, with fraudulent intent, possesses any such seal, knowing the same to have been so falsely made, forged, counterfeited, mutilated, or altered - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 714.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 131 (June 15, 1917, ch. 30, title X, Sec. 2, 40 Stat. 228). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary as such persons are made principals by section 2 of this title. In view of definitions of department and agency in section 6 of this title, words 'department or agency' in first paragraph were substituted for 'executive department, or any bureau, commission, or office'. Provision for 10 years' imprisonment was reduced to 5 years to conform to punishment provision in section 505 of this title, covering an offense of like gravity. Minor changes in phraseology were also made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Government seals wrongfully used and instruments wrongfully sealed, see section 1017 of this title. Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 23961 Document 203 of 1438------ -CITE- 18 USC Sec. 507 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 507. Ship's papers -STATUTE- Whoever falsely makes, forges, counterfeits, or alters any instrument in limitation of or purporting to be, an abstract or official copy or certificate of the recording, registry, or enrollment of any vessel, in the office of any collector of the customs, or a license to any vessel for carrying on the coasting trade or fisheries of the United States, or a certificate of ownership, pass, or clearance, granted for any vessel, under the authority of the United States, or a permit, debenture, or other official document granted by any collector or other officer of the customs by virtue of his office; or Whoever utters, publishes, or passes, or attempts to utter, publish, or pass, as true, any such false, forged, counterfeited, or falsely altered instrument, abstract, official copy, certificate, license, pass, clearance, permit, debenture, or other official document herein specified, knowing the same to be false, forged, counterfeited, or falsely altered, with an intent to defraud - Shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 714.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 129 (Mar. 4, 1909, ch. 321, Sec. 72, 35 Stat. 1101). The words 'passport' and 'sea letter' were omitted as obsolete, in view of the Presidential proclamation of April 10, 1815, discontinuing the use of such passports and sea letters. Mandatory punishment provisions were rephrased in the alternative. Minor changes of phraseology were made. -TRANS- TRANSFER OF FUNCTIONS All offices of collector of customs, comptroller of customs, surveyor of customs, and appraiser of merchandise in Bureau of Customs of Department of the Treasury to which appointments were required to be made by President with advice and consent of Senate ordered abolished, with such offices to be terminated not later than Dec. 31, 1966, by Reorg. Plan No. 1 of 1965, eff. May 25, 1965, 30 F.R. 7035, 79 Stat. 1317, set out in the Appendix to Title 5, Government Organization and Employees. All functions of offices eliminated were already vested in Secretary of the Treasury by Reorg. Plan No. 26 of 1950, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Certificate, license or document issued to vessels, officers or seamen, counterfeiting or forging, see section 2197 of this title. Provisions relating to recording, registry, or enrollment of vessels, etc., see section 12101 et seq. of Title 46, Shipping. Definition of registry and license with respect to vessel documentation, see section 12101 of Title 46. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23962 Document 204 of 1438------ -CITE- 18 USC Sec. 508 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 508. Transportation requests of Government -STATUTE- Whoever falsely makes, forges, or counterfeits in whole or in part, any form or request in similitude of the form or request provided by the Government for requesting a common carrier to furnish transportation on account of the United States or any department or agency thereof, or knowingly alters any form or request provided by the Government for requesting a common carrier to furnish transportation on account of the United States or any department or agency thereof; or Whoever knowingly passes, utters, publishes, or sells, or attempts to pass, utter, publish, or sell, any such false, forged, counterfeited, or altered form or request - Shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 715.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 146 (Dec. 11, 1926, ch. 2, Sec. 1, 44 Stat. 917). References to persons causing, procuring, aiding or assisting were omitted as unnecessary as such persons are made principals by section 2 of this title. Also, in first paragraph, word 'agency' was substituted for 'branch', in view of definitions of department and agency in section 6 of this title. Words 'upon conviction' in last paragraph were omitted as surplusage since punishment cannot be imposed until a conviction is secured. Minor changes of phraseology were also made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Secret Service, detection, arrest and delivery into custody of any person violating this section, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 3056 of this title; title 22 section 3622. ------DocID 23963 Document 205 of 1438------ -CITE- 18 USC Sec. 509 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 509. Possessing and making plates or stones for Government transportation requests -STATUTE- Whoever, except by lawful authority, controls, holds or possesses any plate, stone, or other thing, or any part thereof, from which has been printed or may be printed any form or request for Government transportation, or uses such plate, stone, or other thing, or knowingly permits or suffers the same to be used in making any such form or request or any part of such a form or request; or Whoever makes or engraves any plate, stone, or thing, in the likeness of any plate, stone, or thing designated for the printing of the genuine issues of the form or request for Government transportation; or Whoever prints, photographs, or in any other manner makes, executes, or sells any engraving, photograph, print, or impression in the likeness of any genuine form or request for Government transportation, or any part thereof; or Whoever brings into the United States or any place subject to the jurisdiction thereof, any plate, stone, or other thing, or engraving, photograph, print, or other impression of the form or request for Government transportation - Shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 715.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 147 (Dec. 11, 1926, ch. 2, Sec. 2, 44 Stat. 918). References to persons causing, procuring, aiding or assisting were omitted as unnecessary as such persons are made principals by section 2 of this title. Words 'upon conviction' in last paragraph were omitted as surplusage since punishment cannot be imposed until a conviction is secured. Minor changes in phraseology were also made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Secret Service, detection, arrest and delivery into custody of any person violating this section, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 3056 of this title. ------DocID 23964 Document 206 of 1438------ -CITE- 18 USC Sec. 510 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 510. Forging endorsements on Treasury checks or bonds or securities of the United States -STATUTE- (a) Whoever, with intent to defraud - (1) falsely makes or forges any endorsement or signature on a Treasury check or bond or security of the United States; or (2) passes, utters, or publishes, or attempts to pass, utter, or publish, any Treasury check or bond or security of the United States bearing a falsely made or forged endorsement or signature; shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (b) Whoever, with knowledge that such Treasury check or bond or security of the United States is stolen or bears a falsely made or forged endorsement or signature buys, sells, exchanges, receives, delivers, retains, or conceals any such Treasury check or bond or security of the United States that in fact is stolen or bears a forged or falsely made endorsement or signature shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (c) If the face value of the Treasury check or bond or security of the United States or the aggregate face value, if more than one Treasury check or bond or security of the United States, does not exceed $500, in any of the above-mentioned offenses, the penalty shall be a fine of not more than $1,000 or imprisonment for not more than one year, or both. -SOURCE- (Added Pub. L. 98-151, Sec. 115(a), Nov. 14, 1983, 97 Stat. 976, and amended Pub. L. 101-647, title XXXV, Sec. 3514, Nov. 29, 1990, 104 Stat. 4923.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 inserted semicolon after 'or signature' in par. (2) and moved provisions beginning with 'shall be fined' flush with left margin. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 23965 Document 207 of 1438------ -CITE- 18 USC Sec. 511 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 511. Altering or removing motor vehicle identification numbers -STATUTE- (a) Whoever knowingly removes, obliterates, tampers with, or alters an identification number for a motor vehicle, or motor vehicle part, shall be fined not more than $10,000 or imprisoned not more than five years, or both. (b)(1) Subsection (a) of this section does not apply to a removal, obliteration, tampering, or alteration by a person specified in paragraph (2) of this subsection (unless such person knows that the vehicle or part involved is stolen). (2) The persons referred to in paragraph (1) of this subsection are - (A) a motor vehicle scrap processor or a motor vehicle demolisher who complies with applicable State law with respect to such vehicle or part; (B) a person who repairs such vehicle or part, if the removal, obliteration, tampering, or alteration is reasonably necessary for the repair; and (C) a person who restores or replaces an identification number for such vehicle or part in accordance with applicable State law. (c) As used in this section, the term - (1) 'identification number' means a number or symbol that is inscribed or affixed for purposes of identification under the National Traffic and Motor Vehicle Safety Act of 1966, or the Motor Vehicle Information and Cost Savings Act; (2) 'motor vehicle' has the meaning given that term in section 2 of the Motor Vehicle Information and Cost Savings Act; (3) 'motor vehicle demolisher' means a person, including any motor vehicle dismantler or motor vehicle recycler, who is engaged in the business of reducing motor vehicles or motor vehicle parts to metallic scrap that is unsuitable for use as either a motor vehicle or a motor vehicle part; (4) 'motor vehicle scrap processor' means a person - (A) who is engaged in the business of purchasing motor vehicles or motor vehicle parts for reduction to metallic scrap for recycling; (B) who, from a fixed location, uses machinery to process metallic scrap into prepared grades; and (C) whose principal product is metallic scrap for recycling; but such term does not include any activity of any such person relating to the recycling of a motor vehicle or a motor vehicle part as a used motor vehicle or a used motor vehicle part. -SOURCE- (Added Pub. L. 98-547, title II, Sec. 201(a), Oct. 25, 1984, 98 Stat. 2768.) -REFTEXT- REFERENCES IN TEXT The National Traffic and Motor Vehicle Safety Act of 1966, referred to in subsec. (c)(1), is Pub. L. 89-563, Sept. 9, 1966, 80 Stat. 718, as amended, which is classified generally to chapter 38 (Sec. 1381 et seq.) of Title 15, Commerce and Trade. For complete classification of this Act to the Code, see Short Title note set out under section 1381 of Title 15 and Tables. The Motor Vehicle Information and Cost Savings Act, referred to in subsec. (c)(1), is Pub. L. 92-513, Oct. 20, 1972, 86 Stat. 947, as amended, which is classified generally to chapter 46 (Sec. 1901 et seq.) of Title 15. Section 2 of the Act is classified to section 1901 of Title 15. For complete classification of this Act to the Code, see Short Title note set out under section 1901 of Title 15 and Tables. -MISC2- PRIOR PROVISIONS Another section 511 was renumbered section 513 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 512, 553, 2321 of this title; title 15 sections 2033, 2034. ------DocID 23966 Document 208 of 1438------ -CITE- 18 USC Sec. 512 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 512. Forfeiture of certain motor vehicles and motor vehicle parts -STATUTE- (a) If an identification number for a motor vehicle or motor vehicle part is removed, obliterated, tampered with, or altered, such vehicle or part shall be subject to seizure and forfeiture to the United States unless - (1) in the case of a motor vehicle part, such part is attached to a motor vehicle and the owner of such motor vehicle does not know that the identification number has been removed, obliterated, tampered with, or altered; (2) such motor vehicle or part has a replacement identification number that - (A) is authorized by the Secretary of Transportation under the National Traffic and Motor Vehicle Safety Act of 1966; or (B) conforms to applicable State law; (3) such removal, obliteration, tampering, or alteration is caused by collision or fire or is carried out as described in section 511(b) of this title; or (4) such motor vehicle or part is in the possession or control of a motor vehicle scrap processor who does not know that such identification number was removed, obliterated, tampered with, or altered in any manner other than by collision or fire or as described in section 511(b) of this title. (b) All provisions of law relating to - (1) the seizure and condemnation of vessels, vehicles, merchandise, and baggage for violation of customs laws, and procedures for summary and judicial forfeiture applicable to such violations; (2) the disposition of such vessels, vehicles, merchandise, and baggage or the proceeds from such disposition; (3) the remission or mitigation of such forfeiture; and (4) the compromise of claims and the award of compensation to informers with respect to such forfeiture; shall apply to seizures and forfeitures under this section, to the extent that such provisions are not inconsistent with this section. The duties of the collector of customs or any other person with respect to seizure and forfeiture under such provisions shall be performed under this section by such persons as may be designated by the Attorney General. (c) As used in this section, the terms 'identification number', 'motor vehicle', and 'motor vehicle scrap processor' have the meanings given those terms in section 511 of this title. -SOURCE- (Added Pub. L. 98-547, title II, Sec. 201(a), Oct. 25, 1984, 98 Stat. 2769.) -REFTEXT- REFERENCES IN TEXT The National Traffic and Motor Vehicle Safety Act of 1966, referred to in subsec. (a)(2)(A), is Pub. L. 89-563, Sept. 9, 1966, 80 Stat. 718, as amended, which is classified generally to chapter 38 (Sec. 1381 et seq.) of Title 15, Commerce and Trade. For complete classification of this Act to the Code, see Short Title note set out under section 1381 of Title 15 and Tables. The customs laws, referred to in subsec. (b)(1), are classified generally to Title 19, Customs Duties. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 15 section 2034. ------DocID 23967 Document 209 of 1438------ -CITE- 18 USC Sec. 513 -EXPCITE- TITLE 18 PART I CHAPTER 25 -HEAD- Sec. 513. Securities of the States and private entities -STATUTE- (a) Whoever makes, utters or possesses a counterfeited security of a State or a political subdivision thereof or of an organization, or whoever makes, utters or possesses a forged security of a State or political subdivision thereof or of an organization, with intent to deceive another person, organization, or government shall be fined not more than $250,000 or imprisoned for not more than ten years, or both. (b) Whoever makes, receives, possesses, sells or otherwise transfers an implement designed for or particularly suited for making a counterfeit or forged security with the intent that it be so used shall be punished by a fine of not more than $250,000 or by imprisonment for not more than ten years, or both. (c) For purposes of this section - (1) the term 'counterfeited' means a document that purports to be genuine but is not, because it has been falsely made or manufactured in its entirety; (2) the term 'forged' means a document that purports to be genuine but is not because it has been falsely altered, completed, signed, or endorsed, or contains a false addition thereto or insertion therein, or is a combination of parts of two or more genuine documents; (3) the term 'security' means - (A) a note, stock certificate, treasury stock certificate, bond, treasury bond, debenture, certificate of deposit, interest coupon, bill, check, draft, warrant, debit instrument as defined in section 916(c) of the Electronic Fund Transfer Act, money order, traveler's check, letter of credit, warehouse receipt, negotiable bill of lading, evidence of indebtedness, certificate of interest in or participation in any profit-sharing agreement, collateral-trust certificate, pre-reorganization certificate of subscription, transferable share, investment contract, voting trust certificate, or certificate of interest in tangible or intangible property; (B) an instrument evidencing ownership of goods, wares, or merchandise; (C) any other written instrument commonly known as a security; (D) a certificate of interest in, certificate of participation in, certificate for, receipt for, or warrant or option or other right to subscribe to or purchase, any of the foregoing; or (E) a blank form of any of the foregoing; (4) the term 'organization' means a legal entity, other than a government, established or organized for any purpose, and includes a corporation, company, association, firm, partnership, joint stock company, foundation, institution, society, union, or any other association or persons which operates in or the activities of which affect interstate or foreign commerce; and (5) the term 'State' includes a State of the United States, the District of Columbia, Puerto Rico, Guam, the Virgin Islands, and any other territory or possession of the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1105(a), Oct. 12, 1984, 98 Stat. 2144, Sec. 511; and renumbered Sec. 513, Pub. L. 99-646, Sec. 31(a), Nov. 10, 1986, 100 Stat. 3598; amended Pub. L. 101-647, title XXXV, Sec. 3515, Nov. 29, 1990, 104 Stat. 4923.) -REFTEXT- REFERENCES IN TEXT Section 916(c) of the Electronic Fund Transfer Act, referred to in par. (3)(A), is classified to section 1693n(c) of Title 15, Commerce and Trade. -MISC2- AMENDMENTS 1990 - Subsec. (c)(3)(A). Pub. L. 101-647 struck out '(15 U.S.C. 1693(c))' after 'Electronic Fund Transfer Act' and inserted comma after 'profit-sharing agreement'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23968 Document 210 of 1438------ -CITE- 18 USC CHAPTER 27 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- CHAPTER 27 - CUSTOMS -MISC1- Sec. 541. Entry of goods falsely classified. 542. Entry of goods by means of false statements. 543. Entry of goods for less than legal duty. 544. Relanding of goods. 545. Smuggling goods into the United States. 546. Smuggling goods into foreign countries. 547. Depositing goods in buildings on boundaries. 548. Removing or repacking goods in warehouses. 549. Removing goods from customs custody; breaking seals. 550. False claim for refund of duties. 551. Concealing or destroying invoices or other papers. 552. Officers aiding importation of obscene or treasonous books and articles. 553. Importation or exportation of stolen motor vehicles, off-highway mobile equipment, vessels, or aircraft. AMENDMENTS 1984 - Pub. L. 98-547, title III, Sec. 301(b), Oct. 25, 1984, 98 Stat. 2771, added item 553. -CROSS- CROSS REFERENCES Bribery of public officials, see section 201 of this title. Enforcement provisions, section 1581 et seq. of Title 19, Customs Duties. Forfeitures; penalty for aiding unlawful importation, see section 1595a of Title 19. Libel of vessels and vehicles, see section 1594 of Title 19. Search of vehicles and persons, see section 482 of Title 19. Searches and seizures, see section 1595 of Title 19. ------DocID 23969 Document 211 of 1438------ -CITE- 18 USC Sec. 541 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 541. Entry of goods falsely classified -STATUTE- Whoever knowingly effects any entry of goods, wares, or merchandise, at less than the true weight or measure thereof, or upon a false classification as to quality or value, or by the payment of less than the amount of duty legally due, shall be fined not more than $5,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 715.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 126 (Mar. 4, 1909, ch. 321, Sec. 69, 35 Stat. 1101). Reference to persons aiding, contained in words 'or aid in effecting,' was omitted as unnecessary as such persons are made principals by section 2 of this title. Changes were made in phraseology. -CROSS- CROSS REFERENCES Libel of vessels and vehicles, see section 1594 of Title 19, Customs Duties. ------DocID 23970 Document 212 of 1438------ -CITE- 18 USC Sec. 542 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 542. Entry of goods by means of false statements -STATUTE- Whoever enters or introduces, or attempts to enter or introduce, into the commerce of the United States any imported merchandise by means of any fraudulent or false invoice, declaration, affidavit, letter, paper, or by means of any false statement, written or verbal, or by means of any false or fraudulent practice or appliance, or makes any false statement in any declaration without reasonable cause to believe the truth of such statement, or procures the making of any such false statement as to any matter material thereto without reasonable cause to believe the truth of such statement, whether or not the United States shall or may be deprived of any lawful duties; or Whoever is guilty of any willful act or omission whereby the United States shall or may be deprived of any lawful duties accruing upon merchandise embraced or referred to in such invoice, declaration, affidavit, letter, paper, or statement, or affected by such act or omission - Shall be fined for each offense not more than $5,000 or imprisoned not more than two years, or both. Nothing in this section shall be construed to relieve imported merchandise from forfeiture under other provisions of law. The term 'commerce of the United States', as used in this section, shall not include commerce with the Philippine Islands, Virgin Islands, American Samoa, Wake Island, Midway Islands, Kingman Reef, Johnston Island, or Guam. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 715; June 30, 1955, ch. 258, Sec. 2(c), 69 Stat. 242.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1591 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 591, 46 Stat. 750; Aug. 5, 1935, ch. 438, title III, Sec. 304(a), 49 Stat. 527). The reference in the first paragraph to persons aiding, contained in the phrase 'or aids,' was omitted as unnecessary as such persons are made principals by section 2 of this title. Words 'upon conviction' before 'be fined' were omitted as surplusage since punishment cannot be imposed until conviction is secured. Enumeration of persons at beginning of section and provision preserving forfeitures where authorized by law were omitted as surplusage. The fourth paragraph was added to the revised section to make clear the intent of Congress that forfeiture is an additional consequence independent of the criminal punishment. The final paragraph was added to conform with section 1709 of title 19, U.S.C., 1940 ed. Changes in phraseology were also made. -REFTEXT- REFERENCES IN TEXT The Philippine Islands, referred to in text, are independent and known as the Republic of the Philippines. See section 1394 of Title 22, Foreign Relations and Intercourse, and 1946 Proc. No. 2695, set out as a note under that section. -MISC2- AMENDMENTS 1955 - Act June 30, 1955, inserted reference to Johnston Island in last par. EFFECTIVE DATE OF 1955 AMENDMENT Amendment by act June 30, 1955, effective July 1, 1955, see section 2(d) of act June 30, 1955, set out as a note under section 1401 of Title 19, Customs Duties. -CROSS- CROSS REFERENCES Counterfeit writings in connection with customs matters, see section 496 of this title. False shipping manifest or lack of manifest in connection with importation of goods, penalties, see section 1584 of Title 19, Customs Duties. Forfeiture of property imported into the United States, which is the subject of any contract, combination or conspiracy mentioned in section 8 of Title 15, Commerce and Trade, see section 11 of Title 15. Forgery of writings in connection with customs matters, see section 496 of this title. Narcotic drugs, seizure and forfeiture of, see section 881 of Title 21, Foods and Drugs. Penalty for fraud, gross negligence, or negligence in connection with importation of goods, see section 1592 of Title 19, Customs Duties. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23971 Document 213 of 1438------ -CITE- 18 USC Sec. 543 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 543. Entry of goods for less than legal duty -STATUTE- Whoever, being an officer of the revenue, knowingly admits to entry, any goods, wares, or merchandise, upon payment of less than the amount of duty legally due, shall be fined not more than $5,000 or imprisoned not more than two years, or both, and removed from office. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 716.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 125 (Mar. 4, 1909, ch. 321, Sec. 68, 35 Stat. 1101). Reference to persons aiding, contained in words 'or aid in admitting,' was omitted as unnecessary as such persons are made principals by section 2 of this title. Changes were made in phraseology. -CROSS- CROSS REFERENCES Bribery of public officials, see section 201 of this title. Compromise of customs liabilities, penalty, see section 1915 of this title. Forfeitures, penalty for aiding unlawful importation, see section 1595a of Title 19, Customs Duties. ------DocID 23972 Document 214 of 1438------ -CITE- 18 USC Sec. 544 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 544. Relanding of goods -STATUTE- If any merchandise entered or withdrawn for exportation without payment of the duties thereon, or with intent to obtain a drawback of the duties paid, or of any other allowances given by law on the exportation thereof, is relanded at any place in the United States without entry having been made, such merchandise shall be considered as having been imported into the United States contrary to law, and each person concerned shall be fined not more than $5,000 or imprisoned not more than two years, or both; and such merchandise shall be forfeited. The term 'any place in the United States', as used in this section, shall not include the Philippine Islands, Virgin Islands, American Samoa, Wake Island, Midway Islands, Kingman Reef, Johnston Island, or Guam. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 716; June 30, 1955, ch. 258, Sec. 2(c), 69 Stat. 242.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1589 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 589, 46 Stat. 750). The final paragraph was added to conform with section 1709 of title 19, U.S.C., 1940 ed. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The Philippine Islands, referred to in text, are independent and known as the Republic of the Philippines. See section 1394 of Title 22, Foreign Relations and Intercourse, and 1946 Proc. No. 2695, set out as a note under that section. -MISC2- AMENDMENTS 1955 - Act June 30, 1955, inserted reference to Johnston Island in last par. EFFECTIVE DATE OF 1955 AMENDMENT Amendment by act June 30, 1955, effective July 1, 1955, see section 2(d) of act June 30, 1955, set out as a note under section 1401 of Title 19, Customs Duties. ------DocID 23973 Document 215 of 1438------ -CITE- 18 USC Sec. 545 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 545. Smuggling goods into the United States -STATUTE- Whoever knowingly and willfully, with intent to defraud the United States, smuggles, or clandestinely introduces into the United States any merchandise which should have been invoiced, or makes out or passes, or attempts to pass, through the customhouse any false, forged, or fraudulent invoice, or other document or paper; or Whoever fraudulently or knowingly imports or brings into the United States, any merchandise contrary to law, or receives, conceals, buys, sells, or in any manner facilitates the transportation, concealment, or sale of such merchandise after importation, knowing the same to have been imported or brought into the United States contrary to law - Shall be fined not more than $10,000 or imprisoned not more than five years, or both. Proof of defendant's possession of such goods, unless explained to the satisfaction of the jury, shall be deemed evidence sufficient to authorize conviction for violation of this section. Merchandise introduced into the United States in violation of this section, or the value thereof, to be recovered from any person described in the first or second paragraph of this section, shall be forfeited to the United States. The term 'United States', as used in this section, shall not include the Philippine Islands, Virgin Islands, American Samoa, Wake Island, Midway Islands, Kingman Reef, Johnston Island, or Guam. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 716; Aug. 24, 1954, ch. 890, Sec. 1, 68 Stat. 782; Sept. 1, 1954, ch. 1213, title V, Sec. 507, 68 Stat. 1141; June 30, 1955, ch. 258, Sec. 2(c), 69 Stat. 242.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1593 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 593, 46 Stat. 751). Reference in first paragraph to aiders, contained in words 'his, her, or their aiders and abettors' was omitted as unnecessary since such persons are made principals by section 2 of this title. For the same reason words 'or assists in so doing' in second paragraph were deleted. Words 'shall be deemed guilty of a misdemeanor,' in first paragraph were omitted in view of definition of misdemeanor in section 1 of this title. Conviction provision in first paragraph reading 'and on conviction thereof' was deleted as surplusage since punishment cannot be imposed until a conviction is secured. Minimum punishment provision 'nor less than $50' in second paragraph was deleted. Forfeiture provision was rephrased to make it clear that forfeiture was not dependent upon conviction. The final paragraph was added to conform with section 1709 of title 19, U.S.C., 1940 ed. Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The Philippine Islands, referred to in text, are independent and known as the Republic of the Philippines. See section 1394 of Title 22, Foreign Relations and Intercourse, and 1946 Proc. No. 2695, set out as a note under that section. -MISC2- AMENDMENTS 1955 - Act June 30, 1955, inserted reference to Johnston Island. 1954 - Act Sept. 1, 1954, permitted forfeiture of value of merchandise imported in violation of section. Act Aug. 24, 1954, increased fine from $5,000 to $10,000 and imprisonment from two years to five years. EFFECTIVE DATE OF 1955 AMENDMENT Amendment by act June 30, 1955, effective July 1, 1955, see section 2(d) of act June 30, 1955, set out as a note under section 1401 of Title 19, Customs Duties. EFFECTIVE DATE OF 1954 AMENDMENT Section 2 of act Aug. 24, 1954, provided that: 'The amendments made by the first section of this Act (amending this section) shall apply only with respect to offenses committed on and after the date of the enactment of this Act (Aug. 24, 1954).' -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Searches and seizures, generally, see rule 41, Appendix to this title. CROSS REFERENCES False shipping manifest or lack of manifest in connection with importation of goods, penalties, see section 1584 of Title 19, Customs Duties. Forfeitures generally, see sections 2461 to 2465 of Title 28, Judiciary and Judicial Procedure. Narcotic drugs - Penalty for aiding unlawful importation, see section 1595a of Title 19, Customs Duties. Search of vehicles and persons, see section 482 of Title 19. Seizure and forfeiture of, see section 881 of Title 21, Food and Drugs. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title; title 21 sections 135a, 967. ------DocID 23974 Document 216 of 1438------ -CITE- 18 USC Sec. 546 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 546. Smuggling goods into foreign countries -STATUTE- Any person owning in whole or in part any vessel of the United States who employs, or participates in, or allows the employment of, such vessel for the purpose of smuggling, or attempting to smuggle, or assisting in smuggling, any merchandise into the territory of any foreign government in violation of the laws there in force, if under the laws of such foreign government any penalty or forfeiture is provided for violation of the laws of the United States respecting the customs revenue, and any citizen of, or person domiciled in, or any corporation incorporated in, the United States, controlling or substantially participating in the control of any such vessel, directly or indirectly, whether through ownership of corporate shares or otherwise, and allowing the employment of said vessel for any such purpose, and any person found, or discovered to have been, on board of any such vessel so employed and participating or assisting in any such purpose, shall be fined not more than $5,000 or imprisoned not more than two years, or both. It shall constitute an offense under this section to hire out or charter a vessel if the lessor or charterer has knowledge or reasonable grounds for belief that the lessee or person chartering the vessel intends to employ such vessel for any of the purposes described in this section and if such vessel is, during the time such lease or charter is in effect, employed for any such purpose. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1702 of title 19, U.S.C., 1940 ed., Customs Duties (Aug. 5, 1935, ch. 438, title I, Sec. 2, 49 Stat. 518). Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The laws of the United States respecting the customs revenue, referred to in text, are classified generally to Title 19, Customs Duties. ------DocID 23975 Document 217 of 1438------ -CITE- 18 USC Sec. 547 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 547. Depositing goods in buildings on boundaries -STATUTE- Whoever receives or deposits any merchandise in any building upon the boundary line between the United States and any foreign country, or carries any merchandise through the same, in violation of law, shall be fined not more than $5,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1596 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 596, 46 Stat. 752). Reference to persons aiding, contained in words 'or aids therein,' was omitted as such persons are made principals by section 2 of this title. Changes were made in phraseology. -CROSS- CROSS REFERENCES Searches and seizures, see section 1595 of Title 19, Customs Duties. ------DocID 23976 Document 218 of 1438------ -CITE- 18 USC Sec. 548 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 548. Removing or repacking goods in warehouses -STATUTE- Whoever fraudulently conceals, removes, or repacks merchandise in any bonded warehouse or fraudulently alters, defaces or obliterates any marks or numbers placed upon packages deposited in such warehouse, shall be fined not more than $5,000 or imprisoned not more than two years, or both. Merchandise so concealed, removed, or repacked, or packages upon which any marks or numbers have been so altered, defaced, or obliterated, shall be forfeited to the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1597 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 597, 46 Stat. 752). This section was rewritten to place the criminal provisions ahead of the forfeiture provisions. This did not require any substantive changes except omission of reference to persons aiding. Such persons are made principals by section 2 of this title. The punishment prescribed by section 545 of this title was inserted to make this section complete without reference to another section. In doing so it was necessary to rephrase the punishment provision of section 545 of this title, as originally enacted, without change of substance. Forfeiture provision was rephrased to make it clear that forfeiture was not dependent upon conviction. Changes were made in phraseology. ------DocID 23977 Document 219 of 1438------ -CITE- 18 USC Sec. 549 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 549. Removing goods from customs custody; breaking seals -STATUTE- Whoever, without authority, affixes or attaches a customs seal, fastening, or mark, or any seal, fastening, or mark purporting to be a customs seal, fastening, or mark to any vessel, vehicle, warehouse, or package; or Whoever, without authority, willfully removes, breaks, injures, or defaces any customs seal or other fastening or mark placed upon any vessel, vehicle, warehouse, or package containing merchandise or baggage in bond or in customs custody; or Whoever maliciously enters any bonded warehouse or any vessel or vehicle laden with or containing bonded merchandise with intent unlawfully to remove therefrom any merchandise or baggage therein, or unlawfully removes any merchandise or baggage in such vessel, vehicle, or bonded warehouse or otherwise in customs custody or control; or Whoever receives or transports any merchandise or baggage unlawfully removed from any such vessel, vehicle, or warehouse, knowing the same to have been unlawfully removed - Shall be fined not more than $5,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 717.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1598 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 598, 46 Stat. 752; June 25, 1938, ch. 679, Sec. 26, 52 Stat. 1089). Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. In view of definition of felony in section 1 of this title words 'guilty of a felony' were omitted. (See reviser's note under section 550 of this title.) The punishment prescribed by section 545 of this title was inserted to make this section complete without reference to another section. In doing so it was necessary to rephrase the punishment provision of section 545 of this title, as originally enacted, without change of substance. Forfeiture provision was omitted to conform with current administrative practice. Changes were made in phraseology. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 23978 Document 220 of 1438------ -CITE- 18 USC Sec. 550 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 550. False claim for refund of duties -STATUTE- Whoever knowingly and willfully files any false or fraudulent entry or claim for the payment of drawback, allowance, or refund of duties upon the exportation of merchandise, or knowingly or willfully makes or files any false affidavit, abstract, record, certificate, or other document, with a view to securing the payment to himself or others of any drawback, allowance, or refund of duties, on the exportation of merchandise, greater than that legally due thereon, shall be fined not more than $5,000 or imprisoned not more than two years, or both, and such merchandise or the value thereof shall be forfeited. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 718.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1590 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 590, 46 Stat. 750). Reference to felony, contained in words 'such person shall be guilty of a felony' was omitted as unnecessary in view of definition of felony in section 1 of this title. This, too, was the policy adopted by the codifiers of the 1909 Criminal Code. (See S. Rept. 10, pt. I, pp. 12, 13, and 14, 60th Cong., 1st sess.) Words 'and upon conviction thereof' before 'shall be punished' were also omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Changes were made in phraseology. ------DocID 23979 Document 221 of 1438------ -CITE- 18 USC Sec. 551 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 551. Concealing or destroying invoices or other papers -STATUTE- Whoever willfully conceals or destroys any invoice, book, or paper relating to any merchandise imported into the United States, after an inspection thereof has been demanded by the collector of any collection district; or Whoever conceals or destroys at any time any such invoice, book, or paper for the purpose of suppressing any evidence of fraud therein contained - Shall be fined not more than $5,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 718.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 120 (Mar. 4, 1909, ch. 321, Sec. 64, 35 Stat. 1100). Minor changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS All offices of collector of customs, comptroller of customs, surveyor of customs, and appraiser of merchandise in Bureau of Customs of Department of the Treasury to which appointments were required to be made by President with advice and consent of Senate ordered abolished, with such offices to be terminated not later than Dec. 31, 1966, by Reorg. Plan No. 1 of 1965, eff. May 25, 1965, 30 F.R. 7035, 79 Stat. 1317, set out in the Appendix to Title 5, Government Organization and Employees. All functions of offices eliminated were already vested in Secretary of the Treasury by Reorg. Plan No. 26 of 1950, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5. -CROSS- CROSS REFERENCES Invoices generally, see section 1481 of Title 19, Customs Duties. ------DocID 23980 Document 222 of 1438------ -CITE- 18 USC Sec. 552 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 552. Officers aiding importation of obscene or treasonous books and articles -STATUTE- Whoever, being an officer, agent, or employee of the United States, knowingly aids or abets any person engaged in any violation of any of the provisions of law prohibiting importing, advertising, dealing in, exhibiting, or sending or receiving by mail obscene or indecent publications or representations, or books, pamphlets, papers, writings, advertisements, circulars, prints, pictures, or drawings containing any matter advocating or urging treason or insurrection against the United States or forcible resistance to any law of the United States, or containing any threat to take the life of or inflict bodily harm upon any person in the United States, or means for procuring abortion, or other articles of indecent or immoral use or tendency, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 718; Jan. 8, 1971, Pub. L. 91-662, Sec. 2, 84 Stat. 1973.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1305(b) of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title III, Sec. 305(b), 46 Stat. 688). In view of definition of misdemeanor in section 1 of this title words 'shall be deemed guilty of a misdemeanor, and' were omitted. Words 'at hard labor' after 'imprisonment' were omitted. (See reviser's note under section 1 of this title.) Changes were made in phraseology. AMENDMENTS 1971 - Pub. L. 91-662 struck out 'preventing conception or' before 'procuring abortion'. EFFECTIVE DATE OF 1971 AMENDMENT Section 7 of Pub. L. 91-662 provided that: 'The amendments made by this Act (other than by section 6) (amending this section, sections 1461 and 1462 of this title, and section 1305 of Title 19, Customs Duties) shall take effect on the day after the date of the enactment of this Act (Jan. 8, 1971).' -CROSS- CROSS REFERENCES Bribery of public officials, see section 201 of this title. Compromise of customs liabilities, penalty, see section 1915 of this title. Forfeitures, penalty for aiding unlawful importation, see section 1595a of Title 19, Customs Duties. Immoral articles, importation prohibited, see section 1305 of Title 19. ------DocID 23981 Document 223 of 1438------ -CITE- 18 USC Sec. 553 -EXPCITE- TITLE 18 PART I CHAPTER 27 -HEAD- Sec. 553. Importation or exportation of stolen motor vehicles, off-highway mobile equipment, vessels, or aircraft -STATUTE- (a) Whoever knowingly imports, exports, or attempts to import or export - (1) any motor vehicle, off-highway mobile equipment, vessel, aircraft, or part of any motor vehicle, off-highway mobile equipment, vessel, or aircraft, knowing the same to have been stolen; or (2) any motor vehicle or off-highway mobile equipment or part of any motor vehicle or off-highway mobile equipment, knowing that the identification number of such motor vehicle, equipment, or part has been removed, obliterated, tampered with, or altered; shall be fined not more than $15,000 or imprisoned not more than five years, or both. (b) Subsection (a)(2) shall not apply if the removal, obliteration, tampering, or alteration - (1) is caused by collision or fire; or (2)(A) in the case of a motor vehicle, is not a violation of section 511 of this title (relating to altering or removing motor vehicle identification numbers); or (B) in the case of off-highway mobile equipment, would not be a violation of section 511 of this title if such equipment were a motor vehicle. (c) As used in this section, the term - (1) 'motor vehicle' has the meaning given that term in section 2 of the Motor Vehicle Information and Cost Savings Act; (2) 'off-highway mobile equipment' means any self-propelled agricultural equipment, self-propelled construction equipment, and self-propelled special use equipment, used or designed for running on land but not on rail or highway; (3) 'vessel' has the meaning given that term in section 401 of the Tariff Act of 1930 (19 U.S.C. 1401); (4) 'aircraft' has the meaning given that term in section 101 of the Federal Aviation Act of 1958 (49 U.S.C. App. 1301); and (5) 'identification number' - (A) in the case of a motor vehicle, has the meaning given that term in section 511 of this title; and (B) in the case of any other vehicle or equipment covered by this section, means a number or symbol assigned to the vehicle or equipment, or part thereof, by the manufacturer primarily for the purpose of identifying such vehicle, equipment, or part. -SOURCE- (Added Pub. L. 98-547, title III, Sec. 301(a), Oct. 25, 1984, 98 Stat. 2771, and amended Pub. L. 100-690, title VII, Sec. 7021, Nov. 18, 1988, 102 Stat. 4396.) -REFTEXT- REFERENCES IN TEXT Section 2 of the Motor Vehicle Information and Cost Savings Act, referred to in subsec. (c)(1), is classified to section 1901 of Title 15, Commerce and Trade. -MISC2- AMENDMENTS 1988 - Subsec. (b)(2). Pub. L. 100-690 amended par. (2) generally. Prior to amendment, par. (2) read as follows: 'is not a violation of section 511 of this title.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 15 section 2034. ------DocID 23982 Document 224 of 1438------ -CITE- 18 USC CHAPTER 29 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- CHAPTER 29 - ELECTIONS AND POLITICAL ACTIVITIES -MISC1- Sec. (591. Repealed.) 592. Troops at polls. 593. Interference by armed forces. 594. Intimidation of voters. 595. Interference by administrative employees of Federal, State, or Territorial Governments. 596. Polling armed forces. 597. Expenditures to influence voting. 598. Coercion by means of relief appropriations. 599. Promise of appointment by candidate. 600. Promise of employment or other benefit for political activity. 601. Deprivation of employment or other benefit for political contribution. 602. Solicitation of political contributions. 603. Making political contributions. 604. Solicitation from persons on relief. 605. Disclosure of names of persons on relief. 606. Intimidation to secure political contributions. 607. Place of solicitation. 608. Absent uniformed services voters and overseas voters. 609. Use of military authority to influence vote of member of Armed Forces. (610 to 617. Repealed.) SENATE REVISION AMENDMENT By Senate amendment, item 610 was changed to read, '610. Contributions or expenditures by national banks, corporations, or labor organizations'. See Senate Report No. 1620, amendment Nos. 4 and 5, 80th Cong. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3516, Nov. 29, 1990, 104 Stat. 4923, substituted 'Making political contributions' for 'Place of solicitation' in item 603 and 'Place of solicitation' for 'Making political contributions' in item 607. 1986 - Pub. L. 99-410, title II, Sec. 202(b), Aug. 28, 1986, 100 Stat. 929, added items 608 and 609. 1980 - Pub. L. 96-187, title II, Sec. 201(a)(2), Jan. 8, 1980, 93 Stat. 1367, struck out item 591 'Definitions'. 1976 - Pub. L. 94-453, Sec. 2, Oct. 2, 1976, 90 Stat. 1517, substituted 'political contribution' for 'political activity' in item 601. Pub. L. 94-283 title II, Sec. 201(b), May 11, 1976, 90 Stat. 496, struck out items '608. Limitations on contributions and expenditures', '610. Contributions or expenditures by national banks, corporations or labor organizations', '611. Contributions by Government contractors', '612. Publication or distribution of political statements', '613. Contributions by foreign nationals', '614. Prohibition of contributions in name of another', '615. Limitation on contributions of currency', '616. Acceptance of excessive honorariums', and '617. Fraudulent misrepresentation of campaign authority'. 1974 - Pub. L. 93-443, title I, Sec. 101(d)(4)(B), (f)(3), Oct. 15, 1974, 88 Stat. 1267, 1268, substituted 'Contributions by foreign nationals' for 'Contributions by agents of foreign principals' in item 613, and added items 614 to 617. 1972 - Pub. L. 92-225, title II, Sec. 207, Feb. 7, 1972, 86 Stat. 11, substituted 'contributions and expenditures' for 'political contributions and purchases' in item 608, 'Repealed' for 'Maximum contributions and expenditures' in item 609, and 'Government contractors' for 'firms or individuals contracting with the United States' in item 611. 1966 - Pub. L. 89-486, Sec. 8(c)(1), July 4, 1966, 80 Stat. 249, added item 613. STATE LAWS AFFECTED; DEFINITIONS Section 104 of Pub. L. 93-443 provided that: '(a) The provisions of chapter 29 of title 18, United States Code, relating to elections and political activities, supersede and preempt any provision of State law with respect to election to Federal office. '(b) For purposes of this section, the terms 'election', 'Federal office', and 'State' have the meanings given them by section 591 of title 18, United States Code.' ------DocID 23983 Document 225 of 1438------ -CITE- 18 USC Sec. 591 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- (Sec. 591. Repealed. Pub. L. 96-187, title II, Sec. 201(a)(1), Jan. 8, 1980, 93 Stat. 1367) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 719; May 24, 1949, ch. 139, Sec. 9, 63 Stat. 90; Sept. 22, 1970, Pub. L. 91-405, title II, Sec. 204(d)(4), 84 Stat. 853; Feb. 7, 1972, Pub. L. 92-225, title II, Sec. 201, 86 Stat. 8; Oct. 15, 1974, Pub. L. 93-443, title I, Sec. 101(f)(2), 102, 88 Stat. 1268, 1269; May 11, 1976, Pub. L. 94-283, title I, Sec. 115(g), title II, Sec. 202, 90 Stat. 496, 497, defined terms applicable to prohibitions respecting elections and political activities. EFFECTIVE DATE OF REPEAL Repeal effective Jan. 8, 1980, see section 301(a) of Pub. L. 96-187, set out as an Effective Date of 1980 Amendment note under section 431 of Title 2, The Congress. ------DocID 23984 Document 226 of 1438------ -CITE- 18 USC Sec. 592 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 592. Troops at polls -STATUTE- Whoever, being an officer of the Army or Navy, or other person in the civil, military, or naval service of the United States, orders, brings, keeps, or has under his authority or control any troops or armed men at any place where a general or special election is held, unless such force be necessary to repel armed enemies of the United States, shall be fined not more than $5,000 or imprisoned not more than five years, or both; and be disqualified from holding any office of honor, profit, or trust under the United States. This section shall not prevent any officer or member of the armed forces of the United States from exercising the right of suffrage in any election district to which he may belong, if otherwise qualified according to the laws of the State in which he offers to vote. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 719.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 55 and 59 (Mar. 4, 1909, ch. 321, Sec. 22, 26, 35 Stat. 1092, 1093). This section consolidates sections 55 and 59 of title 18, U.S.C., 1940 ed. Mandatory punishment provision was rephrased in the alternative. In second paragraph, words 'or member of the Armed Forces of the United States' were substituted for 'soldier, sailor, or marine' so as to cover those auxiliaries which are now component parts of the Army and Navy. Changes in phraseology were also made. -CROSS- CROSS REFERENCES Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 204, 1901, 2071, 2381, 2385, and 2387 of this title. ------DocID 23985 Document 227 of 1438------ -CITE- 18 USC Sec. 593 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 593. Interference by armed forces -STATUTE- Whoever, being an officer or member of the Armed Forces of the United States, prescribes or fixes or attempts to prescribe or fix, whether by proclamation, order or otherwise, the qualifications of voters at any election in any State; or Whoever, being such officer or member, prevents or attempts to prevent by force, threat, intimidation, advice or otherwise any qualified voter of any State from fully exercising the right of suffrage at any general or special election; or Whoever, being such officer or member, orders or compels or attempts to compel any election officer in any State to receive a vote from a person not legally qualified to vote; or Whoever, being such officer or member, imposes or attempts to impose any regulations for conducting any general or special election in a State, different from those prescribed by law; or Whoever, being such officer or member, interferes in any manner with an election officer's discharge of his duties - Shall be fined not more than $5,000 or imprisoned not more than five years, or both; and disqualified from holding any office of honor, profit or trust under the United States. This section shall not prevent any officer or member of the Armed Forces from exercising the right of suffrage in any district to which he may belong, if otherwise qualified according to the laws of the State of such district. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 719.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 56-59 (Mar. 4, 1909, ch. 321, Sec. 23-26, 35 Stat. 1092, 1093). Four sections were consolidated with only such changes of phraseology as were necessary to effect the consolidation. -CROSS- CROSS REFERENCES Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 1901, 2071, 2381, 2385, and 2387 of this title. Interference by Army or Navy officers with freedom of elections, see section 1972 of Title 42, The Public Health and Welfare. ------DocID 23986 Document 228 of 1438------ -CITE- 18 USC Sec. 594 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 594. Intimidation of voters -STATUTE- Whoever intimidates, threatens, coerces, or attempts to intimidate, threaten, or coerce, any other person for the purpose of interfering with the right of such other person to vote or to vote as he may choose, or of causing such other person to vote for, or not to vote for, any candidate for the office of President, Vice President, Presidential elector, Member of the Senate, Member of the House of Representatives, Delegate from the District of Columbia, or Resident Commissioner, at any election held solely or in part for the purpose of electing such candidate, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 720; Sept. 22, 1970, Pub. L. 91-405, title II, Sec. 204(d)(5), 84 Stat. 853.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61, 61g (Aug. 2, 1939, 11:50 a.m. E.S.T., ch. 410, Sec. 1, 8, 53 Stat. 1147, 1148). This section consolidates sections 61 and 61g of title 18, U.S.C., 1940 ed., with changes in phraseology only. AMENDMENTS 1970 - Pub. L. 91-405 substituted 'Delegate from the District of Columbia, or Resident Commissioner' for 'Delegates or Commissioners from the Territories and possessions'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-405 effective Sept. 22, 1970, see section 206(b) of Pub. L. 91-405, set out as an Effective Date note under section 25a of Title 2, The Congress. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23987 Document 229 of 1438------ -CITE- 18 USC Sec. 595 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 595. Interference by administrative employees of Federal, State, or Territorial Governments -STATUTE- Whoever, being a person employed in any administrative position by the United States, or by any department or agency thereof, or by the District of Columbia or any agency or instrumentality thereof, or by any State, Territory, or Possession of the United States, or any political subdivision, municipality, or agency thereof, or agency of such political subdivision or municipality (including any corporation owned or controlled by any State, Territory, or Possession of the United States or by any such political subdivision, municipality, or agency), in connection with any activity which is financed in whole or in part by loans or grants made by the United States, or any department or agency thereof, uses his official authority for the purpose of interfering with, or affecting, the nomination or the election of any candidate for the office of President, Vice President, Presidential elector, Member of the Senate, Member of the House of Representatives, Delegate from the District of Columbia, or Resident Commissioner, shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not prohibit or make unlawful any act by any officer or employee of any educational or research institution, establishment, agency, or system which is supported in whole or in part by any state or political subdivision thereof, or by the District of Columbia or by any Territory or Possession of the United States; or by any recognized religious, philanthropic or cultural organization. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 720; Sept. 22, 1970, Pub. L. 91-405, title II, Sec. 204(d)(6), 84 Stat. 853.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61a, 61g, 61n, 61s, 61u (Aug. 2, 1939, 11:50 a.m., E.S.T., ch. 410, Sec. 2, 8, 53 Stat. 1147, 1148; July 19, 1940, ch. 640, Sec. 1, 54 Stat. 767; Aug. 2, 1939, ch. 410, Sec. 14, 19, as added July 19, 1940, ch. 640, Sec. 4, 54 Stat. 767; Aug. 2, 1939, ch. 410, Sec. 21, as added Oct. 24, 1942, ch. 620, 56 Stat. 986). This section consolidates sections 61s, 61n, and 61g with 61a, all of title 18, U.S.C., 1940 ed., in first paragraph, and incorporates section 61u as second paragraph. Words 'or agency thereof' and words 'or any department or agency thereof' were inserted to remove any possible ambiguity as to scope of section. (See definitions of department and agency in section 6 of this title.) Words 'or by the District of Columbia or any agency or instrumentality thereof' were inserted upon authority of section 61n of title 18, U.S.C., 1940 ed., which provided that for the purposes of this section, 'persons employed in the government of the District of Columbia shall be deemed to be employed in the executive branch of the Government of the United States.' After 'State' the words 'Territory, or Possession of the United States' were inserted in two places upon authority of section 61s of title 18, U.S.C., 1940 ed., which defined 'State,' as used in this section, as 'any State, Territory, or possession of the United States.' The punishment provision was derived from section 61g of title 18, U.S.C., 1940 ed., which, by reference, made this punishment applicable to this section. The second paragraph was derived from section 61u of title 18, U.S.C., 1940 ed., which made its provisions applicable to this section by reference. Changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-405 substituted reference to Delegate from District of Columbia or Resident Commissioner for Delegate or Resident Commissioner from any Territory or Possession. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-405 effective Sept. 22, 1970, see section 206(b) of Pub. L. 91-405, set out as an Effective Date note under section 25a of Title 2, The Congress. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23988 Document 230 of 1438------ -CITE- 18 USC Sec. 596 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 596. Polling armed forces -STATUTE- Whoever, within or without the Armed Forces of the United States, polls any member of such forces, either within or without the United States, either before or after he executes any ballot under any Federal or State law, with reference to his choice of or his vote for any candidate, or states, publishes, or releases any result of any purported poll taken from or among the members of the Armed Forces of the United States or including within it the statement of choice for such candidate or of such votes cast by any member of the Armed Forces of the United States, shall be fined not more than $1,000 or imprisoned for not more than one year, or both. The word 'poll' means any request for information, verbal or written, which by its language or form of expression requires or implies the necessity of an answer, where the request is made with the intent of compiling the result of the answers obtained, either for the personal use of the person making the request, or for the purpose of reporting the same to any other person, persons, political party, unincorporated association or corporation, or for the purpose of publishing the same orally, by radio, or in written or printed form. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 720.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 344 of title 50, U.S.C., 1940 ed., War and National Defense (Sept. 16, 1942, ch. 561, title III, Sec. 314, as added Apr. 1, 1944, ch. 150, 58 Stat. 146). Changes in phraseology were made. ------DocID 23989 Document 231 of 1438------ -CITE- 18 USC Sec. 597 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 597. Expenditures to influence voting -STATUTE- Whoever makes or offers to make an expenditure to any person, either to vote or withhold his vote, or to vote for or against any candidate; and Whoever solicits, accepts, or receives any such expenditure in consideration of his vote or the withholding of his vote - Shall be fined not more than $1,000 or imprisoned not more than one year, or both; and if the violation was willful, shall be fined not more than $10,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 721.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 250, 252, of title 2, U.S.C., 1940 ed., The Congress (Feb. 28, 1925, ch. 368, title III, Sec. 311, 314, 43 Stat. 1073, 1074). This section consolidates the provisions of sections 250 and 252 of title 2, U.S.C., 1940 ed., The Congress. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. The punishment provisions of section 252 of title 2, U.S.C., 1940 ed., The Congress, were incorporated at end of section upon authority of reference in such section making them applicable to this section. Words 'or both' were added to conform to the almost universal formula of the punishment provisions of this title. Changes were made in phraseology. -CROSS- CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. ------DocID 23990 Document 232 of 1438------ -CITE- 18 USC Sec. 598 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 598. Coercion by means of relief appropriations -STATUTE- Whoever uses any part of any appropriation made by Congress for work relief, relief, or for increasing employment by providing loans and grants for public-works projects, or exercises or administers any authority conferred by any Appropriation Act for the purpose of interfering with, restraining, or coercing any individual in the exercise of his right to vote at any election, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 721.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61f, 61g (Aug. 2, 1939, 11:50 a.m., E.S.T., ch. 410. Sec. 7, 8, 53 Stat. 1148). This section consolidates sections 61f and 61g of title 18, U.S.C., 1940 ed., with changes of phraseology necessary to effect consolidation. The punishment provision was derived from section 61g of title 18, U.S.C., 1940 ed., which, by reference, was made applicable to this section. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23991 Document 233 of 1438------ -CITE- 18 USC Sec. 599 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 599. Promise of appointment by candidate -STATUTE- Whoever, being a candidate, directly or indirectly promises or pledges the appointment, or the use of his influence or support for the appointment of any person to any public or private position or employment, for the purpose of procuring support in his candidacy shall be fined not more than $1,000 or imprisoned not more than one year, or both; and if the violation was willful, shall be fined not more than $10,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 721.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 249, 252, of title 2, U.S.C., 1940 ed., The Congress (Feb. 28, 1925, ch. 368, title III, Sec. 310, 314, 43 Stat. 1073, 1074). This section consolidates the provisions of sections 249 and 252 of title 2, U.S.C., 1940 ed., The Congress, with changes in arrangement and phraseology necessary to effect consolidation. Words 'or both' were added to conform to the almost universal formula of the punishment provisions of this title. -CROSS- CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. ------DocID 23992 Document 234 of 1438------ -CITE- 18 USC Sec. 600 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 600. Promise of employment or other benefit for political activity -STATUTE- Whoever, directly or indirectly, promises any employment, position, compensation, contract, appointment, or other benefit, provided for or made possible in whole or in part by any Act of Congress, or any special consideration in obtaining any such benefit, to any person as consideration, favor, or reward for any political activity or for the support of or opposition to any candidate or any political party in connection with any general or special election to any political office, or in connection with any primary election or political convention or caucus held to select candidates for any political office, shall be fined not more than $10,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 721; Feb. 7, 1972, Pub. L. 92-225, title II, Sec. 202, 86 Stat. 9; Oct. 2, 1976, Pub. L. 94-453, Sec. 3, 90 Stat. 1517.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61b, 61g (Aug. 2, 1939, 11:50 a.m., E.S.T., ch. 410, Sec. 3, 8, 53 Stat. 1147, 1148). This section consolidates sections 61b and 61g of title 18, U.S.C., 1940 ed. Minor changes were made in phraseology. AMENDMENTS 1976 - Pub. L. 94-453 substituted $10,000 for $1,000 maximum allowable fine. 1972 - Pub. L. 92-225 struck out 'work,' after 'position,', inserted 'contract, appointment,' after 'compensation,' and 'or any special consideration in obtaining any such benefit,' after 'Act of Congress,', and substituted 'in connection with any general or special election to any political office, or in connection with any primary election or political convention or caucus held to select candidates for any political office' for 'in any election'. EFFECTIVE DATE OF 1972 AMENDMENT Amendment by Pub. L. 92-225 effective Dec. 31, 1971, or sixty days after date of enactment (Feb. 7, 1972), whichever is later, see section 408 of Pub. L. 92-225, set out as an Effective Date note under section 431 of Title 2, The Congress. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23993 Document 235 of 1438------ -CITE- 18 USC Sec. 601 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 601. Deprivation of employment or other benefit for political contribution -STATUTE- (a) Whoever, directly or indirectly, knowingly causes or attempts to cause any person to make a contribution of a thing of value (including services) for the benefit of any candidate or any political party, by means of the denial or deprivation, or the threat of the denial or deprivation, of - (1) any employment, position, or work in or for any agency or other entity of the Government of the United States, a State, or a political subdivision of a State, or any compensation or benefit of such employment, position, or work; or (2) any payment or benefit of a program of the United States, a State, or a political subdivision of a State; if such employment, position, work, compensation, payment, or benefit is provided for or made possible in whole or in part by an Act of Congress, shall be fined not more than $10,000, or imprisoned not more than one year, or both. (b) As used in this section - (1) the term 'candidate' means an individual who seeks nomination for election, or election, to Federal, State, or local office, whether or not such individual is elected, and, for purposes of this paragraph, an individual shall be deemed to seek nomination for election, or election, to Federal, State, or local office, if he has (A) taken the action necessary under the law of a State to qualify himself for nomination for election, or election, or (B) received contributions or made expenditures, or has given his consent for any other person to receive contributions or make expenditures, with a view to bringing about his nomination for election, or election, to such office; (2) the term 'election' means (A) a general, special primary, or runoff election, (B) a convention or caucus of a political party held to nominate a candidate, (C) a primary election held for the selection of delegates to a nominating convention of a political party, (D) a primary election held for the expression of a preference for the nomination of persons for election to the office of President, and (E) the election of delegates to a constitutional convention for proposing amendments to the Constitution of the United States or of any State; and (3) the term 'State' means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any territory or possession of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 721; Oct. 2, 1976, Pub. L. 94-453, Sec. 1, 90 Stat. 1516.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61c, 61g (Aug. 2, 1939, 11:50 a.m., E.S.T., ch. 410, Sec. 4, 8, 53 Stat. 1147, 1148). This section consolidates sections 61c and 61g of title 18, U.S.C., 1940 ed. The words 'except as required by law' were used as sufficient to cover the reference to the exception made to the provisions of subsection (b), section 61h of title 18, U.S.C., 1940 ed., which expressly prescribes the circumstances under which a person may be lawfully deprived of his employment and compensation therefor. Changes were made in phraseology. AMENDMENTS 1976 - Pub. L. 94-453 struck out provisions relating to deprivations based upon race, creed, and color which are now set out in section 246 of this title, replaced term 'political activity' with more precise terms and definitions, and raised the amount of maximum fine from $1,000 to $10,000. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23994 Document 236 of 1438------ -CITE- 18 USC Sec. 602 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 602. Solicitation of political contributions -STATUTE- It shall be unlawful for - (1) a candidate for the Congress; (2) an individual elected to or serving in the office of Senator or Representative in, or Delegate or Resident Commissioner to, the Congress; (3) an officer or employee of the United States or any department or agency thereof; or (4) a person receiving any salary or compensation for services from money derived from the Treasury of the United States to knowingly solicit, any contribution within the meaning of section 301(8) of the Federal Election Campaign Act of 1971 from any other such officer, employee, or person. Any person who violates this section shall be fined not more than $5,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 722; Jan. 8, 1980, Pub. L. 96-187, title II, Sec. 201(a)(3), 93 Stat. 1367.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 208, 212 (Mar. 4, 1909, ch. 321, Sec. 118, 122, 35 Stat. 1110; Feb. 28, 1925, ch. 368, Sec. 312, 43 Stat. 1073). This section consolidates sections 208 and 212 of title 18, U.S.C., 1940 ed. This section, like section 201 of this title, was expanded to embrace all officers or persons acting on behalf of any independent agencies or Government-owned or controlled corporations by inserting words 'or any department or agency thereof.' (See definitive section 6 of this title.) The punishment provision was taken from section 212 of title 18, U.S.C., 1940 ed., which, by reference, made the punishment applicable to the crime described in this section. Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 301(8) of the Federal Election Campaign Act of 1971, referred to in par. (4), is classified to section 431(8) of Title 2, The Congress. -MISC2- AMENDMENTS 1980 - Pub. L. 96-187 amended section generally to conform its terms to revision of the Federal Election Campaign Act of 1971 by title I of Pub. L. 96-187. EFFECTIVE DATE OF 1980 AMENDMENT Amendment by Pub. L. 96-187 effective Jan. 8, 1980, see section 301(a) of Pub. L. 96-187, set out as a note under section 431 of Title 2, The Congress. DELEGATE FROM DISTRICT OF COLUMBIA Provisions of Federal Corrupt Practices Act applicable with respect to Delegate to House of Representatives from District of Columbia in same manner and to same extent as applicable with respect to a Representative, see section 25b of Title 2, The Congress. -CROSS- CROSS REFERENCES Place of solicitation, see section 607 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 606 of this title; title 5 section 3374. ------DocID 23995 Document 237 of 1438------ -CITE- 18 USC Sec. 603 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 603. Making political contributions -STATUTE- (a) It shall be unlawful for an officer or employee of the United States or any department or agency thereof, or a person receiving any salary or compensation for services from money derived from the Treasury of the United States, to make any contribution within the meaning of section 301(8) of the Federal Election Campaign Act of 1971 to any other such officer, employee or person or to any Senator or Representative in, or Delegate or Resident Commissioner to, the Congress, if the person receiving such contribution is the employer or employing authority of the person making the contribution. Any person who violates this section shall be fined not more than $5,000 or imprisoned not more than three years, or both. (b) For purposes of this section, a contribution to an authorized committee as defined in section 302(e)(1) of the Federal Election Campaign Act of 1971 shall be considered a contribution to the individual who has authorized such committee. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 722; Oct. 31, 1951, ch. 655, Sec. 20(b), 65 Stat. 718; Jan. 8, 1980, Pub. L. 96-187, title II, Sec. 201(a)(4), 93 Stat. 1367.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 209, 212 (Mar. 4, 1909, ch. 321, Sec. 119, 122, 35 Stat. 1110). This section consolidates sections 209 and 212 of title 18, U.S.C., 1940 ed., without change of substance. To eliminate ambiguity resulting from use of identical words in reference 'officer or employee of the United States mentioned in section 208 of this title' as those appearing in section 208 of title 18, U.S.C., 1940 ed., now section 602 of this title, words 'person mentioned in section 602 of this title' were inserted. Words 'from any such person' were inserted after 'purpose', so as to make it clear that the section does not embrace State employees in its provisions. Some Federal agencies are located in State buildings occupied by State employees. The punishment provision was derived from section 212 of title 18, U.S.C., 1940 ed. (See reviser's note under section 602 of this title.) Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 301(8) of the Federal Election Campaign Act of 1971, referred to in subsec. (a), is classified to section 431(8) of Title 2, The Congress. Section 302(e)(1) of the Federal Election Campaign Act of 1971, referred to in subsec. (b), is classified to section 432(e)(1) of Title 2. -MISC2- AMENDMENTS 1980 - Pub. L. 96-187 substituted provisions relating to the making of political contributions for provisions relating to the place of solicitation. See section 607 of this title. 1951 - Act Oct. 31, 1951, struck out 'from any such person' after 'purpose'. EFFECTIVE DATE OF 1980 AMENDMENT Amended by Pub. L. 96-187 effective Jan. 8, 1980, see section 301(a) of Pub. L. 96-187, set out as a note under section 431 of Title 2, The Congress. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 607 of this title; title 5 section 3374. ------DocID 23996 Document 238 of 1438------ -CITE- 18 USC Sec. 604 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 604. Solicitation from persons on relief -STATUTE- Whoever solicits or receives or is in any manner concerned in soliciting or receiving any assessment, subscription, or contribution for any political purpose from any person known by him to be entitled to, or receiving compensation, employment, or other benefit provided for or made possible by any Act of Congress appropriating funds for work relief or relief purposes, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 722.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61d, 61g (Aug. 2, 1939, 11:50 a.m., E.S.T., ch. 410, Sec. 5, 8, 53 Stat. 1148). This section consolidates sections 61d and 61g of title 18, U.S.C., 1940 ed. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23997 Document 239 of 1438------ -CITE- 18 USC Sec. 605 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 605. Disclosure of names of persons on relief -STATUTE- Whoever, for political purposes, furnishes or discloses any list or names of persons receiving compensation, employment or benefits provided for or made possible by any Act of Congress appropriating, or authorizing the appropriation of funds for work relief or relief purposes, to a political candidate, committee, campaign manager, or to any person for delivery to a political candidate, committee, or campaign manager; and Whoever receives any such list or names for political purposes - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 722.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 61e, 61g (Aug. 2, 1939, 11:50 a.m., E.S.T., ch. 410, Sec. 6, 8, 53 Stat. 1148). This section consolidates sections 61e and 61g of title 18, U.S.C., 1940 ed. Reference to persons aiding or assisting, contained in words 'or to aid or assist in furnishing or disclosing' was omitted as unnecessary as such persons are made principals by section 2 of this title. Changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 23998 Document 240 of 1438------ -CITE- 18 USC Sec. 606 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 606. Intimidation to secure political contributions -STATUTE- Whoever, being one of the officers or employees of the United States mentioned in section 602 of this title, discharges, or promotes, or degrades, or in any manner changes the official rank or compensation of any other officer or employee, or promises or threatens so to do, for giving or withholding or neglecting to make any contribution of money or other valuable thing for any political purpose, shall be fined not more than $5,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 722.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 210, 212 (Mar. 4, 1909, ch. 321, Sec. 120, 122, 35 Stat. 1110). This section consolidates sections 210 and 212 of title 18, U.S.C., 1940 ed. Changes were made in phraseology. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 5 section 3374. ------DocID 23999 Document 241 of 1438------ -CITE- 18 USC Sec. 607 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 607. Place of solicitation -STATUTE- (a) It shall be unlawful for any person to solicit or receive any contribution within the meaning of section 301(8) of the Federal Election Campaign Act of 1971 in any room or building occupied in the discharge of official duties by any person mentioned in section 603, or in any navy yard, fort, or arsenal. Any person who violates this section shall be fined not more than $5,000 or imprisoned not more than three years, or both. (b) The prohibition in subsection (a) shall not apply to the receipt of contributions by persons on the staff of a Senator or Representative in, or Delegate or Resident Commissioner to, the Congress, provided, that such contributions have not been solicited in any manner which directs the contributor to mail or deliver a contribution to any room, building, or other facility referred to in subsection (a), and provided that such contributions are transferred within seven days of receipt to a political committee within the meaning of section 302(e) of the Federal Election Campaign Act of 1971. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 722; Jan. 8, 1980, Pub. L. 96-187, title II, Sec. 201(a)(5), 93 Stat. 1367.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 211, 212 (Mar. 4, 1909, ch. 321, Sec. 121, 122, 35 Stat. 1110). This section consolidates sections 211 and 212 of title 18, U.S.C., 1940 ed. This section was expanded to embrace all officers or persons acting on behalf of any independent agencies or Government-owned or controlled corporations by inserting words 'or any department or agency thereof.' (See definitive section 6, and reviser's note under section 201 of this title.) Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 301(8) of the Federal Election Campaign Act of 1971, referred to in subsec. (a), is classified to section 431(8) of Title 2, The Congress. Section 302(e) of the Federal Election Campaign Act of 1971, referred to in subsec. (b), is classified to section 432(e) of Title 2. -MISC2- AMENDMENTS 1980 - Pub. L. 96-187 substituted provisions relating to the place of solicitation for provisions relating to the making of political contributions. EFFECTIVE DATE OF 1980 AMENDMENT Amendment by Pub. L. 96-187 effective Jan. 8, 1980, see section 301(a) of Pub. L. 96-187, set out as a note under section 431 of Title 2, The Congress. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 5 section 3374. ------DocID 24000 Document 242 of 1438------ -CITE- 18 USC Sec. 608 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 608. Absent uniformed services voters and overseas voters -STATUTE- (a) Whoever knowingly deprives or attempts to deprive any person of a right under the Uniformed and Overseas Citizens Absentee Voting Act shall be fined in accordance with this title or imprisoned not more than five years, or both. (b) Whoever knowingly gives false information for the purpose of establishing the eligibility of any person to register or vote under the Uniformed and Overseas Citizens Absentee Voting Act, or pays or offers to pay, or accepts payment for registering or voting under such Act shall be fined in accordance with this title or imprisoned not more than five years, or both. -SOURCE- (Added Pub. L. 99-410, title II, Sec. 202(a), Aug. 28, 1986, 100 Stat. 929.) -REFTEXT- REFERENCES IN TEXT The Uniformed and Overseas Citizens Absentee Voting Act, referred to in text, is Pub. L. 99-410, Aug. 28, 1986, 100 Stat. 924, which is classified principally to subchapter I-G (Sec. 1973ff et seq.) of chapter 20 of Title 42, The Public Health and Welfare. For complete classification of this Act to the Code, see Short Title note set out under section 1973ff of Title 42 and Tables. -MISC2- PRIOR PROVISIONS A prior section 608, acts June 25, 1948, ch. 645, 62 Stat. 723; Feb. 7, 1972, Pub. L. 92-225, title II, Sec. 203, 86 Stat. 9; Oct. 15, 1974, Pub. L. 93-443, title I, Sec. 101(a), (b), 88 Stat. 1263, 1266, which set limitations on campaign contributions and expenditures, was repealed by Pub. L. 94-283, title II, Sec. 201(a), May 11, 1976, 90 Stat. 496. See section 441a of Title 2, The Congress. EFFECTIVE DATE Section applicable with respect to elections taking place after Dec. 31, 1987, see section 204 of Pub. L. 99-410, set out as a note under section 1973ff of Title 42, The Public Health and Welfare. ------DocID 24001 Document 243 of 1438------ -CITE- 18 USC Sec. 609 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- Sec. 609. Use of military authority to influence vote of member of Armed Forces -STATUTE- Whoever, being a commissioned, noncommissioned, warrant, or petty officer of an Armed Force, uses military authority to influence the vote of a member of the Armed Forces or to require a member of the Armed Forces to march to a polling place, or attempts to do so, shall be fined in accordance with this title or imprisoned not more than five years, or both. Nothing in this section shall prohibit free discussion of political issues or candidates for public office. -SOURCE- (Added Pub. L. 99-410, title II, Sec. 202(a), Aug. 28, 1986, 100 Stat. 929.) -MISC1- PRIOR PROVISIONS A prior section 609, act June 25, 1948, ch. 645, 62 Stat. 723, which prescribed maximum contributions and expenditures limitation of $3,000,000 for any calendar year, was repealed by Pub. L. 92-225, title II, Sec. 204, Feb. 7, 1972, 86 Stat. 10, effective sixty days after Feb. 7, 1972. EFFECTIVE DATE Section applicable with respect to elections taking place after Dec. 31, 1987, see section 204 of Pub. L. 99-410, set out as a note under section 1973ff of Title 42, The Public Health and Welfare. ------DocID 24002 Document 244 of 1438------ -CITE- 18 USC Sec. 610 to 617 -EXPCITE- TITLE 18 PART I CHAPTER 29 -HEAD- (Sec. 610 to 617. Repealed. Pub. L. 94-283, title II, Sec. 201(a), May 11, 1976, 90 Stat. 496) -MISC1- Section 610, acts June 25, 1948, ch. 645, 62 Stat. 723; May 24, 1949, ch. 139, Sec. 10, 63 Stat. 90; Oct. 31, 1951, ch. 655, Sec. 20(c), 65 Stat. 718; Feb. 7, 1972, Pub. L. 92-225, title II, Sec. 205, 86 Stat. 10; Oct. 15, 1974, Pub. L. 93-443, title I, Sec. 101(e)(1), 88 Stat. 1267, prohibited campaign contributions or expenditures by national banks, corporations, and labor organizations. See section 441b of Title 2, The Congress. Section 611, acts June 25, 1948, ch. 645, 62 Stat. 724; Feb. 7, 1972, Pub. L. 92-225, title II, Sec. 206, 86 Stat. 10; Oct. 15, 1974, Pub. L. 93-443, title I, Sec. 101(e)(2), 103, 88 Stat. 1267, 1272, prohibited campaign contributions by government contractors. See section 441c of Title 2, The Congress. Section 612, acts June 25, 1948, ch. 645, 62 Stat. 724; Aug. 25, 1950, ch. 784, Sec. 2, 64 Stat. 475; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(7), 84 Stat. 777, regulated publication and distribution of political statements. See section 441d of Title 2, The Congress. Section 613, added Pub. L. 89-486, Sec. 8(a), July 4, 1966, 80 Stat. 248, and amended Pub. L. 93-443, title I, Sec. 101(d)(1)-(3), (4)(A), (e)(3), Oct. 15, 1974, 88 Stat. 1267, prohibited campaign contributions by foreign nationals. See section 441e of Title 2, The Congress. Section 614, added Pub. L. 93-443, title I, Sec. 101(f)(1), Oct. 15, 1974, 88 Stat. 1268, prohibited making of campaign contributions in the name of another. See section 441f of Title 2, The Congress. Section 615, added Pub. L. 93-443, title I, Sec. 101(f)(1), Oct. 15, 1974, 88 Stat. 1268, placed limitations on contributions of currency. See section 441g of Title 2, The Congress. Section 616, added Pub. L. 93-443, title I, Sec. 101(f)(1), Oct. 15, 1974, 88 Stat. 1268, prohibited acceptance of excessive honorariums. See section 441i of Title 2, The Congress. Section 617, added Pub. L. 93-443, title I, Sec. 101(f)(1), Oct. 15, 1974, 88 Stat. 1268, prohibited fraudulent misrepresentation of campaign authority. See section 441h of Title 2, The Congress. SAVINGS PROVISION Repeal by Pub. L. 94-283 not to release or extinguish any penalty, forfeiture, or liability incurred under such sections, with each section to be treated as remaining in force for the purpose of sustaining any proper action or prosecution for the enforcement of any penalty, forfeiture, or liability, see section 114 of Pub. L. 94-283, set out as a note under section 441 of Title 2, The Congress. ------DocID 24003 Document 245 of 1438------ -CITE- 18 USC CHAPTER 31 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- CHAPTER 31 - EMBEZZLEMENT AND THEFT -MISC1- Sec. 641. Public money, property or records. 642. Tools and materials for counterfeiting purposes. 643. Accounting generally for public money. 644. Banker receiving unauthorized deposit of public money. 645. Court officers generally. 646. Court officers depositing registry moneys. 647. Receiving loan from court officer. 648. Custodians, generally, misusing public funds. 649. Custodians failing to deposit moneys; persons affected. 650. Depositaries failing to safeguard deposits. 651. Disbursing officer falsely certifying full payment. 652. Disbursing officer paying lesser in lieu of lawful amount. 653. Disbursing officer misusing public funds. 654. Officer or employee of United States converting property of another. 655. Theft by bank examiner. 656. Theft, embezzlement or misapplication by bank officer or employee. 657. Lending, credit and insurance institutions. 658. Property mortgaged or pledged to farm credit agencies. 659. Interstate or foreign shipments by carrier; State prosecutions. 660. Carrier's funds derived from commerce; State prosecutions. 661. Within special maritime and territorial jurisdiction. 662. Receiving stolen property, within special maritime and territorial jurisdiction. 663. Solicitation or use of gifts. 664. Theft or embezzlement from employee benefit plan. 665. Theft or embezzlement from employment and training funds; improper inducement; obstruction of investigations. 666. Theft or bribery concerning programs receiving Federal funds. 667. Theft of livestock. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 1104(b), 1112, Oct. 12, 1984, 98 Stat. 2144, 2149, added items 666 and 667. 1978 - Pub. L. 95-524, Sec. 3(b), Oct. 27, 1978, 92 Stat. 2018, substituted 'employment and training funds' for 'manpower funds' and inserted '; obstruction of investigations' after 'improper inducement' in item 665. 1973 - Pub. L. 93-203, title VII, Sec. 711(b), formerly title VI, Sec. 611(b), Dec. 28, 1973, 87 Stat. 882, renumbered Pub. L. 93-567, title I, Sec. 101, Dec. 31, 1974, 88 Stat. 1845, added item 665. 1966 - Pub. L. 89-654, Sec. 1(e), Oct. 14, 1966, 80 Stat. 904, substituted 'shipments by carrier' for 'baggage, express or freight' in item 659. 1962 - Pub. L. 87-420, Sec. 17(b), Mar. 20, 1962, 76 Stat. 42, added item 664. SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION Application of general penal statutes relating to larceny, embezzlement, or conversion of public moneys or property of the United States, to moneys and property of Saint Lawrence Seaway Development Corporation, see section 990 of Title 33, Navigation and Navigable Waters. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Search and seizure, issuance of warrant to search for and seize property stolen or embezzled in violation of the laws of United States, see rule 41, Appendix to this title. CROSS REFERENCES Bankruptcy - Certain debts as not affected by a discharge, see section 727 of Title 11, Bankruptcy. Trustee, receiver or officer, embezzlement of property belonging to estate of bankrupt, see section 153 of this title. Coins, embezzlement of metals, see section 332 of this title. Commodity Credit Corporation, embezzlement or stealing money, etc., see section 714m of Title 15, Commerce and Trade. Consular officers as guilty of embezzlement, see sections 4199, 4217 of Title 22, Foreign Relations and Intercourse. Evidence - Account as evidence of embezzlement, see section 3497 of this title. Refusal to make and file accountings or reports concerning money or property of World War veterans as evidence of embezzlement, see section 3501 of Title 38, Veterans' Benefits. Refusal to pay as evidence of embezzlement, see section 3487 of this title. Extradition of fugitives from country under control of United States, see section 3185 of this title. Foreign banking corporations, embezzlement of moneys etc. by officers, employees and receivers, see section 630 of Title 12, Banks and Banking. Indians - Jurisdiction of offenses committed in Indian country, see section 3242 of this title. Larceny in Indian country, see section 1153 of this title. Investment companies, embezzlement or stealing moneys, see section 80a-36 of Title 15, Commerce and Trade. Merchant seamen, punishment for embezzlement of ship's stores or cargo, see section 11501 of Title 46, Shipping. Officers of United States, civil, military, or naval, embezzlement of public or private money or property as misdemeanor, see section 210 of Title 50, War and National Defense. Postal Service - Letters or other correspondence, embezzlement of, see section 1702 of this title. Letters or other correspondence, embezzlement or stealing by postmaster or Postal Service employee, see section 1709 of this title. Letters or other correspondence, embezzlement or stealing, or receipt of embezzled or stolen mail matter, see section 1708 of this title. Mail keys or locks, embezzlement or stealing of, see section 1704 of this title. Misappropriation of postal funds as embezzlement, see section 1711 of this title. Newspapers, stealing by postmaster or Postal Service employee, see section 1710 of this title. Post office, breaking into with intent to commit larceny, see section 2115 of this title. Postal savings, embezzlement laws as applicable, see section 1691 of this title. Property used by Postal Service, embezzlement or stealing of, see section 1707 of this title. Robbery and burglary, see section 2111 et seq. of this title. Stolen property, see section 2311 et seq. of this title. Tennessee Valley Authority, application of penal statutes relating to larceny or embezzlement of public moneys or property of United States, see section 831t of Title 16, Conservation. Vessel's owner, limitation of liability for embezzlement of merchandise, see section 183 et seq. of Title 46, Appendix, Shipping. ------DocID 24004 Document 246 of 1438------ -CITE- 18 USC Sec. 641 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 641. Public money, property or records -STATUTE- Whoever embezzles, steals, purloins, or knowingly converts to his use or the use of another, or without authority, sells, conveys or disposes of any record, voucher, money, or thing of value of the United States or of any department or agency thereof, or any property made or being made under contract for the United States or any department or agency thereof; or Whoever receives, conceals, or retains the same with intent to convert it to his use or gain, knowing it to have been embezzled, stolen, purloined or converted - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both; but if the value of such property does not exceed the sum of $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. The word 'value' means face, par, or market value, or cost price, either wholesale or retail, whichever is greater. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 725.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 82, 87, 100, 101 (Mar. 4, 1909, ch. 321, Sec. 35, 36, 47, 48, 35 Stat. 1095, 1096-1098; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197; Nov. 22, 1943, ch. 302, 57 Stat. 591.) Section consolidates sections 82, 87, 100, and 101 of title 18, U.S.C., 1940 ed. Changes necessary to effect the consolidation were made. Words 'or shall willfully injure or commit any depredation against' were taken from said section 82 so as to confine it to embezzlement or theft. The quoted language, rephrased in the present tense, appears in section 1361 of this title. Words 'in a jail' which followed 'imprisonment' and preceded 'for not more than one year' in said section 82, were omitted. (See reviser's note under section 1 of this title.) Language relating to receiving stolen property is from said section 101. Words 'or aid in concealing' were omitted as unnecessary in view of definitive section 2 of this title. Procedural language at end of said section 101 'and such person may be tried either before or after the conviction of the principal offender' was transferred to and rephrased in section 3435 of this title. Words 'or any corporation in which the United States of America is a stockholder' in said section 82 were omitted as unnecessary in view of definition of 'agency' in section 6 of this title. The provisions for fine of not more than $1,000 or imprisonment of not more than 1 year for an offense involving $100 or less and for fine of not more than $10,000 or imprisonment of not more than 10 years, or both, for an offense involving a greater amount were written into this section as more in conformity with the later congressional policy expressed in sections 82 and 87 of title 18, U.S.C., 1940 ed., than the nongraduated penalties of sections 100 and 101 of said title 18. Since the purchasing power of the dollar is less than it was when $50 was the figure which determined whether larceny was petit larceny or grand larceny, the sum $100 was substituted as more consistent with modern values. The meaning of 'value' in the last paragraph of the revised section is written to conform with that provided in section 2311 of this title by inserting the words 'face, par, or'. This section incorporates the recommendation of Paul W. Hyatt, president, board of commissioners of the Idaho State Bar Association, that sections 82 and 100 of title 18, U.S.C., 1940 ed., be combined and simplified. Also, with respect to section 101 of title 18, U.S.C., 1940 ed., this section meets the suggestion of P. F. Herrick, United States attorney for Puerto Rico, that the punishment provision of said section be amended to make the offense a misdemeanor where the amount involved is $50 or less. Changes were made in phraseology. SHORT TITLE OF 1984 AMENDMENT Pub. L. 98-473, title II, chapter XI, part I (Sec. 1110-1115), Sec. 1110, Oct. 12, 1984, 98 Stat. 2148, provided that: 'This Part (enacting section 667 of this title and amending sections 2316 and 2317 of this title) may be cited as the 'Livestock Fraud Protection Act'.' -CROSS- CROSS REFERENCES Concealment, removal or destruction of records, see section 2071 of this title. Court records or process, theft of, see section 1506 of this title. Mail matter or postal service equipment, embezzlement or theft, see section 1702 et seq. of this title. Misappropriation of postal funds, see section 1711 of this title. Receiver triable before or after principal, see section 3435 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title; title 22 section 3622; title 40 section 491. ------DocID 24005 Document 247 of 1438------ -CITE- 18 USC Sec. 642 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 642. Tools and materials for counterfeiting purposes -STATUTE- Whoever, without authority from the United States, secretes within, or embezzles, or takes and carries away from any building, room, office, apartment, vault, safe, or other place where the same is kept, used, employed, placed, lodged, or deposited by authority of the United States, any tool, implement, or thing used or fitted to be used in stamping or printing, or in making some other tool or implement used or fitted to be used in stamping or printing any kind or description of bond, bill, note, certificate, coupon, postage stamp, revenue stamp, fractional currency note, or other paper, instrument, obligation, device, or document, authorized by law to be printed, stamped, sealed, prepared, issued, uttered, or put in circulation on behalf of the United States; or Whoever, without such authority, so secretes, embezzles, or takes and carries away any paper, parchment, or other material prepared and intended to be used in the making of any such papers, instruments, obligations, devices, or documents; or Whoever, without such authority, so secretes, embezzles, or takes and carries away any paper, parchment, or other material printed or stamped, in whole or part, and intended to be prepared, issued, or put in circulation on behalf of the United States as one of such papers, instruments, or obligations, or printed or stamped, in whole or part, in the similitude of any such paper, instrument, or obligation, whether intended to issue or put the same in circulation or not - Shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 725.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 269 (Mar. 4, 1909, ch. 321, Sec. 155, 35 Stat. 1117). Words 'bed piece, bed-plate, roll, plate, die, seal, type, or other' were omitted as covered by 'tool, implement, or thing.' Minor changes in phraseology were made. -CROSS- CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 492 of this title. ------DocID 24006 Document 248 of 1438------ -CITE- 18 USC Sec. 643 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 643. Accounting generally for public money -STATUTE- Whoever, being an officer, employee or agent of the United States or of any department or agency thereof, having received public money which he is not authorized to retain as salary, pay, or emolument, fails to render his accounts for the same as provided by law is guilty of embezzlement, and shall be fined in a sum equal to the amount of the money embezzled or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 726.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 176 (Mar. 4, 1909, ch. 321, Sec. 90, 35 Stat. 1105). Word 'employee' was inserted to avoid ambiguity as to scope of section. Words 'or of any department or agency thereof' were added after the words 'United States'. (See definitions of the terms 'department' and 'agency' in section 6 of this title.) Mandatory punishment provisions phrased in alternative. The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) -CROSS- CROSS REFERENCES Persons to whom section applicable, see section 649 of this title. Refusal to pay as evidence of embezzlement, see section 3487 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 649 of this title; title 5 section 3374. ------DocID 24007 Document 249 of 1438------ -CITE- 18 USC Sec. 644 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 644. Banker receiving unauthorized deposit of public money -STATUTE- Whoever, not being an authorized depositary of public moneys, knowingly receives from any disbursing officer, or collector of internal revenue, or other agent of the United States, any public money on deposit, or by way of loan or accommodation, with or without interest, or otherwise than in payment of a debt against the United States, or uses, transfers, converts, appropriates, or applies any portion of the public money for any purpose not prescribed by law is guilty of embezzlement and shall be fined not more than the amount so embezzled or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 726.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 182 (Mar. 4, 1909, ch. 321, Sec. 96, 35 Stat. 1106). The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) Changes were made in phraseology. -CROSS- CROSS REFERENCES Depositaries of public moneys and financial agents of Government, see section 90 of Title 12, Banks and Banking. ------DocID 24008 Document 250 of 1438------ -CITE- 18 USC Sec. 645 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 645. Court officers generally -STATUTE- Whoever, being a United States marshal, clerk, receiver, referee, trustee, or other officer of a United States court, or any deputy, assistant, or employee of any such officer, retains or converts to his own use or to the use of another or after demand by the party entitled thereto, unlawfully retains any money coming into his hands by virtue of his official relation, position or employment, is guilty of embezzlement and shall, where the offense is not otherwise punishable by enactment of Congress, be fined not more than double the value of the money so embezzled or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. It shall not be a defense that the accused person had any interest in such moneys or fund. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 726.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 186 (May 29, 1920, ch. 212, 41 Stat. 630). The smaller punishment for an offense involving $100 or less was inserted to conform to section 641 of this title which represents a later expression of congressional intent. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Embezzlement by bankruptcy court officer, see section 153 of this title. Refusal to pay as evidence of embezzlement, see section 3487 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 3622. ------DocID 24009 Document 251 of 1438------ -CITE- 18 USC Sec. 646 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 646. Court officers depositing registry moneys -STATUTE- Whoever, being a clerk or other officer of a court of the United States, fails to deposit promptly any money belonging in the registry of the court, or paid into court or received by the officers thereof, with the Treasurer or a designated depositary of the United States, in the name and to the credit of such court, or retains or converts to his own use or to the use of another any such money, is guilty of embezzlement and shall be fined not more than the amount embezzled, or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not prevent the delivery of any such money upon security, according to agreement of parties, under the direction of the court. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 726.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 185 (Mar. 4, 1909, ch. 321, Sec. 99, 35 Stat. 1106; May 29, 1920, ch. 214, Sec. 1, 41 Stat. 654). The smaller punishment for an offense involving $100 or less was inserted for the reasons outlined in reviser's notes to sections 641 and 645 of this title. Minor changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS Functions of all officers of Department of the Treasury, and functions of all agencies and employees of such Department, transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees, by Reorg. Plan No. 26 of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, 1281, set out in the Appendix to Title 5, Government Organization and Employees. The Treasurer of the United States, referred to in this section, is an officer of Department of the Treasury. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Deposit in court, see rule 67, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Depositaries of public moneys and financial agents of Government, see section 90 of Title 12, Banks and Banking. Moneys paid into court, deposit and withdrawal, see sections 2041, 2042 of Title 28, Judiciary and Judicial Procedure. ------DocID 24010 Document 252 of 1438------ -CITE- 18 USC Sec. 647 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 647. Receiving loan from court officer -STATUTE- Whoever knowingly receives, from a clerk or other officer of a court of the United States, as a deposit, loan, or otherwise, any money belonging in the registry of such court, is guilty of embezzlement, and shall be fined not more than the amount embezzled or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 727.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 187 (Mar. 4, 1909, ch. 321, Sec. 100, 35 Stat. 1107). The punishment provision of section 185 of title 18, U.S.C., 1940 ed., now section 646 of this title, was substituted for the words 'punished as prescribed in section 185 of this title' and the smaller punishment for an offense involving $100 or less was inserted. (See reviser's notes under sections 641 and 645 of this title.) ------DocID 24011 Document 253 of 1438------ -CITE- 18 USC Sec. 648 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 648. Custodians, generally, misusing public funds -STATUTE- Whoever, being an officer or other person charged by any Act of Congress with the safe-keeping of the public moneys, loans, uses, or converts to his own use, or deposits in any bank, including any branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or exchanges for other funds, except as specially allowed by law, any portion of the public moneys intrusted to him for safe-keeping, is guilty of embezzlement of the money so loaned, used, converted, deposited, or exchanged, and shall be fined in a sum equal to the amount of money so embezzled or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 727; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(d), 104 Stat. 4909.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 175 (Mar. 4, 1909, ch. 321, Sec. 89, 35 Stat. 1105). Mandatory punishment provision was rephrased in the alternative. The smaller punishment for an offense involving $100 or less was inserted. (See reviser's notes under sections 641 and 645 of this title.) Minor changes in phraseology were made. -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12, Banks and Banking. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647 inserted ', including any branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978),' after 'or deposits in any bank'. -CROSS- CROSS REFERENCES Persons to whom section applicable, see section 649 of this title. Refusal to pay as evidence of embezzlement, see section 3487 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 649 of this title; title 19 section 2081; title 26 section 7608. ------DocID 24012 Document 254 of 1438------ -CITE- 18 USC Sec. 649 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 649. Custodians failing to deposit moneys; persons affected -STATUTE- (a) Whoever, having money of the United States in his possession or under his control, fails to deposit it with the Treasurer or some public depositary of the United States, when required so to do by the Secretary of the Treasury or the head of any other proper department or agency or by the General Accounting Office, is guilty of embezzlement, and shall be fined in a sum equal to the amount of money embezzled or imprisoned not more than ten years, or both; but if the amount embezzled is $100 or less, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. (b) This section and sections 643, 648, 650 and 653 of this title shall apply to all persons charged with the safe-keeping, transfer, or disbursement of the public money, whether such persons be charged as receivers or depositaries of the same. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 727.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 177, 178 (Mar. 4, 1909, ch. 321, Sec. 91, 92, 35 Stat. 1105; May 29, 1920, ch. 214, Sec. 1, 41 Stat. 654; June 10, 1921, ch. 18, Sec. 304, 42 Stat. 24). Sections were consolidated. Words 'or agency' were inserted after 'department'. See definition of 'agency' in section 6 of this title. Mandatory punishment provisions made in alternative. The smaller punishment for an offense involving $100 or less was inserted. (See reviser's notes under sections 641, 645 of this title.) Minor changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS Functions of all officers of Department of the Treasury, and functions of all agencies and employees of such Department, transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees, by Reorg. Plan No. 26 of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, 1281, set out in the Appendix to Title 5, Government Organization and Employees. The Treasurer of the United States, referred to in this section, is an officer of Department of the Treasury. -CROSS- CROSS REFERENCES Audit and settlement of accounts, see section 3521 et seq. of Title 31, Money and Finance. ------DocID 24013 Document 255 of 1438------ -CITE- 18 USC Sec. 650 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 650. Depositaries failing to safeguard deposits -STATUTE- If the Treasurer of the United States or any public depositary fails to keep safely all moneys deposited by any disbursing officer or disbursing agent, as well as all moneys deposited by any receiver, collector, or other person having money of the United States, he is guilty of embezzlement, and shall be fined in a sum equal to the amount of money so embezzled or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 727.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 174, (Mar. 4, 1909, ch. 321, Sec. 88, 35 Stat. 1105; May 29, 1920, ch. 214, Sec. 1, 41 Stat. 654.) Mandatory punishment provisions stated in alternative. The smaller punishment for offenses involving $100 or less was added. (See reviser's note under sections 641, 645 of this title.) Minor changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS Functions of all officers of Department of the Treasury, and functions of all agencies and employees of such Department, transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees, by Reorg. Plan No. 26 of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, 1281, set out in the Appendix to Title 5, Government Organization and Employees. The Treasurer of the United States, referred to in this section, is an officer of Department of the Treasury. -CROSS- CROSS REFERENCES Persons to whom section applicable, see section 649 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 649 of this title. ------DocID 24014 Document 256 of 1438------ -CITE- 18 USC Sec. 651 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 651. Disbursing officer falsely certifying full payment -STATUTE- Whoever, being an officer charged with the disbursement of the public moneys, accepts, receives, or transmits to the General Accounting Office to be allowed in his favor any receipt or voucher from a creditor of the United States without having paid the full amount specified therein to such creditor in such funds as the officer received for disbursement, or in such funds as he may be authorized by law to take in exchange, shall be fined in double the amount so withheld or imprisoned not more than two years, or both; but if the amount withheld does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 727.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 181 (Mar. 4, 1909, ch. 321, Sec. 95, 35 Stat. 1106; June 10, 1921, ch. 18, Sec. 304, 42 Stat. 24). The penalty provided by section 652 of this title, a similar section, was incorporated in this section. (For explanation of the smaller penalty for an offense involving $100 or less, see reviser's notes under sections 641 and 645 of this title.) Minor changes were made in phraseology. ------DocID 24015 Document 257 of 1438------ -CITE- 18 USC Sec. 652 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 652. Disbursing officer paying lesser in lieu of lawful amount -STATUTE- Whoever, being an officer, clerk, agent, employee, or other person charged with the payment of any appropriation made by Congress, pays to any clerk or other employee of the United States, or of any department or agency thereof, a sum less than that provided by law, and requires such employee to receipt or give a voucher for an amount greater than that actually paid to and received by him, is guilty of embezzlement, and shall be fined in double the amount so withheld or imprisoned not more than two years, or both; but if the amount embezzled is $100 or less, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 727.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 172 (Mar. 4, 1909, ch. 321, Sec. 86, 35 Stat. 1105). Words 'or of any department or agency thereof,' were inserted after 'United States' so as to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) Mandatory punishment provision made in alternative. The smaller punishment for an offense involving $100 or less was added. (See reviser's note under sections 641, 645 of this title.) Minor changes were made in phraseology. ------DocID 24016 Document 258 of 1438------ -CITE- 18 USC Sec. 653 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 653. Disbursing officer misusing public funds -STATUTE- Whoever, being a disbursing officer of the United States, or any department or agency thereof, or a person acting as such, in any manner converts to his own use, or loans with or without interest, or deposits in any place or in any manner, except as authorized by law, any public money intrusted to him; or, for any purpose not prescribed by law, withdraws from the Treasury or any authorized depositary, or transfers, or applies, any portion of the public money intrusted to him, is guilty of embezzlement of the money so converted, loaned, deposited, withdrawn, transferred, or applied, and shall be fined not more than the amount embezzled or imprisoned not more than ten years, or both; but if the amount embezzled is $100 or less, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 728.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 173 (Mar. 4, 1909, ch. 321, Sec. 87, 35 Stat. 1105; May 29, 1920, ch. 214, Sec. 1, 41 Stat. 654). Words 'or any department or agency thereof,' were inserted after 'United States' so as to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) The smaller punishment for an offense involving $100 or less was added. (See reviser's note under sections 641, 645 of this title.) Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Persons to whom section applicable, see section 649 of this title. Property and fiscal officers, see section 708 of Title 32, National Guard. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 649 of this title. ------DocID 24017 Document 259 of 1438------ -CITE- 18 USC Sec. 654 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 654. Officer or employee of United States converting property of another -STATUTE- Whoever, being an officer or employee of the United States or of any department or agency thereof, embezzles or wrongfully converts to his own use the money or property of another which comes into his possession or under his control in the execution of such office or employment, or under color or claim of authority as such officer or employee, shall be fined not more than the value of the money and property thus embezzled or converted, or imprisoned not more than ten years, or both; but if the sum embezzled is $100 or less, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 728.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 183 (Mar. 4, 1909, ch. 321, Sec. 97, 35 Stat. 1106). The phrase 'Whoever being an officer or agent of the United States or of any department or agency thereof,' was substituted for the words 'Any officer connected with, or employed in the Internal Revenue Service of the United States * * * And any officer of the United States, or any assistant of such officer,' in order to clarify scope of section. (See definitive section 6 and reviser's note thereunder.) The embezzlement of Government money or property is adequately covered by section 641 of this title. The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Postmaster or employee embezzling mail matter, see section 1709 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 5 section 3374. ------DocID 24018 Document 260 of 1438------ -CITE- 18 USC Sec. 655 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 655. Theft by bank examiner -STATUTE- Whoever, being a bank examiner or assistant examiner, steals, or unlawfully takes, or unlawfully conceals any money, note, draft, bond, or security or any other property of value in the possession of any bank or banking institution which is a member of the Federal Reserve System, which is insured by the Federal Deposit Insurance Corporation, which is a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or which is an organization operating under section 25 or section 25(a) of the Federal Reserve Act, or from any safe deposit box in or adjacent to the premises of such bank, branch, agency, or organization, shall be fined not more than $5,000 or imprisoned not more than five years, or both; but if the amount taken or concealed does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both; and shall be disqualified from holding office as a national bank examiner or Federal Deposit Insurance Corporation examiner. This section shall apply to all public examiners and assistant examiners who examine member banks of the Federal Reserve System, banks the deposits of which are insured by the Federal Deposit Insurance Corporation, branches or agencies of foreign banks (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or organizations operating under section 25 or section 25(a) of the Federal Reserve Act, whether appointed by the Comptroller of the Currency, by the Board of Governors of the Federal Reserve System, by a Federal Reserve Agent, by a Federal Reserve bank, or by the Federal Deposit Insurance Corporation, or appointed or elected under the laws of any State; but shall not apply to private examiners or assistant examiners employed only by a clearing-house association or by the directors of a bank. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 728; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(e), 104 Stat. 4909.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 593 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22, 38 Stat. 272; Sept. 26, 1918, ch. 177, Sec. 5, 40 Stat. 970; Feb. 25, 1927, ch. 191, Sec. 15, 44 Stat. 1232; Aug. 23, 1935, ch. 614, Sec. 326(a), 49 Stat. 715). Other provisions of section 593 of title 12, U.S.C. 1940 ed., Banks and Banking, are incorporated in sections 217 and 218 of this title. The words 'and shall upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. The phrase 'bank or banking institution which is a member of the Federal Reserve System or which is insured by the Federal Deposit Insurance Corporation' was substituted for 'member bank or insured bank' to avoid the use of a definitive section based on sections 221a, 264(e)(8), and 588a of title 12, U.S.C., 1940 ed., Banks and Banking. Words 'banks the deposits of which are insured by the Federal Deposit Insurance Corporation' were substituted for 'insured banks' in second paragraph, for the same reason. Punishment provision harmonized with that of section 656 of this title. (See also, reviser's notes under sections 641 and 645 of this title.) Changes in phraseology were also made. -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12, Banks and Banking. Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647, in first undesignated par., substituted 'System, which is insured' for 'System or which is insured', inserted 'which is a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or which is an organization operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'Federal Deposit Insurance Corporation,' and 'branch, agency, or organization,' after 'premises of such bank,' and in second undesignated par. substituted 'System, banks the deposits of which' for 'System or banks the deposits of which', and inserted 'branches or agencies of foreign banks (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or organizations operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'Federal Deposit Insurance Corporation,'. -CROSS- CROSS REFERENCES Civil liability of officers or directors of member banks of the Federal Reserve System, for violating or permitting violation of this section, see section 503 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 503. ------DocID 24019 Document 261 of 1438------ -CITE- 18 USC Sec. 656 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 656. Theft, embezzlement, or misapplication by bank officer or employee -STATUTE- Whoever, being an officer, director, agent or employee of, or connected in any capacity with any Federal Reserve bank, member bank, depository institution holding company, national bank, insured bank, branch or agency of a foreign bank, or organization operating under section 25 or section 25(a) of the Federal Reserve Act,, (FOOTNOTE 1) or a receiver of a national bank, insured bank, branch, agency, or organization or any agent or employee of the receiver, or a Federal Reserve Agent, or an agent or employee of a Federal Reserve Agent or of the Board of Governors of the Federal Reserve System, embezzles, abstracts, purloins or willfully misapplies any of the moneys, funds or credits of such bank, branch, agency, or organization or holding company or any moneys, funds, assets or securities intrusted to the custody or care of such bank, branch, agency, or organization, or holding company or to the custody or care of any such agent, officer, director, employee or receiver, shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both; but if the amount embezzled, abstracted, purloined or misapplied does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. (FOOTNOTE 1) So in original. As used in this section, the term 'national bank' is synonymous with 'national banking association'; 'member bank' means and includes any national bank, state bank, or bank and trust company which has become a member of one of the Federal Reserve banks; 'insured bank' includes any bank, banking association, trust company, savings bank, or other banking institution, the deposits of which are insured by the Federal Deposit Insurance Corporation; and the term 'branch or agency of a foreign bank' means a branch or agency described in section 20(9) of this title. For purposes of this section, the term 'depository institution holding company' has the meaning given such term in section 3 of the Federal Deposit Insurance Act. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 729; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(b), 103 Stat. 499; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(b), 2595(a)(1), 2597(f), 104 Stat. 4861, 4906, 4909.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 592, 597 of title 12, U.S.C., 1940 ed., Banks and Banking (R.S. 5209; Dec. 23, 1913, ch. 6, Sec. 22(i), as added June 19, 1934, ch. 653, Sec. 3, 48 Stat. 1107; Sept. 26, 1918, ch. 177, Sec. 7, 40 Stat. 972; Aug. 23, 1935, ch. 614, Sec. 316, 49 Stat. 712). Section 592 of title 12, U.S.C., 1940 ed., Banks and Banking, was separated into three sections the first of which, embracing provisions relating to embezzlement, abstracting, purloining, or willfully misapplying moneys, funds, or credits, constitutes part of the basis for this section. Of the other two sections, one section, 334 of this title, relates only to the issuance and circulation of Federal Reserve notes and the other, section 1005 of this title, to false entries or the wrongful issue of bank obligations. The original section, containing more than 500 words, was verbose, diffuse, redundant, and complicated. The enumeration of banks affected is repeated eight times. The revised section without changing in any way the meaning or substance of existing law, clarifies, condenses, and combines related provisions largely rewritten in matters of style. The words 'national bank' were substituted for 'national banking association,' the terms being synonymous by definition of section 221 of title 12, U.S.C., 1940 ed., Banks and Banking, written into the last paragraph of this section. This change made possible the use of the term 'such bank' in substitution for the words 'such Federal Reserve bank, member bank, or such national banking association, or insured bank,' in each of seven instances. The special and separate provisions of the original section relating to embezzlement by national bank receivers or Federal Reserve agents are readily combined in the revised section by including these officers in the initial enumeration of persons at whom the act is directed and by inserting the word 'purloins' after 'embezzles, abstracts,' and the phrase 'or any moneys, funds, assets, or securities intrusted to the custody or care,' following the words 'of such bank'. The last paragraph of the revised section includes the definitions of sections 221 and 264(c) of title 12, U.S.C., 1940 ed., Banks and Banking, made applicable by express provision of the original section. These were written in, with only such changes of phraseology as were necessary, in order to make the revised section complete and self-contained. For meaning of 'bank,' as used in bank robbery statute, see section 2113 of this title. Section 597 of title 12, U.S.C., 1940 ed., Banks and Banking, likewise was separated into two parts, one of which was combined with the embezzlement provisions of said section 592 to form this section. The other part was combined with the related provisions of said section 592 to form section 1005 of this title. It will be noted that section 597 of title 12, U.S.C., 1940 ed., Banks and Banking, was limited to 'Whoever, being connected in any capacity with a Federal Reserve bank'; that it enumerated 'note, debenture, bond, or other obligation, or draft, mortgage, judgment, or decree'; and that it stipulated punishment by fine of not more than $10,000 or imprisonment of not more than 5 years, or both. In combining these provisions, the words 'or connected in any capacity' were written into the new section after the words 'employee of,' thus making them applicable not only to Federal Reserve banks but to the other banks as well. The phrase of section 592 of title 12, U.S.C., 1940 ed., Banks and Banking, 'or who, without such authority, issues or puts forth any certificate of deposit, draws any order or bill of exchange, makes any acceptance, assigns any note, bond, draft, bill of exchange, mortgage, judgment, or decree,' was modified to include the enumeration of like obligations in section 597 of title 12, U.S.C., 1940 ed., Banks and Banking, and to read as follows: 'whoever without such authority makes, draws, issues, puts forth, or assigns any certificate of deposit, draft, order, bill of exchange, acceptance, note, debenture, bond, or other obligation or mortgage, judgment, or decree'. (See section 1005 of this title.) As thus changed the new section is clear, simple, and unambiguous. The very slight changes of substance that have been noted, were unavoidable if the two sections were to be combined. Without combination any constructive revision of these duplicitous and redundant provisions was impossible. It is believed that the revised sections adequately and correctly represent the intent of Congress as the same can be gathered from the overlapping and confusing enactments. At any rate, the severest criticism of the revised sections is that a person connected with a Federal Reserve bank who violates these sections can at most be punished by a fine of $5,000 or imprisonment of 5 years, or both, whereas under section 597 of title 12, U.S.C., 1940 ed., Banks and Banking, he might have been fined $10,000 or imprisoned 5 years, or both. Obviously an embezzler will rarely be financially able to pay even a $5,000 fine even where such fine is imposed. Certainly if it is an adequate fine for a national bank president it is not too disproportionate for a person 'connected in any capacity with a Federal Reserve bank'. The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641, 645 of this title.) The words 'shall be deemed guilty of a misdemeanor' were omitted as unnecessary in view of definitive section 1 of this title. The words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed without conviction. Words 'In any district court of the United States' were omitted as unnecessary since section 3231 of this title gives the district courts jurisdiction of criminal prosecution. SENATE REVISION AMENDMENT Certain words were stricken from the section as being unnecessary and inconsistent with other sections of this revision defining embezzlement and without changing existing law. See Senate Report No. 1620, amendment No. 6, 80th Cong. -REFTEXT- REFERENCES IN TEXT Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12, Banks and Banking. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. Section 3 of the Federal Deposit Insurance Act, referred to in text, is classified to section 1813 of Title 12. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 2597(f)(1), in first undesignated par., directed substitution of 'national bank, insured bank, branch or agency of a foreign bank, or organization operating under section 25 or section 25(a) of the Federal Reserve Act,' for 'national bank, or insured bank' which was executed by making the substitution for 'national bank or insured bank' to reflect the probable intent of Congress, and inserted 'insured bank, branch, agency, or organization' after 'receiver of a national bank,', ', branch, agency, or organization' after 'misapplies any of the moneys, funds or credits of such bank', and 'branch, agency, or organization' after 'custody or care of such bank,'. Pub. L. 101-647, Sec. 2595(a)(1)(A), (B), in first undesignated par., inserted 'depository institution holding company,' after 'Federal Reserve Bank, member bank,' and 'or holding company' after 'such bank' in two places. Pub. L. 101-647, Sec. 2504(b), in first undesignated par., substituted '30 years' for '20 years'. Pub. L. 101-647, Sec. 2597(f)(2), in second undesignated par., struck out 'and' after 'one of the Federal Reserve Banks;' and directed insertion of '; and the term 'branch or agency of a foreign bank' means a branch or agency described in section 20(9) of this title' before the period which was executed by making the insertion before the period at end of first sentence to reflect the probable intent of Congress. Pub. L. 101-647, Sec. 2595(a)(1)(C), in second undesignated par., inserted at end 'For purposes of this section, the term 'depository institution holding company' has the meaning given such term in section 3 of the Federal Deposit Insurance Act.' 1989 - Pub. L. 101-73, in first undesignated par., substituted '$1,000,000' for '$5,000' and '20 years' for 'five years'. -CROSS- CROSS REFERENCES Federal Reserve System, laws applicable on becoming member bank, see section 324 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 657, 981, 982, 1006, 1510, 1956, 3059A, 3293, 3322 of this title; title 12 sections 324, 1786, 1821, 1828, 1829, 1831k, 1833a. ------DocID 24020 Document 262 of 1438------ -CITE- 18 USC Sec. 657 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 657. Lending, credit and insurance institutions -STATUTE- Whoever, being an officer, agent or employee of or connected in any capacity with the Reconstruction Finance Corporation, Federal Deposit Insurance Corporation, National Credit Union Administration, Office of Thrift Supervision, the Resolution Trust Corporation, any Federal home loan bank, the Federal Housing Finance Board, Farm Credit Administration, Department of Housing and Urban Development, Federal Crop Insurance Corporation, Farmers' Home Corporation, the Secretary of Agriculture acting through the Farmers Home Administration, the Rural Development Administration, or the Farm Credit System Insurance Corporation, a Farm Credit Bank, a bank for cooperatives or any lending, mortgage, insurance, credit or savings and loan corporation or association authorized or acting under the laws of the United States or any institution, other than an insured bank (as defined in section 656), the accounts of which are insured by the Federal Deposit Insurance Corporation, or by the National Credit Union Administration Board or any small business investment company, and whoever, being a receiver of any such institution, or agent or employee of the receiver, embezzles, abstracts, purloins or willfully misapplies any moneys, funds, credits, securities or other things of value belonging to such institution, or pledged or otherwise intrusted to its care, shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both; but if the amount or value embezzled, abstracted, purloined or misapplied does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 729; May 24, 1949, ch. 139, Sec. 11, 63 Stat. 90; July 28, 1956, ch. 773, Sec. 1, 70 Stat. 714; Aug. 21, 1958, Pub. L. 85-699, title VII, Sec. 703, 72 Stat. 698; Oct. 4, 1961, Pub. L. 87-353, Sec. 3(q), 75 Stat. 774; May 25, 1967, Pub. L. 90-19, Sec. 24(a), 81 Stat. 27; Oct. 19, 1970, Pub. L. 91-468, Sec. 4, 84 Stat. 1016; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(c), 962(a)(7), (8)(A), 103 Stat. 499, 502; Nov. 28, 1990, Pub. L. 101-624, title XXIII, Sec. 2303(e), 104 Stat. 3981; Nov. 29, 1990, Pub. L. 101-647, title XVI, Sec. 1603, title XXV, Sec. 2504(c), 2595(a)(2), 104 Stat. 4843, 4861, 4907.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 1026(b) and 1514(c) of title 7, U.S.C., 1940 ed., Agriculture, and sections 264(u), 984, 1121, 1138d(c), 1311, 1441(c), 1467(c), and 1731(c) of title 12, U.S.C., 1940 ed., Banks and Banking, and section 616(c) of title 15, U.S.C., 1940 ed., Commerce and Trade (Dec. 23, 1913, ch. 6, Sec. 12B(u), as added June 16, 1933, ch. 89, Sec. 8, 48 Stat. 178; July 17, 1916, ch. 245, Sec. 31, fourth paragraph, 39 Stat. 382; July 17, 1916, ch. 245, Sec. 211(a), as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1459; Mar. 4, 1923, ch. 252, title II, Sec. 216(a), 42 Stat. 1471; Jan. 22, 1932, ch. 8, Sec. 16(c), 47 Stat. 11; July 22, 1932, ch. 522, Sec. 21(c), 47 Stat. 738; Mar. 27, 1933, Ex. Ord. No. 6084; June 13, 1933, ch. 64, Sec. 8(c), 48 Stat. 135; June 16, 1933, ch. 98, Sec. 64(c), 48 Stat. 268; Jan. 31, 1934, ch. 7, Sec. 13, 48 Stat. 347; June 27, 1934, ch. 847, Sec. 512(c), 48 Stat. 1265; Aug. 23, 1935, ch. 614, Sec. 101, 49 Stat. 701; July 22, 1937, ch. 517, title IV, Sec. 52(b), 50 Stat. 532; Feb. 16, 1938, ch. 30, title V, Sec. 514(c), 52 Stat. 76; Aug. 14, 1946, ch. 964, Sec. 3, 60 Stat. 1064). Each of the eleven sections from which this section was derived contained similar provisions relating to embezzlement, false entries, and fraudulent issuance or assignment of obligations with respect to one or more named agencies or corporations. These were separated and the embezzlement and misapplication provisions of all form the basis of this section, and with one exception the remaining provisions of each section forming the basis for section 1006 of this title. The sole exception was that portion of said section 616(c) of title 15 as to the disclosure of information which now forms section 1904 of this title. The revised section condenses and simplifies the constituent provisions without change of substance except as in this note indicated. The punishment in each section was the same except that in section 1026(b) of title 7, U.S.C., 1940 ed., Agriculture, and sections 984, 1121, and 1311 of title 12, U.S.C., 1940 ed., Banks and Banking, the maximum fine was $5,000. The revised section adopts the $5,000 maximum. (For same penalty covering similar offense, see section 656 of this title.) The smaller punishment for an offense involving $100 or less was added. (See reviser's notes to sections 641-645 of this title.) The enumeration of 'moneys, funds, credits, securities, or other things of value' does not occur in any one of the original sections but is an adequate, composite enumeration of the instruments mentioned in each. References to persons aiding and abetting contained in sections 984, 1121, 1311 of title 12, U.S.C., 1940 ed., Banks and Banking, were omitted as unnecessary, such persons being made principals by section 2 of this title. The term 'receiver' is used in sections 1121 and 1311 of title 12, U.S.C., 1940 ed., Banks and Banking, with reference to Federal intermediate banks and agricultural credit corporations, and is undoubtedly embraced in the term 'connected in any capacity with,' but the phrase 'and whoever, being a receiver of any such institution' was inserted in this section to obviate all doubt as to its comprehensive scope. The suggestion has been made that 'private examiners' should be included. These undoubtedly are covered by the words 'connected in any capacity with.' (See also section 655 of this title.) The term 'or any department or agency of the United States' was inserted in each revised section in order to clarify the sweeping provisions against fraudulent acts and to obviate any possibility of ambiguity by reason of the omission of specific agencies named in the constituent sections. (See section 6 of this title defining 'department and agency.' For other verbal changes and deletions see reviser's note under section 656 of this title.) SENATE REVISION AMENDMENT Certain words were stricken from the section as being unnecessary and inconsistent with other sections of this revision defining embezzlement and without changing existing law. See Senate Report No. 1620, amendment No. 7, 80th Cong. 1949 ACT (Section 11) conforms section 657 of title 18, U.S.C., to administrative practice which in turn was modified to comply with congressional policy 'not to use the Farmers Home Corporation to carry out the functions and duties provided for in H.R. 5991 (Farmers Home Administration Act of 1946) but to vest the authority in the Secretary of Agriculture to be administered through the Farmers Home Administration as an agency of the Department of Agriculture' (H. Rept. No. 2683, to accompany H.R. 5991, 79th Cong., 2d sess.). AMENDMENTS 1990 - Pub. L. 101-647, Sec. 2595(a)(2), substituted 'Office of Thrift Supervision, the Resolution Trust Corporation, any Federal home loan bank, the Federal Housing Finance Board,' for 'Home Owners' Loan Corporation,', and directed substitution of 'institution, other than an insured bank (as defined in section 656), the accounts of which are insured by the Federal Deposit Insurance Corporation' for 'institution the accounts of which are insured by the Federal Savings and Loan Insurance Corporation' which was executed by making the substitution for 'institution the accounts of which are insured by the Federal Deposit Insurance Corporation' to reflect the probable intent of Congress and the intervening amendment by Pub. L. 101-647, Sec. 1603, see below. Pub. L. 101-647, Sec. 2504(c), substituted '30' for '20' before 'years'. Pub. L. 101-647, Sec. 1603, substituted 'the Federal Deposit Insurance Corporation' for 'the Federal Savings and Loan Insurance Corporation'. Pub. L. 101-624 substituted 'Farmers Home Administration, the Rural Development Administration' for 'Farmers' Home Administration'. 1989 - Pub. L. 101-73, Sec. 962(a)(8)(A), substituted 'the Farm Credit System Insurance Corporation, a Farm Credit Bank, a' for 'any land bank, intermediate credit bank,'. Pub. L. 101-73, Sec. 962(a)(7), substituted 'National Credit Union Administration Board' for 'Administrator of the National Credit Union Administration'. Pub. L. 101-73, Sec. 961(c), substituted '$1,000,000' for '$5,000' and '20 years' for 'five years'. 1970 - Pub. L. 91-468 inserted reference to National Credit Union Administration and its Administrator. 1967 - Pub. L. 90-19 substituted 'Department of Housing and Urban Development' for 'Federal Housing Administration'. 1961 - Pub. L. 87-353 struck out reference to Federal Farm Mortgage Corporation. 1958 - Pub. L. 85-699 inserted reference to any small business investment company. 1956 - Act July 28, 1956, inserted reference to any institution the accounts of which are insured by the Federal Savings and Loan Insurance Corporation. 1949 - Act May 24, 1949, inserted reference to Secretary of Agriculture acting through the Farmers' Home Administration. -TRANS- EXCEPTIONS FROM TRANSFER OF FUNCTIONS Functions of corporations of Department of Agriculture; boards of directors and officers of such corporations; Advisory Board of Commodity Credit Corporation; and Farm Credit Administration or any agency, officer, or entity of, under, or subject to supervision of said Administration excepted from functions of officers, agencies, and employees transferred to Secretary of Agriculture by Reorg. Plan No. 2 of 1953, Sec. 1, eff. June 4, 1953, 18 F.R. 3219, 67 Stat. 633, set out in the Appendix to Title 5, Government Organization and Employees. ABOLITION OF RECONSTRUCTION FINANCE CORPORATION Section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees, abolished the Reconstruction Finance Corporation. NATIONAL CREDIT UNION ADMINISTRATION Establishment as independent agency, membership etc., see section 1752 et seq. of Title 12, Banks and Banking. FARM CREDIT ADMINISTRATION Establishment of Farm Credit Administration as independent agency, and other changes in status, functions, etc., see Ex. Ord. No. 6084 set out preceding section 2241 of Title 12, Banks and Banking. See also section 2001 et seq. of Title 12. ABOLITION OF FARMERS' HOME CORPORATION Farmers' Home Corporation, created as an agency within the Department of Agriculture by section 1014 of Title 7, Agriculture, was abolished as a result of repeal of such section by Pub. L. 87-128, title III, Sec. 341(a), Aug. 8, 1961, 75 Stat. 318. -CROSS- CROSS REFERENCES Financial control of government corporations, see section 9101 et seq. of Title 31, Money and Finance. Secret Service, detection, arrest and delivery into custody of any person violating this section insofar as the Federal Deposit Insurance Corporation, Federal land banks, joint-stock land banks and national farm loan associations are concerned, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 3056, 3059A, 3293, 3322 of this title; title 12 sections 1786, 1787, 1821, 1828, 1829, 1831k, 1833a. ------DocID 24021 Document 263 of 1438------ -CITE- 18 USC Sec. 658 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 658. Property mortgaged or pledged to farm credit agencies -STATUTE- Whoever, with intent to defraud, knowingly conceals, removes, disposes of, or converts to his own use or to that of another, any property mortgaged or pledged to, or held by, the Farm Credit Administration, any Federal intermediate credit bank, or the Federal Crop Insurance Corporation, Farmers' Home Corporation, the Secretary of Agriculture acting through the Farmers Home Administration, the Rural Development Administration, any production credit association organized under sections 1131-1134m of Title 12, any regional agricultural credit corporation, or any bank for cooperatives, shall be fined not more than $5,000 or imprisoned not more than five years, or both; but if the value of such property does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 729; May 24, 1949, ch. 139, Sec. 12, 63 Stat. 91; Oct. 31, 1951, ch. 655, Sec. 21, 65 Stat. 718; July 26, 1956, ch. 741, title I, Sec. 109, 70 Stat. 667; Oct. 4, 1961, Pub. L. 87-353, Sec. 3(r), 75 Stat. 774; Nov. 28, 1990, Pub. L. 101-624, title XXIII, Sec. 2303(e), 104 Stat. 3981.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 1026(c) and 1514(d) of title 7, U.S.C., 1940 ed., Agriculture, and section 1138d(d) of title 12, U.S.C., 1940 ed., Banks and Banking (June 16, 1933, ch. 98, Sec. 64, 48 Stat. 269; Jan. 31, 1934, ch. 7, Sec. 13, 48 Stat. 347; July 22, 1937, ch. 517, title IV, Sec. 52(c), 50 Stat. 532; Feb. 16, 1938, ch. 30, title V, Sec. 514(d), 52 Stat. 76; Aug. 14, 1946, ch. 964, Sec. 3, 60 Stat. 1064). To avoid reference to another section the words 'the Farm Credit Administration, any Federal intermediate credit bank, the Federal Farm Mortgage Corporation, Federal Crop Insurance Corporation, Farmers' Home Corporation, or any production credit corporation or corporation in which a production credit corporation holds stock, any regional agricultural credit corporation, or any bank for cooperatives' were substituted for the words 'or any corporation referred to in subsection (a) of this section.' The punishment provision was completely rewritten. The $2,000 fine of section 1026(c) of title 7, U.S.C., 1940 ed., and the 2-year penalty of that section, section 1514(d) of title 7, U.S.C., 1940 ed., and section 1138(d) of title 12, U.S.C., 1940 ed., were incongruous in juxtaposition with other sections of this chapter and were therefore increased to $5,000 and 5 years. (See sections 656 and 657 of this title.) The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) Minor changes were made in phraseology. 1949 ACT (Section 12) conforms section 658 of title 18 U.S.C., to administrative practice which in turn was modified to comply with congressional policy. (See note to sec. 11 (of 1949 Act, set out in Legislative History note under section 657 of title 18)). -REFTEXT- REFERENCES IN TEXT Section 1131 of Title 12, included within the reference to sections 1131 to 1134m of Title 12, was repealed by Pub. L. 89-554, Sec. 8(a), Sept. 6, 1966, 80 Stat. 648. Sections 1131a, 1131c to 1131g, 1131g-2 to 1131i, 1134 to 1134m of Title 12, included within the reference to sections 1131 to 1134m of Title 12, were repealed by Pub. L. 92-181, title V, Sec. 5.26(a), Dec. 10, 1971, 85 Stat. 624. Sections 1131a-1 and 1131j of Title 12, included within the reference to sections 1131 to 1134m of Title 12, are omitted from the Code. Section 1131a-1 of Title 12, was from the Department of Agriculture and Farm Credit Administration Appropriation Act, 1957, and was not repeated in subsequent appropriation acts. Section 1131j was covered by former section 1131g-2 of Title 12, prior to its repeal by Pub. L. 92-181, title V, Sec. 5.26(a), Dec. 10, 1971, 85 Stat. 624. Sections 1131b and 1131g-1 of Title 12, included within the reference to sections 1131 to 1134m of Title 12, were repealed by act July 26, 1956, ch. 741, title 1, Sec. 105(c), (q), 70 Stat. 665, 666. -MISC2- AMENDMENTS 1990 - Pub. L. 101-624 substituted 'Farmers Home Administration, the Rural Development Administration' for 'Farmers' Home Administration'. 1961 - Pub. L. 87-353 struck out reference to the Federal Farm Mortgage Corporation. 1956 - Act July 26, 1956, struck out property of any production credit association in which a Production Credit Corporation holds stock. 1951 - Act Oct. 31, 1951, covered all production credit associations instead of only those in which a Production Credit Corporation holds stock. 1949 - Act May 24, 1949, made section applicable to the Secretary of Agriculture acting through the Farmers' Home Administration. EFFECTIVE DATE OF 1956 AMENDMENT Amendment by act July 26, 1956, effective January 1, 1957, see section 202(a) of act July 26, 1956. -TRANS- EXCEPTIONS FROM TRANSFER OF FUNCTIONS Functions of Corporations of Department of Agriculture; boards of directors and officers of such corporations; Advisory Board of Commodity Credit Corporation; and Farm Credit Administration or any agency, officer, or entity of, under, or subject to supervision of said Administration excepted from functions of officers, agencies, and employees transferred to Secretary of Agriculture by Reorg. Plan No. 2 of 1953, Sec. 1, eff. June 4, 1953, 18 F.R. 3219, 67 Stat. 633, set out in the Appendix to Title 5, Government Organization and Employees. FARM CREDIT ADMINISTRATION Establishment of Farm Credit Administration as independent agency, and other changes in status, functions, etc., see Ex. Ord. No. 6084 set out preceding section 2241 of Title 12, Banks and Banking. See also section 2001 et seq. of Title 12. ABOLITION OF FARMERS' HOME CORPORATION Farmers' Home Corporation, created as an agency within the Department of Agriculture by section 1014 of Title 7, Agriculture, was abolished as a result of repeal of such section by Pub. L. 87-128, title III, Sec. 341(a), Aug. 8, 1961, 75 Stat. 318. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 24022 Document 264 of 1438------ -CITE- 18 USC Sec. 659 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 659. Interstate or foreign shipments by carrier; State prosecutions -STATUTE- Whoever embezzles, steals, or unlawfully takes, carries away, or conceals, or by fraud or deception obtains from any pipeline system, railroad car, wagon, motortruck, or other vehicle, or from any tank or storage facility, station, station house, platform or depot or from any steamboat, vessel, or wharf, or from any aircraft, air terminal, airport, aircraft terminal or air navigation facility with intent to convert to his own use any goods or chattels moving as or which are a part of or which constitute an interstate or foreign shipment of freight, express, or other property; or Whoever buys or receives or has in his possession any such goods or chattels, knowing the same to have been embezzled or stolen; or Whoever embezzles, steals, or unlawfully takes, carries away, or by fraud or deception obtains with intent to convert to his own use any baggage which shall have come into the possession of any common carrier for transportation in interstate or foreign commerce or breaks into, steals, takes, carries away, or conceals any of the contents of such baggage, or buys, receives, or has in his possession any such baggage or any article therefrom of whatever nature, knowing the same to have been embezzled or stolen; or Whoever embezzles, steals, or unlawfully takes by any fraudulent device, scheme, or game, from any railroad car, bus, vehicle, steamboat, vessel, or aircraft operated by any common carrier moving in interstate or foreign commerce or from any passenger thereon any money, baggage, goods, or chattels, or whoever buys, receives, or has in his possession any such money, baggage, goods, or chattels, knowing the same to have been embezzled or stolen - Shall in each case be fined not more than $5,000 or imprisoned not more than ten years, or both; but if the amount or value of such money, baggage, goods or chattels does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. The offense shall be deemed to have been committed not only in the district where the violation first occurred, but also in any district in which the defendant may have taken or been in possession of the said money, baggage, goods, or chattels. The carrying or transporting of any such money, freight, express, baggage, goods, or chattels in interstate or foreign commerce, knowing the same to have been stolen, shall constitute a separate offense and subject the offender to the penalties under this section for unlawful taking, and the offense shall be deemed to have been committed in any district into which such money, freight, express, baggage, goods, or chattels shall have been removed or into which the same shall have been brought by such offender. To establish the interstate or foreign commerce character of any shipment in any prosecution under this section the waybill or other shipping document of such shipment shall be prima facie evidence of the place from which and to which such shipment was made. The removal of property from a pipeline system which extends interstate shall be prima facie evidence of the interstate character of the shipment of the property. A judgment of conviction or acquittal on the merits under the laws of any State shall be a bar to any prosecution under this section for the same act or acts. Nothing contained in this section shall be construed as indicating an intent on the part of Congress to occupy the field in which provisions of this section operate to the exclusion of State laws on the same subject matter, nor shall any provision of this section be construed as invalidating any provision of State law unless such provision is inconsistent with any of the purposes of this section or any provision thereof. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 729; May 24, 1949, ch. 139, Sec. 13, 63 Stat. 91; Oct. 14, 1966, Pub. L. 89-654, Sec. 1(a)-(d), 80 Stat. 904.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 409, 410, 411 (Feb. 13, 1913, ch. 50, Sec. 1, 2, 37 Stat. 670; Feb. 13, 1913, ch. 50, Sec. 3, as added Jan. 28, 1925, ch. 102, 43 Stat. 794; Jan. 28, 1925, ch. 102, 43 Stat. 793, 794; Jan. 21, 1933, ch. 16, 47 Stat. 773, 774; July 24, 1946, ch. 606, 60 Stat. 656.) This section consolidates sections 409, 410, and 411 of title 18, U.S.C., 1940 ed. First clause of said section 409 was incorporated in section 2117 of this title. In the paragraph immediately preceding the last paragraph the words 'and to which' were added to obviate an inadvertent and incongruous omission in the enactment of act July 24, 1946, ch. 606, Sec. 3, 60 Stat. 657. This is in harmony with corrective legislation pending before the Eightieth Congress. The definitions of 'station house', 'depot', 'wagon', 'automobile', 'truck', or 'other vehicle', contained in said section 409 of title 18, are omitted as unnecessary. The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) This improvement was suggested by United States Attorney P. F. Herrick, of Puerto Rico. (See reviser's note under section 641 of this title.) Minor changes were made in phraseology. 1949 ACT This section (section 13) inserts the word, 'embezzled' preceding 'or stolen' near the ends of the second and fourth paragraphs of section 659 of title 18, U.S.C., to restore the language of the original law from which such section was derived. Also, for clarity, substitutes, 'whoever' for 'who' preceding 'buys' in said fourth paragraph of section 659. SENATE REVISION AMENDMENT The 'corrective legislation', referred to in this paragraph, became Act April 16, 1947, ch. 39, 61 Stat. 52, and, as it amended section 411 of title 18, U.S.C., such act was an additional source of this section. AMENDMENTS 1966 - Pub. L. 89-654 substituted 'shipments by carrier' for 'baggage, express, or freight' in section catchline, inserted 'pipeline system' and 'tank or storage facility' and substituted 'freight, express, or other property' for 'freight or express' in par. 1, provided in par. 8 that the removal of property from a pipeline system which extends interstate shall be prima facie evidence of the interstate character of the shipment of the property, and, in par. 9, prohibited any construction which indicated an intent on the part of Congress to occupy the field to the exclusion of State laws or to invalidate inconsistent State provisions. 1949 - Act May 24, 1949, inserted 'embezzled or' before 'stolen' in second par., and substituted 'whoever' for 'who' before 'buys' in fourth par. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Venue, see rules 18 to 22, Appendix to this title. CROSS REFERENCES Destruction of property moving in commerce, see sections 1281, 1282 of Title 15, Commerce and Trade. Railroad car entered or seal broken, see section 2117 of this title. Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24023 Document 265 of 1438------ -CITE- 18 USC Sec. 660 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 660. Carrier's funds derived from commerce; State prosecutions -STATUTE- Whoever, being a president, director, officer, or manager of any firm, association, or corporation engaged in commerce as a common carrier, or whoever, being an employee of such common carrier riding in or upon any railroad car, motortruck, steamboat, vessel, aircraft or other vehicle of such carrier moving in interstate commerce, embezzles, steals, abstracts, or willfully misapplies, or willfully permits to be misapplied, any of the moneys, funds, credits, securities, property, or assets of such firm, association, or corporation arising or accruing from, or used in, such commerce, in whole or in part, or willfully or knowingly converts the same to his own use or to the use of another, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. The offense shall be deemed to have been committed not only in the district where the violation first occurred but also in any district in which the defendant may have taken or had possession of such moneys, funds, credits, securities, property or assets. A judgment of conviction or acquittal on the merits under the laws of any State shall be a bar to any prosecution hereunder for the same act or acts. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 730.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 409, 412 (Feb. 13, 1913, ch. 50, Sec. 1, 37 Stat. 670; Oct. 15, 1914, ch. 323, Sec. 9, 38 Stat. 733; Jan. 28, 1925, ch. 102, 43 Stat. 793; Jan. 21, 1933, ch. 16, 47 Stat. 773; July 24, 1946, ch. 606, 60 Stat. 656). Section consolidates a portion of section 409 with section 412, both of title 18, U.S.C., 1940 ed. Other provisions of said section 409 are incorporated in sections 659 and 2117 of this title. Definitive language in section 412 of title 18, U.S.C., 1940 ed., as to offense being a felony was deleted to conform with section 1 of this title. (See reviser's note under section 550 of this title.) Words 'imprisoned' was substituted for 'confined in the penitentiary' in section 412 of title 18, U.S.C., 1940 ed., in view of power of Attorney General under section 4082 of this title. Minimum punishment provision 'less than one year nor' in section 412 of title 18, U.S.C., 1940 ed., was omitted for reasons in reviser's note under section 203 of this title. Maximum fine of $5,000 was substituted for minimum fine of $500 in section 412 of title 18, U.S.C., 1940 ed., as being more consonant with the scheme of penalties and offenses provided by Congress for most sections in this chapter. Sentence in section 412 of title 18, U.S.C., 1940 ed., 'Nothing in this section shall be held to take away or impair the jurisdiction of the several courts under the laws thereof;', was omitted in view of section 3231 of this title. Changes were made in phraseology. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Venue, see rules 18 to 22, Appendix to this title. CROSS REFERENCES Destruction of property moving in commerce, see sections 1281, 1282 of Title 15, Commerce and Trade. ------DocID 24024 Document 266 of 1438------ -CITE- 18 USC Sec. 661 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 661. Within special maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, takes and carries away, with intent to steal or purloin, any personal property of another shall be punished as follows: If the property taken is of a value exceeding $100, or is taken from the person of another, by a fine of not more than $5,000, or imprisonment for not more than five years, or both; in all other cases, by a fine of not more than $1,000 or by imprisonment not more than one year, or both. If the property stolen consists of any evidence of debt, or other written instrument, the amount of money due thereon, or secured to be paid thereby and remaining unsatisfied, or which in any contingency might be collected thereon, or the value of the property the title to which is shown thereby, or the sum which might be recovered in the absence thereof, shall be the value of the property stolen. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 731.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 466 (Mar. 4, 1909, ch. 321, Sec. 287, 35 Stat. 1144). Words 'within the special maritime and territorial jurisdiction of the United States' were inserted to conform with section 7 of this title. (See reviser's note under that section.) The maximum fine and imprisonment provisions were modified and 'five years' and '$5,000' substituted for 'ten years' and '$10,000' and the sum of $100 was substituted for $50 as more in accord with other sections of this chapter. (See section 641 of this title.) Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. Laws of states adopted for areas within Federal jurisdiction, see section 13 of this title. Provisions relating to larceny committed within Indian country, see sections 1151, 1153, 3242 of this title. Special maritime and territorial jurisdiction of the United States defined, see section 7 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1153, 3050 of this title; title 49 App. section 1472. ------DocID 24025 Document 267 of 1438------ -CITE- 18 USC Sec. 662 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 662. Receiving stolen property within special maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, buys, receives, or conceals any money, goods, bank notes, or other thing which may be the subject of larceny, which has been feloniously taken, stolen, or embezzled, from any other person, knowing the same to have been so taken, stolen, or embezzled, shall be fined not more than $1,000 or imprisoned not more than three years, or both; but if the amount or value of thing so taken, stolen or embezzled does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 731.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 467 (Mar. 4, 1909, ch. 321, Sec. 288, 35 Stat. 1145). Same language was inserted as in section 661 of this title for the same reason. Mandatory punishment provision was rephrased in the alternative. The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) This accords with the recommendation of United States Attorney P. F. Herrick of Puerto Rico. Language as to order of trial was omitted and incorporated in section 3435 of this title. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. Laws of States adopted for areas within Federal jurisdiction, see section 13 of this title. Receiving - Articles stolen from the mails, see section 1708 of this title. Goods stolen from interstate or foreign shipments, see section 659 of this title. Special maritime and territorial jurisdiction of the United States defined, see section 7 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 49 App. section 1472. ------DocID 24026 Document 268 of 1438------ -CITE- 18 USC Sec. 663 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 663. Solicitation or use of gifts -STATUTE- Whoever solicits any gift of money or other property, and represents that such gift is being solicited for the use of the United States, with the intention of embezzling, stealing, or purloining such gift, or converting the same to any other use or purpose, or whoever, having come into possession of any money or property which has been donated by the owner thereof for the use of the United States, embezzles, steals or purloins such money or property, or converts the same to any other use or purpose, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 731.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 641e of title 50, App. U.S.C., 1940 ed., War and National Defense (Mar. 27, 1942, 3 p. m., E. W. T., c. 199, Title XI, Sec. 1106, 56 Stat. 184). This section was taken from the Second War Powers Act of 1942, which was temporary legislation. However, the subject matter was so independent of the war effort as to warrant its inclusion in this title as a permanent provision. Words 'shall be guilty of a felony' were omitted. See Reviser's Note under section 550 of this title. Words 'and upon conviction thereof' were omitted as unnecessary since punishment cannot be imposed until a conviction is secured. ------DocID 24027 Document 269 of 1438------ -CITE- 18 USC Sec. 664 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 664. Theft or embezzlement from employee benefit plan -STATUTE- Any person who embezzles, steals, or unlawfully and willfully abstracts or converts to his own use or to the use of another, any of the moneys, funds, securities, premiums, credits, property, or other assets of any employee welfare benefit plan or employee pension benefit plan, or of any fund connected therewith, shall be fined not more than $10,000, or imprisoned not more than five years, or both. As used in this section, the term 'any employee welfare benefit plan or employee pension benefit plan' means any employee benefit plan subject to any provision of title I of the Employee Retirement Income Security Act of 1974. -SOURCE- (Added Pub. L. 87-420, Sec. 17(a), Mar. 20, 1962, 76 Stat. 41, and amended Pub. L. 93-406, title I, Sec. 111(a)(2)(A), Sept. 2, 1974, 88 Stat. 851.) -REFTEXT- REFERENCES IN TEXT The Employee Retirement Income Security Act of 1974, referred to in text, is Pub. L. 93-406, Sept. 2, 1974, 88 Stat. 832, as amended. Title I of the Employee Retirement Income Security Act of 1974 is classified generally to subchapter I (Sec. 1001 et seq.) of chapter 18 of Title 29, Labor. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of Title 29 and Tables. -MISC2- AMENDMENTS 1974 - Pub. L. 93-406 substituted 'any employee benefit plan subject to any provision of title I of the Employee Retirement Income Security Act of 1974' for 'any such plan subject to the provisions of the Welfare and Pension Plans Disclosure Act'. EFFECTIVE DATE OF 1974 AMENDMENT Amendment by Pub. L. 93-406 effective Jan. 1, 1975, except as provided in section 1031(b)(2) of Title 29, Labor, see section 1031(b)(1) of Title 29. EFFECTIVE DATE Section 19 of Pub. L. 87-420 provided that: 'The amendments made by this Act (see Short Title note below) shall take effect ninety days after the enactment of this Act (Mar. 20, 1962), except that section 13 of the Welfare and Pension Plans Disclosure Act (section 308d of Title 29, Labor) shall take effect one hundred eighty days after such date of enactment (Mar. 20, 1962).' SHORT TITLE Section 1 of Pub. L. 87-420 provided: 'That this Act (enacting this section, sections 1027 and 1954 of this title, and sections 308a to 308f of Title 29, Labor, amending sections 302 to 308 and 309 of Title 29, and renumbering sections 10 to 12 of Pub. L. 85-536, classified to section 309 of Title 29 and as notes under section 301 of Title 29), may be cited as the 'Welfare and Pension Plans Disclosure Act Amendments of 1962'.' -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title; title 29 section 1031. ------DocID 24028 Document 270 of 1438------ -CITE- 18 USC Sec. 665 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 665. Theft or embezzlement from employment and training funds; improper inducement; obstruction of investigations -STATUTE- (a) Whoever, being an officer, director, agent, or employee of, or connected in any capacity with any agency or organization receiving financial assistance or any funds under the Comprehensive Employment and Training Act or the Job Training Partnership Act knowingly enrolls an ineligible participant, embezzles, willfully misapplies, steals, or obtains by fraud any of the moneys, funds, assets, or property which are the subject of a financial assistance agreement or contract pursuant to such Act shall be fined not more than $10,000 or imprisoned for not more than 2 years, or both; but if the amount so embezzled, misapplied, stolen, or obtained by fraud does not exceed $100, such person shall be fined not more than $1,000 or imprisoned not more than 1 year, or both. (b) Whoever, by threat or procuring dismissal of any person from employment or of refusal to employ or refusal to renew a contract of employment in connection with a financial assistance agreement or contract under the Comprehensive Employment and Training Act or the Job Training Partnership Act induces any person to give up any money or thing of any value to any person (including such organization or agency receiving funds) shall be fined not more than $1,000, or imprisoned not more than 1 year, or both. (c) Whoever willfully obstructs or impedes or willfully endeavors to obstruct or impede, an investigation or inquiry under the Comprehensive Employment and Training Act or the Job Training Partnership Act, or the regulations thereunder, shall be punished by a fine of not more than $5,000, or by imprisonment for not more than 1 year, or by both such fine and imprisonment. -SOURCE- (Added Pub. L. 93-203, title VII, Sec. 711(a), formerly title VI, Sec. 611(a), Dec. 28, 1973, 87 Stat. 881, renumbered Pub. L. 93-567, title I, Sec. 101, Dec. 31, 1974, 88 Stat. 1845, and amended Pub. L. 95-524, Sec. 3(a), Oct. 27, 1978, 92 Stat. 2017; Pub. L. 97-300, title I, Sec. 182, Oct. 13, 1982, 96 Stat. 1357; Pub. L. 101-647, title XXXV, Sec. 3517, Nov. 29, 1990, 104 Stat. 4923.) -REFTEXT- REFERENCES IN TEXT The Comprehensive Employment and Training Act, referred to in text, is Pub. L. 93-203, Dec. 28, 1973, 87 Stat. 839, as amended, which was classified generally to chapter 17 (Sec. 801 et seq.) of Title 29, Labor, and was repealed by Pub. L. 97-300, title I, Sec. 184(a)(1), Oct. 13, 1982, 96 Stat. 1357. For complete classification of this Act to the Code prior to its repeal, see Tables. The Job Training Partnership Act, referred to in text, is Pub. L. 97-300, Oct. 13, 1982, 96 Stat. 1322, as amended, which, in addition to repealing the Comprehensive Employment and Training Act (see above), enacted sections 49, 49a, 49b, 49e, 49f, 49l, and 49l-1 and chapter 19 (Sec. 1501 et seq.) of Title 29, amended this section, sections 49d, 49g, 49h, 49i, and 49j of Title 29, and sections 602, 632, and 633 of Title 42, The Public Health and Welfare, and enacted provisions set out as notes under sections 49 and 801 of Title 29. For complete classification of this Act to the Code see Short Title note set out under section 1501 of Title 29 and Tables. -COD- CODIFICATION Section 711(a) of Pub. L. 93-203, cited as a credit to this section, was omitted in the general revision of Pub. L. 93-203 by Pub. L. 95-524. -MISC3- AMENDMENTS 1990 - Pub. L. 101-647 substituted semicolons for colons in section catchline and 'Whoever' for 'Any person whoever' in subsec. (c). 1982 - Subsec. (a). Pub. L. 97-300 inserted 'or organization' after 'any agency', 'or any funds' after 'financial assistance', 'or Job Training Partnership Act' after 'Comprehensive Employment and Training Act', substituted 'participant' for 'individual or individuals', and 'financial assistance agreement or contract' for 'grant or contract of assistance'. Subsec. (b). Pub. L. 97-300 substituted 'financial assistance agreement or contract' for 'grant or contract of assistance', inserted 'or the Job Training Partnership Act' after 'Comprehensive Employment and Training Act', substituted 'any person' for 'any persons' after 'induces', and substituted 'organization or agency receiving funds' for 'grantee agency'. Subsec. (c). Pub. L. 97-300 inserted 'willfully' before 'endeavors to obstruct', and 'or the Job Training Partnership Act' after 'Comprehensive Employment and Training Act'. 1978 - Pub. L. 95-524 substituted 'employment and training funds:' for 'manpower funds;' and inserted ': obstruction of investigations' after 'improper inducement' in section catchline. Subsec. (a). Pub. L. 95-524 substituted 'Comprehensive Employment and Training Act knowingly hires an ineligible individual or individuals,' for 'Comprehensive Employment and Training Act of 1973'. Subsec. (b). Pub. L. 95-524 substituted 'Comprehensive Employment and Training Act' for 'Comprehensive Employment and Training Act of 1973'. Subsec. (c). Pub. L. 95-524 added subsec. (c). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 29 section 1592. ------DocID 24029 Document 271 of 1438------ -CITE- 18 USC Sec. 666 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 666. Theft or bribery concerning programs receiving Federal funds -STATUTE- (a) Whoever, if the circumstance described in subsection (b) of this section exists - (1) being an agent of an organization, or of a State, local, or Indian tribal government, or any agency thereof - (A) embezzles, steals, obtains by fraud, or otherwise without authority knowingly converts to the use of any person other than the rightful owner or intentionally misapplies, property that - (i) is valued at $5,000 or more, and (ii) is owned by, or is under the care, custody, or control of such organization, government, or agency; or (B) corruptly solicits or demands for the benefit of any person, or accepts or agrees to accept, anything of value from any person, intending to be influenced or rewarded in connection with any business, transaction, or series of transactions of such organization, government, or agency involving any thing of value of $5,000 or more; or (2) corruptly gives, offers, or agrees to give anything of value to any person, with intent to influence or reward an agent of an organization or of a State, local or Indian tribal government, or any agency thereof, in connection with any business, transaction, or series of transactions of such organization, government, or agency involving anything of value of $5,000 or more; shall be fined under this title, imprisoned not more than 10 years, or both. (b) The circumstance referred to in subsection (a) of this section is that the organization, government, or agency receives, in any one year period, benefits in excess of $10,000 under a Federal program involving a grant, contract, subsidy, loan, guarantee, insurance, or other form of Federal assistance. (c) This section does not apply to bona fide salary, wages, fees, or other compensation paid, or expenses paid or reimbursed, in the usual course of business. (d) As used in this section - (1) the term 'agent' means a person authorized to act on behalf of another person or a government and, in the case of an organization or government, includes a servant or employee, and a partner, director, officer, manager, and representative; (2) the term 'government agency' means a subdivision of the executive, legislative, judicial, or other branch of government, including a department, independent establishment, commission, administration, authority, board, and bureau, and a corporation or other legal entity established, and subject to control, by a government or governments for the execution of a governmental or intergovernmental program; (3) the term 'local' means of or pertaining to a political subdivision within a State; and (4) (FOOTNOTE 1) the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. (FOOTNOTE 1) So in original. Two pars. (4) have been enacted. (4) (FOOTNOTE 1) the term 'in any one-year period' means a continuous period that commences no earlier than twelve months before the commission of the offense or that ends no later than twelve months after the commission of the offense. Such period may include time both before and after the commission of the offense. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1104(a), Oct. 12, 1984, 98 Stat. 2143, and amended Pub. L. 99-646, Sec. 59(a), Nov. 10, 1986, 100 Stat. 3612; Pub. L. 101-647, title XII, Sec. 1205(d), 1209, Nov. 29, 1990, 104 Stat. 4831, 4832.) -MISC1- AMENDMENTS 1990 - Subsec. (d)(4). Pub. L. 101-647, Sec. 1209, added par. (4) defining 'in any one-year period'. Pub. L. 101-647, Sec. 1205(d), added par. (4) defining 'State'. 1986 - Pub. L. 99-646, in amending section generally, made specific reference to applicability of section to agent of Indian tribal government or agency thereof, inserted provision that section does not apply to bona fide salary, wages, fees, or other compensation paid, or expenses paid or reimbursed, in usual course of business, struck out definition of term 'organization', and otherwise revised structure of section. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 981, 982, 1956 of this title. ------DocID 24030 Document 272 of 1438------ -CITE- 18 USC Sec. 667 -EXPCITE- TITLE 18 PART I CHAPTER 31 -HEAD- Sec. 667. Theft of livestock -STATUTE- Whoever obtains or uses the property of another which has a value of $10,000 or more in connection with the marketing of livestock in interstate or foreign commerce with intent to deprive the other of a right to the property or a benefit of the property or to appropriate the property to his own use or the use of another shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1111, Oct. 12, 1984, 98 Stat. 2149.) ------DocID 24031 Document 273 of 1438------ -CITE- 18 USC CHAPTER 33 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- CHAPTER 33 - EMBLEMS, INSIGNIA, AND NAMES -MISC1- Sec. 700. Desecration of the flag of the United States; penalties. 701. Official badges, identification cards, other insignia. 702. Uniform of armed forces and Public Health Service. 703. Uniform of friendly nation. 704. Military medals or decorations. 705. Badge or medal of veterans' organizations. 706. Red Cross. 707. 4-H Club emblem fraudulently used. 708. Swiss Confederation coat of arms. 709. False advertising or misuse of names to indicate Federal agency. 710. Cremation urns for military use. 711. 'Smokey Bear' character or name. 711a. 'Woodsy Owl' character, name, or slogan. 712. Misuse of names, words, emblems, or insignia. 713. Use of likenesses of the great seal of the United States, and of the seals of the President and Vice President. (714. Repealed.) 715. 'The Golden Eagle Insignia'. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3518, Nov. 29, 1990, 104 Stat. 4923, inserted a comma after 'INSIGNIA' in chapter heading. 1982 - Pub. L. 97-258, Sec. 2(d)(1)(A), Sept. 13, 1982, 96 Stat. 1058, struck out item 714 relating to 'Johnny Horizon' character or name. 1974 - Pub. L. 93-318, Sec. 8, June 22, 1974, 88 Stat. 245, added item 711a. 1973 - Pub. L. 93-147, Sec. 1(b), Nov. 3, 1973, 87 Stat. 555, substituted 'Misuse of names, words, emblems, or insignia' for 'Misuse of names by collecting agencies to indicate Federal agency' in item 712. 1972 - Pub. L. 92-347, Sec. 3(c), July 11, 1972, 86 Stat. 462, added item 715. 1971 - Pub. L. 91-651, Sec. 2, Jan. 5, 1971, 84 Stat. 1941, inserted ', and of the seals of the President and Vice President' after 'United States' in item 713. 1970 - Pub. L. 91-419, Sec. 4, Sept. 25, 1970, 84 Stat. 871, added item 714. 1968 - Pub. L. 90-381, Sec. 2, July 5, 1968, 82 Stat. 291, added item 700. 1966 - Pub. L. 89-807, Sec. 1(b), Nov. 11, 1966, 80 Stat. 1525, added item 713. 1959 - Pub. L. 86-291, Sec. 3, Sept. 21, 1959, 73 Stat. 570, added item 712. 1952 - Act May 23, 1952, ch. 327, Sec. 2, 66 Stat. 92, added item 711. 1950 - Act Sept. 28, 1950, ch. 1092, Sec. 1(a), 64 Stat. 1077, added item 710. 1949 - Act May 24, 1949, ch. 139, Sec. 14, 63 Stat. 91, inserted 'Uniform of armed forces and Public Health Service' in lieu of enumerating the specific branches in item 702. ------DocID 24032 Document 274 of 1438------ -CITE- 18 USC Sec. 700 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 700. Desecration of the flag of the United States; penalties -STATUTE- (a)(1) Whoever knowingly mutilates, defaces, physically defiles, burns, maintains on the floor or ground, or tramples upon any flag of the United States shall be fined under this title or imprisoned for not more than one year, or both. (2) This subsection does not prohibit any conduct consisting of the disposal of a flag when it has become worn or soiled. (b) As used in this section, the term 'flag of the United States' means any flag of the United States, or any part thereof, made of any substance, of any size, in a form that is commonly displayed. (c) Nothing in this section shall be construed as indicating an intent on the part of Congress to deprive any State, territory, possession, or the Commonwealth of Puerto Rico of jurisdiction over any offense over which it would have jurisdiction in the absence of this section. (d)(1) An appeal may be taken directly to the Supreme Court of the United States from any interlocutory or final judgment, decree, or order issued by a United States district court ruling upon the constitutionality of subsection (a). (2) The Supreme Court shall, if it has not previously ruled on the question, accept jurisdiction over the appeal and advance on the docket and expedite to the greatest extent possible. -SOURCE- (Added Pub. L. 90-381, Sec. 1, July 5, 1968, 82 Stat. 291, and amended Pub. L. 101-131, Sec. 2, 3, Oct. 28, 1989, 103 Stat. 777.) -MISC1- AMENDMENTS 1989 - Subsec. (a). Pub. L. 101-131, Sec. 2(a), amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: 'Whoever knowingly casts contempt upon any flag of the United States by publicly mutilating, defacing, defiling, burning, or trampling upon it shall be fined not more than $1,000 or imprisoned for not more than one year, or both.' Subsec. (b). Pub. L. 101-131, Sec. 2(b), amended subsec. (b) generally. Prior to amendment, subsec. (b) read as follows: 'The term 'flag of the United States' as used in this section, shall include any flag, standard colors, ensign, or any picture or representation of either, or of any part or parts of either, made of any substance or represented on any substance, of any size evidently purporting to be either of said flag, standard, color, or ensign of the United States of America, or a picture or a representation of either, upon which shall be shown the colors, the stars and the stripes, in any number of either thereof, or of any part or parts of either, by which the average person seeing the same without deliberation may believe the same to represent the flag, standards, colors, or ensign of the United States of America.' Subsec. (d). Pub. L. 101-131, Sec. 3, added subsec. (d). SHORT TITLE OF 1989 AMENDMENT Section 1 of Pub. L. 101-131 provided that: 'This Act (amending this section) may be cited as the 'Flag Protection Act of 1989'.' -CROSS- CROSS REFERENCES Penalty for mutilation or use of flag for advertising purposes, see section 3 of Title 4, Flag and Seal, Seat of Government, and the States. ------DocID 24033 Document 275 of 1438------ -CITE- 18 USC Sec. 701 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 701. Official badges, identification cards, other insignia -STATUTE- Whoever manufactures, sells, or possesses any badge, identification card, or other insignia, of the design prescribed by the head of any department or agency of the United States for use by any officer or employee thereof, or any colorable imitation thereof, or photographs, prints, or in any other manner makes or executes any engraving, photograph, print, or impression in the likeness of any such badge, identification card, or other insignia, or any colorable imitation thereof, except as authorized under regulations made pursuant to law, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 731.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 76a, 76b (June 29, 1932, ch. 306, Sec. 1, 2, 47 Stat. 342; May 22, 1939, ch. 141, 53 Stat. 752). Sections were consolidated. The term 'department or agency' was substituted for 'department or independent office' in two places to embrace all properly constituted agencies as defined in section 6 of this title and to eliminate any possible ambiguity as to scope of section. Minor changes were made in phraseology. ------DocID 24034 Document 276 of 1438------ -CITE- 18 USC Sec. 702 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 702. Uniform of armed forces and Public Health Service -STATUTE- Whoever, in any place within the jurisdiction of the United States or in the Canal Zone, without authority, wears the uniform or a distinctive part thereof or anything similar to a distinctive part of the uniform of any of the armed forces of the United States, Public Health Service or any auxiliary of such, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 732; May 24, 1949, ch. 139, Sec. 15(a), 63 Stat. 91.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 1393 of title 10, U.S.C., 1940 ed., Army and Air Force, and section 228 of title 42, U.S.C., 1940 ed., The Public Health and Welfare (June 3, 1916, ch. 134, Sec. 125, 39 Stat. 216 (2d paragraph); July 1, 1944, ch. 373, Sec. 510, 58 Stat. 711). 'Auxiliary of such' was inserted to extend protection to the uniforms of any auxiliary corps that may be established. Fine of '$250' was substituted for '$300' as being more consonant with the penalties provided for similar offenses in this chapter. Minor changes of phraseology also were made. 1949 ACT This section (section 15) inserts 'armed forces' in the catch line and text of section 702 of title 18, U.S.C., and thereby includes the Air Force which was formerly part of the Army. (See note to sec. 5 (of 1949 Act, set out in Legislative History note under section 244 of title 18)). Also, it incorporates in such section the provisions of act of April 15, 1948 (ch. 188, 62 Stat. 172), which relates to this section as well as to section 1393 of title 10, U.S.C. (one of the sources of such sec. 701), as it existed at the time of the enactment of the revision of title 18 and which was not incorporated in title 18 when the revision was enacted. In this connection specific reference to the Canal Zone, Guam, American Samoa, and the Virgin Islands, as contained in such act of April 15, 1948, were omitted as covered by the phrase, 'in any place within the jurisdiction of the United States,' as used in this amendment of such section 702 of title 18, U.S.C. -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in text, see section 3602(b) of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1949 - Act May 24, 1949, inserted 'armed forces' in lieu of enumerating specific branches in section catchline and text, and inserted 'in any place within the jurisdiction of the United States or in the Canal Zone'. -TRANS- TRANSFER OF FUNCTIONS Secretary of Health, Education, and Welfare redesignated Secretary of Health and Human Services by Pub. L. 96-88, title V, Sec. 509(b), Oct. 17, 1979, 93 Stat. 695, which is classified to section 3508(b) of Title 20, Education. Functions of Public Health Service, Surgeon General of Public Health Service, and all other officers and employees of Public Health Service, and functions of all agencies of or in Public Health Service transferred to Secretary of Health, Education, and Welfare by Reorg. Plan No. 3 of 1966, eff. June 25, 1966, 31 F.R. 8855, 80 Stat. 1610, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Authority to wear uniform of officers or enlisted men of armed forces, see section 771 et seq. of Title 10, Armed Forces. Wearing of uniforms and insignia of Public Health Service, see section 300cc-9 of Title 42, The Public Health and Welfare. ------DocID 24035 Document 277 of 1438------ -CITE- 18 USC Sec. 703 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 703. Uniform of friendly nation -STATUTE- Whoever, within the jurisdiction of the United States, with intent to deceive or mislead, wears any naval, military, police, or other official uniform, decoration, or regalia of any foreign state, nation, or government with which the United States is at peace, or anything so nearly resembling the same as to be calculated to deceive, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 732.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 246 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (July 8, 1918, ch. 138, 40 Stat. 821). Words 'upon conviction' were deleted as surplusage, since punishment cannot be imposed until a conviction is secured. Reference to territories or places subject to jurisdiction of the United States was omitted in view of section 5 of this title defining the term 'United States.' Fine of '$250' was substituted for '$300' as being more consonant with the penalties provided for similar offenses in this chapter. Words 'unless such wearing thereof be authorized by such state, nation, or government' were deleted as unnecessary and undesirable since it is unthinkable that a friendly power would authorize such deceit. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24036 Document 278 of 1438------ -CITE- 18 USC Sec. 704 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 704. Military medals or decorations -STATUTE- Whoever knowingly wears, manufactures, or sells any decoration or medal authorized by Congress for the armed forces of the United States, or any of the service medals or badges awarded to the members of such forces, or the ribbon, button, or rosette of any such badge, decoration or medal, or any colorable imitation thereof, except when authorized under regulations made pursuant to law, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 732; May 24, 1949, ch. 139, Sec. 16, 63 Stat. 92.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 1425 of title 10, U.S.C., 1940 ed., Army and Air Force (Feb. 24, 1923, ch. 110, 42 Stat. 1286; Apr. 21, 1928, ch. 392, 45 Stat. 437). Section was made to cover the decorations and medals of the Navy Department as well as the War Department. Minor changes were made in phraseology. 1949 ACT This section (section 16) clarifies the wording of section 704 of title 18, U.S.C., to embrace all service decorations awarded to members of the armed forces whether by the Army, Navy, Air Force, or other branch of such forces. (See note to sec. 5 (of 1949 Act, set out in Legislative History note under section 244 of title 18)). AMENDMENTS 1949 - Act May 24, 1949, covered all service decorations awarded members of the armed forces by any of the armed services. ------DocID 24037 Document 279 of 1438------ -CITE- 18 USC Sec. 705 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 705. Badge or medal of veterans' organizations -STATUTE- Whoever knowingly manufactures, reproduces, sells or purchases for resale, either separately or on or appended to, any article of merchandise manufactured or sold, any badge, medal, emblem, or other insignia or any colorable imitation thereof, of any veterans' organization incorporated by enactment of Congress, or of any organization formally recognized by any such veterans' organization as an auxiliary of such veterans' organization, or knowingly prints, lithographs, engraves or otherwise reproduces on any poster, circular, periodical, magazine, newspaper, or other publication, or circulates or distributes any such printed matter bearing a reproduction of such badge, medal, emblem, or other insignia or any colorable imitation thereof, except when authorized under rules and regulations prescribed by any such organization, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 732; Aug. 4, 1950, ch. 578, 64 Stat. 413.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 76e (June 25, 1940, ch. 426, 54 Stat. 571). Words beginning the section are from the punishment provision of last sentence which was itself rewritten without surplusage. Changes were made in phraseology. AMENDMENTS 1950 - Act Aug. 4, 1950, brought within the protection of this section emblems, badges, or insignia of auxiliary organizations of veteran's organizations incorporated by an act of Congress. ------DocID 24038 Document 280 of 1438------ -CITE- 18 USC Sec. 706 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 706. Red Cross -STATUTE- Whoever wears or displays the sign of the Red Cross or any insignia colored in imitation thereof for the fraudulent purpose of inducing the belief that he is a member of or an agent for the American National Red Cross; or Whoever, whether a corporation, association or person, other than the American National Red Cross and its duly authorized employees and agents and the sanitary and hospital authorities of the armed forces of the United States, uses the emblem of the Greek red cross on a white ground, or any sign or insignia made or colored in imitation thereof or the words 'Red Cross' or 'Geneva Cross' or any combination of these words - Shall be fined not more than $250 or imprisoned not more than six months, or both. This section shall not make unlawful the use of any such emblem, sign, insignia or words which was lawful on the date of enactment of this title. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 732; May 24, 1949, ch. 139, Sec. 17, 63 Stat. 92.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 4 of title 36, Patriotic Societies and Observances (Jan. 5, 1905, ch. 23, Sec. 4, 33 Stat. 600; June 23, 1910, ch. 372, Sec. 1, 36 Stat. 604). False personation provision in first part of section was omitted here and incorporated in section 917 of this title. Words of punishment '$250' and 'six months' were substituted for '$500' and 'one year' respectively as more consonant with penalties provided for similar offenses in this chapter. (See sections 701, 704, 705 of this title.) Punishment provisions were also changed to omit reference to 'misdemeanor' in view of definitive section 1 of this title. Words 'upon conviction thereof' were omitted as surplusage, because punishment can only be imposed after conviction. Changes were made in phraseology. 1949 ACT This section (section 17) clarifies the wording of section 706 of title 18, U.S.C., to embrace all service sanitary units whether belonging to the Army, Navy, Air Force, or other branches of the Armed services. (See note to sec. 5 (of 1949 Act, set out in Legislative History note under section 244 of title 18)). -REFTEXT- REFERENCES IN TEXT The date of enactment of this title, referred to in text, means June 25, 1948. -MISC2- AMENDMENTS 1949 - Act May 24, 1949, included all service sanitary units. -CROSS- CROSS REFERENCES Fraudulent use of certain insignia, see section 701 of this title. ------DocID 24039 Document 281 of 1438------ -CITE- 18 USC Sec. 707 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 707. 4-H club emblem fraudulently used -STATUTE- Whoever, with intent to defraud, wears or displays the sign or emblem of the 4-H clubs, consisting of a green four-leaf clover with stem, and the letter H in white or gold on each leaflet, or any insignia in colorable imitation thereof, for the purpose of inducing the belief that he is a member of, associated with, or an agent or representative for the 4-H clubs; or Whoever, whether an individual, partnership, corporation or association, other than the 4-H clubs and those duly authorized by them, the representatives of the United States Department of Agriculture, the land grant colleges, and persons authorized by the Secretary of Agriculture, uses, within the United States, such emblem or any sign, insignia, or symbol in colorable imitation thereof, or the words '4-H Club' or '4-H Clubs' or any combination of these or other words or characters in colorable imitation thereof - Shall be fined not more than $250 or imprisoned not more than six months, or both. This section shall not make unlawful the use of any such emblem, sign, insignia or words which was lawful on the date of enactment of this title. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 733.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 76c and 76d (June 5, 1939, ch. 184, Sec. 1, 2, 53 Stat. 809). The first provision of section 76c of title 18, U.S.C., 1940 ed., relating to fraudulently pretending to be a member of a 4-H Club was incorporated in section 916 of this title. The language describing the emblem was transposed. Unnecessary words were omitted from punishment provision, and '$250' was substituted for '$300' to make the punishment consonant with the penalties provided for similar offenses. (See sections 701, 704, 705 of this title for similar offenses.) The language of section 76d of title 18, U.S.C., 1940 ed., was rephrased and inserted after 'whoever,' in the second paragraph. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The date of enactment of this title, referred to in text, means June 25, 1948. ------DocID 24040 Document 282 of 1438------ -CITE- 18 USC Sec. 708 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 708. Swiss Confederation coat of arms -STATUTE- Whoever, whether a corporation, partnership, unincorporated company, association, or person within the United States, willfully uses as a trade mark, commercial label, or portion thereof, or as an advertisement or insignia for any business or organization or for any trade or commercial purpose, the coat of arms of the Swiss Confederation, consisting of an upright white cross with equal arms and lines on a red ground, or any simulation thereof, shall be fined not more than $250 or imprisoned not more than six months, or both. This section shall not make unlawful the use of any such design or insignia which was lawful on August 31, 1948. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 733; Oct. 31, 1951, ch. 655, Sec. 21a, 65 Stat. 719.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 248 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 20, 1936, ch. 635, Sec. 1, 2, 49 Stat. 1557). Reference to 'jurisdiction' of the United States was omitted as unnecessary in view of definition of 'United States' in section 5 of this title. Words of punishment '$250' and 'six months' were substituted for '$500' and 'one year' respectively, as more consonant with penalties for similar offenses in this chapter. (See sections 701, 704, 705 of this title.) Punishment provision was also changed to omit reference to 'misdemeanor' in view of definitive section 1 of this title. Words 'upon conviction' were omitted as surplusage, because punishment can only be imposed after conviction. Minor changes were made in phraseology. AMENDMENTS 1951 - Act Oct. 31, 1951, added second par. ------DocID 24041 Document 283 of 1438------ -CITE- 18 USC Sec. 709 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 709. False advertising or misuse of names to indicate Federal agency -STATUTE- Whoever, except as permitted by the laws of the United States, uses the words 'national', 'Federal', 'United States', 'reserve', or 'Deposit Insurance' as part of the business or firm name of a person, corporation, partnership, business trust, association or other business entity engaged in the banking, loan, building and loan, brokerage, factorage, insurance, indemnity, savings or trust business; or Whoever falsely advertises or represents, or publishes or displays any sign, symbol or advertisement reasonably calculated to convey the impression that a nonmember bank, banking association, firm or partnership is a member of the Federal reserve system; or Whoever, except as expressly authorized by Federal law, uses the words 'Federal Deposit', 'Federal Deposit Insurance', or 'Federal Deposit Insurance Corporation' or a combination of any three of these words, as the name or a part thereof under which he or it does business, or advertises or otherwise represents falsely by any device whatsoever that his or its deposit liabilities, obligations, certificates, or shares are insured or guaranteed by the Federal Deposit Insurance Corporation, or by the United States or by any instrumentality thereof, or whoever advertises that his or its deposits, shares, or accounts are federally insured, or falsely advertises or otherwise represents by any device whatsoever the extent to which or the manner in which the deposit liabilities of an insured bank or banks are insured by the Federal Deposit Insurance Corporation; or Whoever, other than a bona fide organization or association of Federal or State credit unions or except as permitted by the laws of the United States, uses as a firm or business name or transacts business using the words 'National Credit Union', 'National Credit Union Administration', 'National Credit Union Board', 'National Credit Union Share Insurance Fund', 'Share Insurance', or 'Central Liquidity Facility', or the letters 'NCUA', 'NCUSIF', or 'CLF', or any other combination or variation of those words or letters alone or with other words or letters, or any device or symbol or other means, reasonably calculated to convey the false impression that such name or business has some connection with, or authorization from, the National Credit Union Administration, the Government of the United States, or any agency thereof, which does not in fact exist, or falsely advertises or otherwise represents by any device whatsoever that his or its business, product, or service has been in any way endorsed, authorized, or approved by the National Credit Union Administration, the Government of the United States, or any agency thereof, or falsely advertises or otherwise represents by any device whatsoever that his or its deposit liabilities, obligations, certificates, shares, or accounts are insured under the Federal Credit Union Act or by the United States or any instrumentality thereof, or being an insured credit union as defined in that Act falsely advertises or otherwise represents by any device whatsoever the extent to which or the manner in which share holdings in such credit union are insured under such Act; or Whoever, not being organized under chapter 7 of Title 12, advertises or represents that it makes Federal Farm loans or advertises or offers for sale as Federal Farm loan bonds any bond not issued under chapter 7 of Title 12, or uses the word 'Federal' or the words 'United States' or any other words implying Government ownership, obligation or supervision in advertising or offering for sale any bond, note, mortgage or other security not issued by the Government of the United States under the provisions of said chapter 7 or some other Act of Congress; or Whoever uses the words 'Federal Home Loan Bank' or any combination or variation of these words alone or with other words as a business name or part of a business name, or falsely publishes, advertises or represents by any device or symbol or other means reasonably calculated to convey the impression that he or it is a Federal Home Loan Bank or member of or subscriber for the stock of a Federal Home Loan Bank; or Whoever uses the words 'National Agricultural Credit Corporation' as part of the business or firm name of a person, corporation, partnership, business trust, association or other business entity not organized under the laws of the United States as a National Agricultural Credit Corporation; or Whoever uses the words 'Federal intermediate credit bank' as part of the business or firm name for any person, corporation, partnership, business trust, association or other business entity not organized as an intermediate credit bank under the laws of the United States; or Whoever uses as a firm or business name the words 'Department of Housing and Urban Development', 'Housing and Home Finance Agency', 'Federal Housing Administration', 'Government National Mortgage Association', 'United States Housing Authority', or 'Public Housing Administration' or the letters 'HUD', 'FHA', 'PHA', or 'USHA', or any combination or variation of those words or the letters 'HUD', 'FHA', 'PHA', or 'USHA' alone or with other words or letters reasonably calculated to convey the false impression that such name or business has some connection with, or authorization from, the Department of Housing and Urban Development, the Housing and Home Finance Agency, the Federal Housing Administration, the Government National Mortgage Association, the United States Housing Authority, the Public Housing Administration, the Government of the United States, or any agency thereof, which does not in fact exist, or falsely claims that any repair, improvement, or alteration of any existing structure is required or recommended by the Department of Housing and Urban Development, the Housing and Home Finance Agency, the Federal Housing Administration, the Government National Mortgage Association, the United States Housing Authority, the Public Housing Administration, the Government of the United States, or any agency thereof, for the purpose of inducing any person to enter into a contract for the making of such repairs, alterations, or improvements, or falsely advertises or falsely represents by any device whatsoever that any housing unit, project, business, or product has been in any way endorsed, authorized, inspected, appraised, or approved by the Department of Housing and Urban Development, the Housing and Home Finance Agency, the Federal Housing Administration, the Government National Mortgage Association, the United States Housing Authority, the Public Housing Administration, the Government of the United States, or any agency thereof; or Whoever, except with the written permission of the Director of the Federal Bureau of Investigation, knowingly uses the words 'Federal Bureau of Investigation' or the initials 'F.B.I.', or any colorable imitation of such words or initials, in connection with any advertisement, circular, book, pamphlet or other publication, play, motion picture, broadcast, telecast, or other production, in a manner reasonably calculated to convey the impression that such advertisement, circular, book, pamphlet or other publication, play, motion picture, broadcast, telecast, or other production, is approved, endorsed, or authorized by the Federal Bureau of Investigation; or Whoever, except with written permission of the Director of the United States Secret Service, knowingly uses the words 'Secret Service', 'Secret Service Uniformed Division', the initials 'U.S.S.S.', 'U.D.', or any colorable imitation of such words or initials, in connection with, or as a part of any advertisement, circular, book, pamphlet or other publication, play, motion picture, broadcast, telecast, other production, product, or item, in a manner reasonably calculated to convey the impression that such advertisement, circular, book, pamphlet or other publication, product, or item, is approved, endorsed, or authorized by or associated in any manner with, the United States Secret Service, or the United States Secret Service Uniformed Division; or Whoever uses the words 'Overseas Private Investment', 'Overseas Private Investment Corporation', or 'OPIC', as part of the business or firm name of a person, corporation, partnership, business trust, association, or business entity; or Whoever uses as a firm or business name the words 'Reconstruction Finance Corporation' or any combination or variation of these words - Shall be punished as follows: a corporation, partnership, business trust, association, or other business entity, by a fine of not more than $1,000; an officer or member thereof participating or knowingly acquiescing in such violation or any individual violating this section, by a fine of not more than $1,000 or imprisonment for not more than one year, or both. This section shall not make unlawful the use of any name or title which was lawful on the date of enactment of this title. This section shall not make unlawful the use of the word 'national' as part of the name of any business or firm engaged in the insurance or indemnity business, whether such firm was engaged in the insurance or indemnity business prior or subsequent to the date of enactment of this paragraph. A violation of this section may be enjoined at the suit of the United States Attorney, upon complaint by any duly authorized representative of any department or agency of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 733; Sept. 21, 1950, ch. 967, Sec. 3(a), 64 Stat. 894; Oct. 31, 1951, ch. 655, Sec. 22, 65 Stat. 719; July 3, 1952, ch. 547, 66 Stat. 321; Aug. 2, 1954, ch. 649, title I, Sec. 131, 68 Stat. 609; Aug. 27, 1954, ch. 1008, 68 Stat. 867; May 25, 1967, Pub. L. 90-19, Sec. 24(b), 81 Stat. 27; Aug. 1, 1968, Pub. L. 90-448, title VIII, Sec. 807(i), 82 Stat. 545; Oct. 19, 1970, Pub. L. 91-468, Sec. 5, 84 Stat. 1016; Nov. 10, 1978, Pub. L. 95-630, title XVIII, Sec. 1804, 92 Stat. 3723; Dec. 23, 1985, Pub. L. 99-204, Sec. 16, 99 Stat. 1676; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7079(a), 102 Stat. 4406.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 264(v)(1), 583, 584, 585, 586, 587, 1128, 1318, 1441(d), 1731(d) of title 12, U.S.C., 1940 ed., Banks and Banking, section 616(d) of title 15, U.S.C., 1940 ed., Commerce and Trade, and section 1426 of title 42, U.S.C., 1940 ed., The Public Health and Welfare (R.S. Sec. 5243; Dec. 23, 1913, ch. 6, Sec. 12B(v), as added June 16, 1933, ch. 89, Sec. 8, 48 Stat. 178; July 17, 1916, ch. 245, Sec. 211h, as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1461; Mar. 4, 1923, ch. 252, title II, Sec. 216, 42 Stat. 1471; May 24, 1926, ch. 377, Sec. 1-4, 44 Stat. 628; Jan. 22, 1932, ch. 8, Sec. 16(d), 47 Stat. 12; July 22, 1932, ch. 522, Sec. 21, 47 Stat. 738; June 27, 1934, ch. 847, Sec. 512, 48 Stat. 1265; Aug. 23, 1935, ch. 614, Sec. 101, 203a, 318, 332, 49 Stat. 684, 704, 712, 719; Apr. 21, 1936, ch. 244, 49 Stat. 1237; Sept. 1, 1937, ch. 896, Sec. 26, 50 Stat. 899; Feb. 3, 1938, ch. 13, Sec. 9, 10, 52 Stat. 24, 25; June 28, 1941, ch. 261, Sec. 10, 55 Stat. 365). Numerous sections were consolidated with changes both of phraseology and substance necessary to effect consolidation. The proviso of section 585 of said title 12 was omitted, since the consolidated section obviously cannot be construed as forbidding Federal agencies, boards, and corporations from using their legal names. The right to continue the use of a name, lawful on the effective date of this section, is preserved. Last paragraph is based upon section 587 of said title 12. Words 'At the suit of' were substituted for 'at the instance of'. United States Attorneys are the chief law officers of the districts. United States v. Smith, 1895, 15 S. Ct. 846, 158 U.S. 346, 39 L. Ed. 1011; McKay v. Rogers, C. C. A. Okl. 1936, 82 F. 2d 795. Federal courts will not recognize suits on behalf of the United States unless the Government is represented by a United States Attorney. Confiscation cases, La. 1868, 7 Wall. 454, 19 L. Ed. 196. The words 'any duly authorized representative of any department or agency of the United States' were substituted for the enumeration of agencies which may make complaint thus making the provision more flexible and less cumbersome. This consolidated section reconciles the disparities and inconsistencies of 12 sections; thus providing a harmonious scheme for the punishment of similar offenses. The punishment provision was drawn from section 587 of title 12, U.S.C., 1940 ed., Banks and Banking, but is in substance and effect the same as in sections 264v(1), 1441(d) and 1731(d) of said title 12, but the civil penalty of $50 per day which was in sections 583, 1128, and 1318 of said title 12, was omitted as inconsistent with later acts dealing with similar offenses. Too often actions to recover civil penalties result in judgments which cannot be collected, and yet as long as they remain uncollected they clog the administration of justice. It was necessary to substitute a fine in place of a $50 per diem penalty for business entities embraced in sections 583, 1128, and 1318 of said title 12, and fine and imprisonment for individuals responsible for such violations. Similarly the penalty of $1,000 fine in section 1426 of title 42, The Public Health and Welfare, was changed to permit alternative fine or imprisonment for individuals responsible for violation. -REFTEXT- REFERENCES IN TEXT The Federal Credit Union Act, referred to in text, is act June 26, 1934, ch. 750, 48 Stat. 1216, as amended, which is classified generally to chapter 14 (Sec. 1751 et seq.) of Title 12, Banks and Banking. For complete classification of this Act to the Code, see section 1751 of Title 12 and Tables. Chapter 7 of Title 12, referred to in text, which contained the Federal Farm Loan Act (act July 17, 1916, ch. 245, 39 Stat. 360) as amended, was classified principally to section 641 et seq. of Title 12. The Federal Farm Loan Act, as amended, was repealed by section 5.26(a) of the Farm Credit Act of 1971, Pub. L. 92-181, Dec. 10, 1971, 85 Stat. 624. Section 5.26(a) of the Farm Credit Act of 1971 also provided that all references in other legislation to the Acts repealed thereby 'shall be deemed to refer to comparable provisions of this Act'. For further details, see notes under section 2001 of Title 12. For complete classification of the Federal Farm Loan Act to the Code prior to such repeal, see Tables. The date of enactment of this title, referred to in fifteenth par., means June 25, 1948. The date of enactment of this paragraph, referred to in penultimate par., means July 3, 1952. -MISC2- AMENDMENTS 1988 - Pub. L. 100-690 inserted provision prohibiting unauthorized use of words 'Secret Service' or 'Secret Service Uniformed Division', the initials 'U.S.S.S.' or 'U.D.', or other colorable imitation of such words or initials. 1985 - Pub. L. 99-204 extended prohibitions of this section to use of 'Overseas Private Investment', 'Overseas Private Investment Corporation' and 'OPIC'. 1978 - Pub. L. 95-630 in fourth par., inserted provisions expanding the scope of the prohibition to include anyone, other than a bona fide organization or association of Federal or State credit unions or except as permitted by the laws of the United States, who misuses a firm or business name or transacts business using 'National Credit Union', 'National Credit Union Administration', 'National Credit Union Board', 'National Credit Union Share Insurance Fund', 'Share Insurance', or 'Central Liquidity Facility', or 'NCUA', 'NCUSIF', or 'CLF', or any other combination or variation of those words or letters reasonably calculated to convey the false impression that such name or business has some connection with or authorization from the National Credit Union Administration, the Government of the United States, or any agency thereof or represents by any device whatsoever that his business, product, or service is in any way endorsed, authorized, or approved or that he is in any way insured by the National Credit Union Administration, the Government of the United States, or any agency thereof. 1970 - Pub. L. 91-468 extended prohibition of this section to include practices which would falsely represent that assets are insured by the Federal Credit Union Act. 1968 - Pub. L. 90-448, in ninth par., substituted 'Government National Mortgage Association' for 'Federal National Mortgage Association' wherever appearing. 1967 - Pub. L. 90-19 extended prohibition of ninth par. to misuse of names 'Department of Housing and Urban Development' and 'United States Housing Authority' and symbols 'HUD', 'PHA', and 'USHA'. 1954 - Act Aug. 27, 1954, brought the use of the name or initials of the Federal Bureau of Investigation within the ban of the section. Act Aug. 2, 1954, in ninth par., inserted references to the Housing and Home Finance Agency, the Federal National Mortgage Association, and FHA, and inserted provisions relating to false claims made with respect to repairs, alterations, or improvements. 1952 - Act July 3, 1952, permitted use of 'national' as a part of the name of an insurance or indemnity company in penultimate par. 1951 - Act Oct. 31, 1951, in ninth par., inserted 'Public Housing Administration' in lieu of 'United States Housing Authority', and inserted 'Public Housing Administration,' after 'Federal Housing Administration'. 1950 - Act Sept. 21, 1950, in third par., made subject to provisions of this section whoever advertises that his or its deposit liabilities, obligations, certificates, or shares are federally insured. EFFECTIVE DATE OF 1988 AMENDMENT Section 7079(b) of Pub. L. 100-690 provided that: 'This section (amending this section) shall take effect 90 days after the date of enactment of this Act (Nov. 18, 1988).' EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-630 effective Oct. 1, 1979, see section 1806 of Pub. L. 95-630, set out as an Effective Date note under section 1795 of Title 12, Banks and Banking. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-448 effective from and after a date, no more than 120 days following Aug. 1, 1968, as established by the Secretary of Housing and Urban Development, see section 808 of Pub. L. 90-448, set out as an Effective Date note under section 1716b of Title 12, Banks and Banking. EFFECTIVE DATE OF 1950 AMENDMENT Section 3(b) of act Sept. 21, 1950, provided that: 'The amendment made by subsection (a) of this section (amending this section) shall become effective on January 1, 1951.' -TRANS- TRANSFER OF FUNCTIONS Functions, powers, and duties of Housing and Home Finance Agency, Federal Housing Administration, and Public Housing Authority transferred to Secretary of Housing and Urban Development who was authorized to delegate such functions, powers, and duties to such officers and employees of Department of Housing and Urban Development as the Secretary may designate, see sections 3534 and 3535 of Title 42, The Public Health and Welfare. United States Housing Authority consolidated with other agencies into Housing and Home Finance Agency and name of Authority changed to Public Housing Administration by Reorg. Plan No. 3 of 1947, eff. July 27, 1947, 12 F.R. 4981, 61 Stat. 954, set out in the Appendix to Title 5, Government Organization and Employees. NATIONAL AGRICULTURAL CREDIT CORPORATION Title II of the Agricultural Credits Act, act Mar. 4, 1923, ch. 252, title II, Sec. 201-217, 42 Stat. 1461, which authorized the creation of national agricultural credit corporations, was repealed by Pub. L. 86-230, Sept. 8, 1959, Sec. 24, 73 Stat. 466. Prior to such repeal, act June 16, 1933, ch. 101, Sec. 77, 48 Stat. 292, had prohibited the creation, after June 16, 1933, of national agricultural credit corporations authorized to be formed under the Agricultural Credits Act. GOVERNMENT NATIONAL MORTGAGE ASSOCIATION For creation, succession, and principal office, see section 1717 of Title 12, Banks and Banking. ABOLITION OF RECONSTRUCTION FINANCE CORPORATION Section 6(a) of 1957 Reorg. Plan No. 1, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees, abolished the Reconstruction Finance Corporation. -CROSS- CROSS REFERENCES Secret Service powers, detection and arrest of violators, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 24042 Document 284 of 1438------ -CITE- 18 USC Sec. 710 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 710. Cremation urns for military use -STATUTE- Whoever knowingly uses, manufactures, or sells any cremation urn of a design approved by the Secretary of Defense for use to retain the cremated remains of deceased members of the armed forces or an urn which is a colorable imitation of the approved design, except when authorized under regulation made pursuant to law, shall be fined not more than $250 or imprisoned for not more than six months, or both. -SOURCE- (Added Sept. 28, 1950, ch. 1092, Sec. 1(b), 64 Stat. 1077.) ------DocID 24043 Document 285 of 1438------ -CITE- 18 USC Sec. 711 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 711. 'Smokey Bear' character or name -STATUTE- Whoever, except as authorized under rules and regulations issued by the Secretary of Agriculture after consultation with the Association of State Foresters and the Advertising Council, knowingly and for profit manufactures, reproduces, or uses the character 'Smokey Bear', originated by the Forest Service, United States Department of Agriculture, in cooperation with the Association of State Foresters and the Advertising Council for use in public information concerning the prevention of forest fires, or any facsimile thereof, or the name 'Smokey Bear' shall be fined not more than $250 or imprisoned not more than six months, or both. The Secretary of Agriculture may specially authorize the manufacture, reproduction, or use of the character 'Smokey Bear' for a period not to exceed one hundred and eighty days, expiring no later than one year after the enactment hereof, by any person who, because of plans or commitments made prior to the enactment of this Act, would suffer substantial loss if denied such authorization. -SOURCE- (Added May 23, 1952, ch. 327, Sec. 1, 66 Stat. 92, and amended June 22, 1974, Pub. L. 93-318, Sec. 5, 88 Stat. 245.) -REFTEXT- REFERENCES IN TEXT Words 'no later than one year after the enactment hereof' and 'prior to the enactment of this Act' referred to in text, refer to one year from May 23, 1952. -MISC2- AMENDMENTS 1974 - Pub. L. 93-318 inserted 'and for profit' after 'knowingly' and struck out 'as a trade name or in such manner as suggests the character 'Smokey Bear' ' after 'facsimile thereof, or the name 'Smokey Bear' '. DEPOSIT OF FEES; AVAILABILITY Deposit of fees collected under regulations governing 'Smokey Bear' and availability for use, see section 580p-2 of Title 16, Conservation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 16 sections 580p, 580p-3. ------DocID 24044 Document 286 of 1438------ -CITE- 18 USC Sec. 711a -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 711a. 'Woodsy Owl' character, name, or slogan -STATUTE- Whoever, except as authorized under rules and regulations issued by the Secretary, knowingly and for profit manufactures, reproduces, or uses the character 'Woodsy Owl', the name 'Woodsy Owl', or the associated slogan, 'Give a Hoot, Don't Pollute' shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (Added Pub. L. 93-318, Sec. 6, June 22, 1974, 88 Stat. 245.) -MISC1- DESCRIPTION OF 'WOODSY OWL' CHARACTER For description of character of 'Woodsy Owl' as referred to in this section, see section 580p of Title 16, Conservation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 16 sections 580p, 580p-3. ------DocID 24045 Document 287 of 1438------ -CITE- 18 USC Sec. 712 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 712. Misuse of names, words, emblems, or insignia -STATUTE- Whoever, in the course of collecting or aiding in the collection of private debts or obligations, or being engaged in furnishing private police, investigation, or other private detective services, uses or employs in any communication, correspondence, notice, advertisement, or circular the words 'national', 'Federal', or 'United States', the initials 'U.S.', or any emblem, insignia, or name, for the purpose of conveying and in a manner reasonably calculated to convey the false impression that such communication is from a department, agency, bureau, or instrumentality of the United States or in any manner represents the United States, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 86-291, Sec. 1, Sept. 21, 1959, 73 Stat. 570, and amended Pub. L. 93-147, Sec. 1(a), Nov. 3, 1973, 87 Stat. 554.) -MISC1- AMENDMENTS 1973 - Pub. L. 93-147 substituted 'Misuse of names, words, emblems, or insignia' for 'Misuse of names by collecting agencies or private detective agencies to indicate Federal agency' in section catchline and substituted 'in the course' and 'such communication is from a department' for 'being engaged in the business' and 'such business is a department' respectively, and struck out 'as part of the firm name of such business,' after 'detective services, uses'. EFFECTIVE DATE Section 2 of Pub. L. 86-291 provided that: 'The provisions of this section (enacting this section) shall become effective sixty days from the enactment thereof (Sept. 21, 1959).' ------DocID 24046 Document 288 of 1438------ -CITE- 18 USC Sec. 713 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 713. Use of likenesses of the great seal of the United States, and of the seals of the President and Vice President -STATUTE- (a) Whoever knowingly displays any printed or other likeness of the great seal of the United States, or of the seals of the President or the Vice President of the United States, or any facsimile thereof, in, or in connection with, any advertisement, poster, circular, book, pamphlet, or other publication, public meeting, play, motion picture, telecast, or other production, or on any building, monument, or stationery, for the purpose of conveying, or in a manner reasonably calculated to convey, a false impression of sponsorship or approval by the Government of the United States or by any department, agency, or instrumentality thereof, shall be fined not more than $250 or imprisoned not more than six months, or both. (b) Whoever, except as authorized under regulations promulgated by the President and published in the Federal Register, knowingly manufactures, reproduces, sells, or purchases for resale, either separately or appended to any article manufactured or sold, any likeness of the seals of the President or Vice President, or any substantial part thereof, except for manufacture or sale of the article for the official use of the Government of the United States, shall be fined not more than $250 or imprisoned not more than six months, or both. (c) A violation of subsection (a) or (b) of this section may be enjoined at the suit of the Attorney General upon complaint by any authorized representative of any department or agency of the United States. -SOURCE- (Added Pub. L. 89-807, Sec. 1(a), Nov. 11, 1966, 80 Stat. 1525, and amended Pub. L. 91-651, Sec. 1, Jan. 5, 1971, 84 Stat. 1940.) -MISC1- AMENDMENTS 1971 - Pub. L. 91-651 substituted 'Use of likenesses of the great seal of the United States, and of the seals of the President and Vice President' for 'Use of the great seal of the United States' in section catchline. Subsec. (a). Pub. L. 91-651 redesignated existing provisions as subsec. (a), expanded prohibition to include likenesses of the seals of the President and Vice President, and added to the enumerated list of prohibited uses for likenesses of the great seal of the United States and for the seals of the President and Vice President, use in posters, public meetings, or on any building, monument, or stationery. Subsecs. (b), (c). Pub. L. 91-651 added subsecs. (b) and (c). EFFECTIVE DATE OF 1971 AMENDMENT Section 3 of Pub. L. 91-651 provided that: The amendments made by this Act (amending this section) shall not make unlawful any preexisting use of the design of the great seal of the United States or of the seals of the President or Vice President of the United States that was lawful on the date of enactment of this Act (Jan. 5, 1971), until one year after the date of such enactment.' -EXEC- EX. ORD. NO. 11649. REGULATIONS GOVERNING SEALS OF PRESIDENT AND VICE PRESIDENT OF UNITED STATES Ex. Ord. No. 11649, Feb. 16, 1972, 37 F.R. 3625, as amended by Ex. Ord. No. 11916, May 28, 1976, 41 F.R. 22031, provided: By virtue to the authority vested in me by section 713(b) of title 18, United States Code, I hereby prescribe the following regulations governing the use of the Seals of the President and the Vice President of the United States: Section 1. Except as otherwise provided by law, the knowing manufacture, reproduction, sale, or purchase for resale of the Seals or Coats of Arms of the President or the Vice President of the United States, or any likeness or substantial part thereof, shall be permitted only for the following uses: (a) Use by the President or Vice President of the United States; (b) Use in encyclopedias, dictionaries, books, journals, pamphlets, periodicals, or magazines incident to a description or history of seals, coats of arms, heraldry, or the Presidency or Vice Presidency; (c) Use in libraries, museums, or educational facilities incident to descriptions or exhibits relating to seals, coats of arms, heraldry, or the Presidency or Vice Presidency; (d) Use as an architectural embellishment in libraries, museums, or archives established to house the papers or effects of former Presidents or Vice Presidents; (e) Use on a monument to a former President or Vice President; (f) Use by way of photographic or electronic visual reproduction in pictures, moving pictures, or telecasts of bona fide news content; (g) Such other uses for exceptional historical, educational, or newsworthy purposes as may be authorized in writing by the Counsel to the President. Sec. 2. The manufacture, reproduction, sale, or purchase for resale, either separately or appended to any article manufactured or sold, of the Seals of the President or Vice President, or any likeness or substantial part thereof, except as provided in this Order or as otherwise provided by law, is prohibited. Richard Nixon. ------DocID 24047 Document 289 of 1438------ -CITE- 18 USC Sec. 714 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- (Sec. 714. Repealed. Pub. L. 97-258, Sec. 2(d)(1)(B), Sept. 13, 1982, 96 Stat. 1058) -MISC1- Section, added Pub. L. 91-419, Sec. 3, Sept. 25, 1970, 84 Stat. 870, defined 'Johnny Horizon' for purposes of Pub. L. 91-419. ------DocID 24048 Document 290 of 1438------ -CITE- 18 USC Sec. 715 -EXPCITE- TITLE 18 PART I CHAPTER 33 -HEAD- Sec. 715. 'The Golden Eagle Insignia' -STATUTE- As used in this section, 'The Golden Eagle Insignia' means the words 'The Golden Eagle' and the representation of an American Golden Eagle (colored gold) and a family group (colored midnight blue) enclosed within a circle (colored white with a midnight blue border) framed by a rounded triangle (colored gold with a midnight blue border) which was originated by the Department of the Interior as the official symbol for Federal recreation fee areas. Whoever, except as authorized under rules and regulations issued by the Secretary of the Interior, knowingly manufactures, reproduces, or uses 'The Golden Eagle Insignia', or any facsimile thereof, in such a manner as is likely to cause confusion, or to cause mistake, or to deceive, shall be fined not more than $250 or imprisoned not more than six months, or both. The use of any such emblem, sign, insignia, or words which was lawful on the date of enactment of this Act shall not be a violation of this section. A violation of this section may be enjoined at the suit of the Attorney General, upon complaint by the Secretary of the Interior. -SOURCE- (Added Pub. L. 92-347, Sec. 3(b), July 11, 1972, 86 Stat. 461.) -REFTEXT- REFERENCES IN TEXT The date of enactment of this Act, referred to in text, means the date of enactment of Pub. L. 92-347, which was approved July 11, 1972. ------DocID 24049 Document 291 of 1438------ -CITE- 18 USC CHAPTER 35 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- CHAPTER 35 - ESCAPE AND RESCUE -MISC1- Sec. 751. Prisoners in custody of institution or officer. 752. Instigating or assisting escape. 753. Rescue to prevent execution. 754. Rescue of body of executed offender. 755. Officer permitting escape. 756. Internee of belligerent nation. 757. Prisoners of war or enemy aliens. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 4082 of this title. ------DocID 24050 Document 292 of 1438------ -CITE- 18 USC Sec. 751 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 751. Prisoners in custody of institution or officer -STATUTE- (a) Whoever escapes or attempts to escape from the custody of the Attorney General or his authorized representative, or from any institution or facility in which he is confined by direction of the Attorney General, or from any custody under or by virtue of any process issued under the laws of the United States by any court, judge, or commissioner, or from the custody of an officer or employee of the United States pursuant to lawful arrest, shall, if the custody or confinement is by virtue of an arrest on a charge of felony, or conviction of any offense, be fined not more than $5,000 or imprisoned not more than five years, or both; or if the custody or confinement is for extradition, or for exclusion or expulsion proceedings under the immigration laws, or by virtue of an arrest or charge of or for a misdemeanor, and prior to conviction, be fined not more than $1,000 or imprisoned not more than one year, or both. (b) Whoever escapes or attempts to escape from the custody of the Attorney General or his authorized representative, or from any institution or facility in which he is confined by direction of the Attorney General, or from any custody under or by virtue of any process issued under the laws of the United States by any court, judge, or commissioner, or from the custody of an officer or employee of the United States pursuant to lawful arrest, shall, if the custody or confinement is by virtue of a lawful arrest for a violation of any law of the United States not punishable by death or life imprisonment and committed before such person's eighteenth birthday, and as to whom the Attorney General has not specifically directed the institution of criminal proceedings, or by virtue of a commitment as a juvenile delinquent under section 5034 of this title, be fined not more than $1,000 or imprisoned not more than one year, or both. Nothing herein contained shall be construed to affect the discretionary authority vested in the Attorney General pursuant to section 5032 of this title. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 734; Dec. 30, 1963, Pub. L. 88-251, Sec. 1, 77 Stat. 834; Sept. 10, 1965, Pub. L. 89-176, Sec. 3, 79 Stat. 675; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7055, 102 Stat. 4402.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753h, 909 (May 14, 1930, ch. 274, Sec. 9, 46 Stat. 327; May 27, 1930, ch. 339, Sec. 9, 46 Stat. 390; Aug. 3, 1935, ch. 432, 49 Stat. 513). Sections 753h and 909 of title 18, U.S.C., 1940 ed., were consolidated. Section 753h is later and more comprehensive. The substance of its provisions was adopted. References to offenses as felonies or misdemeanors were omitted in view of definitive section 1 of this title. (See also reviser's notes under section 550 of this title.) Mandatory provision as to separate sentences and order of service was omitted in order to permit court to exercise discretion as to whether sentences should be concurrent or consecutive and to obviate administration problems in enforcement of section. Words 'or employee' were inserted to remove ambiguity as to scope of section. Reference to 'custody or confinement is for extradition' was inserted to avoid possible ambiguity. Changes were made in phraseology and arrangement. AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 inserted ', or for exclusion or expulsion proceedings under the immigration laws,' after 'extradition'. 1965 - Pub. L. 89-176 inserted 'or facility' after 'institution'. 1963 - Pub. L. 88-251 designated existing provisions as subsec. (a) and added subsec. (b). -CHANGE- CHANGE OF NAME United States commissioners, referred to in text, were replaced by United States magistrates pursuant to Pub. L. 90-578, title IV, Sec. 402(b)(2), Oct. 17, 1968, 82 Stat. 1118. See chapter 43 (Sec. 631 et seq.) of Title 28, Judiciary and Judicial Procedure. Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28 -CROSS- CROSS REFERENCES Arrests by Bureau of Prisons employees, see section 3050 of this title. Bureau of Prisons employees, power to arrest without warrant for violations of this section, see section 3050 of this title. Civil commitment and rehabilitation of narcotic addicts, penalties for escape or rescue from custody, see section 2902 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 3050 of this title; title 28 section 2902; title 42 section 3425. ------DocID 24051 Document 293 of 1438------ -CITE- 18 USC Sec. 752 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 752. Instigating or assisting escape -STATUTE- (a) Whoever rescues or attempts to rescue or instigates, aids or assists the escape, or attempt to escape, of any person arrested upon a warrant or other process issued under any law of the United States, or committed to the custody of the Attorney General or to any institution or facility by his direction, shall, if the custody or confinement is by virtue of an arrest on a charge of felony, or conviction of any offense, be fined not more than $5,000 or imprisoned not more than five years, or both; or, if the custody or confinement is for extradition, or for exclusion or expulsion proceedings under the immigration laws, or by virtue of an arrest or charge of or for a misdemeanor, and prior to conviction, be fined not more than $1,000 or imprisoned not more than one year, or both. (b) Whoever rescues or attempts to rescue or instigates, aids, or assists the escape or attempted escape of any person in the custody of the Attorney General or his authorized representative, or of any person arrested upon a warrant or other process issued under any law of the United States or from any institution or facility in which he is confined by direction of the Attorney General, shall, if the custody or confinement is by virtue of a lawful arrest for a violation of any law of the United States not punishable by death or life imprisonment and committed before such person's eighteenth birthday, and as to whom the Attorney General has not specifically directed the institution of criminal proceedings, or by virtue of a commitment as a juvenile delinquent under section 5034 of this title, be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 735; May 28, 1956, ch. 331, 70 Stat. 216; Dec. 30, 1963, Pub. L. 88-251, Sec. 2, 77 Stat. 834; Sept. 10, 1965, Pub. L. 89-176, Sec. 3, 79 Stat. 675; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7055, 102 Stat. 4402.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 246, 247, 252, 661, 662c, 753i, 910 (R.S. Sec. 5277; Mar. 4, 1909, ch. 321, Sec. 141, 143, 35 Stat. 1114; May 14, 1930, ch. 274, Sec. 10, 46 Stat. 327; May 27, 1930, ch. 339, Sec. 10, 46 Stat. 390; Mar. 22, 1934, ch. 73, Sec. 2, 48 Stat. 455; May 18, 1934, ch. 303, Sec. 1, 48 Stat. 782). Section consolidated escape and rescue provisions of sections 246, 247, 252, 661, 662c, 753i, and 910 of title 18, U.S.C., 1940 ed. Remaining provisions of those sections are in sections 1071, 1072, 1502, 1792, 3183, and 3195 of this title. No two sections provided the same punishment. Every section except said section 252 made the offense a misdemeanor by providing for fines varying from $500 to $1,000 and terms of imprisonment varying from 6 months to 1 year. Said section 252, representing the latest expression by Congress, provided for 10 years' imprisonment. The punishment provision was adopted from section 751 of this title, which makes it unlawful for a prisoner to escape from his place of confinement. Thus the same punishment would apply to the person aiding in an escape as to the person escaping. The language of this section reconciles the conflict by adopting a penalty which is a compromise between the varying provisions. Reference to 'extradition' was inserted to avoid ambiguity and to harmonize section with section 751 of this title. References to 'force' were omitted as well as those to 'officer' or 'custody.' See definition of 'Rescue,' Black's Law Dictionary, citing 4 Bl. Comm. 131. Changes were made in phraseology. AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 inserted ', or for exclusion or expulsion proceedings under the immigration laws,' after 'extradition'. 1965 - Pub. L. 89-176 inserted 'or facility' after 'institution'. 1963 - Pub. L. 88-251 designated existing provisions as subsec. (a) and added subsec. (b). 1956 - Act May 28, 1956, inserted ', or attempt to escape,' after 'escape'. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Arrests by Bureau of Prisons employees, see section 3050 of this title. Civil commitment and rehabilitation of narcotic addicts, penalties for escape or rescue from custody, see section 2902 of Title 28, Judiciary and Judicial Procedure. Concealing or harboring an escaped prisoner, see section 1072 of this title. Introducing dangerous instrumentalities into prisons, see section 1792 of this title. Rescue of goods, see section 2233 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 3050 of this title; title 28 section 2902; title 42 section 3425. ------DocID 24052 Document 294 of 1438------ -CITE- 18 USC Sec. 753 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 753. Rescue to prevent execution -STATUTE- Whoever, by force, sets at liberty or rescues any person found guilty in any court of the United States of any capital crime, while going to execution or during execution, shall be fined not more than $25,000 or imprisoned not more than twenty-five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 735.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 248 (Mar. 4, 1909, ch. 321, Sec. 142, 35 Stat. 1114). Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. ------DocID 24053 Document 295 of 1438------ -CITE- 18 USC Sec. 754 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 754. Rescue of body of executed offender -STATUTE- Whoever, by force, rescues or attempts to rescue, from the custody of any marshal or his officers, the dead body of an executed offender, while it is being conveyed to a place of dissection, as provided by section 3567 of this title, or by force rescues or attempts to rescue such body from the place where it has been deposited for dissection in pursuance of said section 3567, shall be fined not more than $100 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 735.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 249 (Mar. 4, 1909, ch. 321, Sec. 144, 35 Stat. 1114). Minor changes were made in phraseology. ------DocID 24054 Document 296 of 1438------ -CITE- 18 USC Sec. 755 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 755. Officer permitting escape -STATUTE- Whoever, having in his custody any prisoner by virtue of process issued under the laws of the United States by any court, judge, or commissioner, voluntarily suffers such prisoner to escape, shall be fined not more than $2,000 or imprisoned not more than two years, or both; or if he negligently suffers such person to escape, he shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 735.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 244, 662e, 665 (Feb. 6, 1905, ch. 454, Sec. 2, 33 Stat. 698; Mar. 4, 1909, ch. 321, Sec. 138, 139, 35 Stat. 1113; Mar. 22, 1934, ch. 73, Sec. 4, 48 Stat. 456). Sections 244, 662e and 665 of title 18, U.S.C., 1940 ed., were consolidated. The two latter sections merely extended application of the former. This section has been greatly condensed by changes in phraseology which do not affect the substance. Enumeration of 'marshal, deputy marshal, ministerial officer, or other person,' was omitted as surplusage. Provision making section applicable to cases of prisoners in custody pending extradition or removal proceedings as well as prisoners convicted of offenses against the United States was likewise omitted as unnecessary. Changes in phraseology were made. SENATE REVISION AMENDMENT The text of this section was changed by Senate amendment in view of the act of June 21, 1947, ch. 111, 61 Stat. 134, which, by amending section 244 of Title 18, U.S.C., became an additional source of this section. The amendment constitutes the last clause of this section. See Senate Report No. 1620, amendment No. 8, 80th Cong. -CHANGE- CHANGE OF NAME United States commissioners, referred to in text, were replaced by United States magistrates pursuant to Pub. L. 90-578, title IV, Sec. 402(b)(2), Oct. 17, 1968, 82 Stat. 1118. See chapter 43 (Sec. 631 et seq.) of Title 28, Judiciary and Judicial Procedure. Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28 -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24055 Document 297 of 1438------ -CITE- 18 USC Sec. 756 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 756. Internee of belligerent nation -STATUTE- Whoever, within the jurisdiction of the United States, aids or entices any person belonging to the armed forces of a belligerent nation or faction who is interned in the United States in accordance with the law of nations, to escape or attempt to escape from the jurisdiction of the United States or from the limits of internment prescribed, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 735.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 37 (June 15, 1917, ch. 30, title V, Sec. 7, 40 Stat. 223). Section was divided. Remaining provisions relating to arrest appear in section 3058 of this title. Minor changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 section 465. ------DocID 24056 Document 298 of 1438------ -CITE- 18 USC Sec. 757 -EXPCITE- TITLE 18 PART I CHAPTER 35 -HEAD- Sec. 757. Prisoners of war or enemy aliens -STATUTE- Whoever procures the escape of any prisoner of war held by the United States or any of its allies, or the escape of any person apprehended or interned as an enemy alien by the United States or any of its allies, or advises, connives at, aids, or assists in such escape, or aids, relieves, transports, harbors, conceals, shelters, protects, holds correspondence with, gives intelligence to, or otherwise assists any such prisoner of war or enemy alien, after his escape from custody, knowing him to be such prisoner of war or enemy alien, or attempts to commit or conspires to commit any of the above acts, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. The provisions of this section shall be in addition to and not in substitution for any other provision of law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 735.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 97b (Apr. 30, 1945, ch. 103, 59 Stat. 101). The second sentence of section 97b of title 18, U.S.C., 1940 ed., was made a separate paragraph. ------DocID 24057 Document 299 of 1438------ -CITE- 18 USC CHAPTER 37 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- CHAPTER 37 - ESPIONAGE AND CENSORSHIP -MISC1- Sec. (791. Repealed.) 792. Harboring or concealing persons. 793. Gathering, transmitting or losing defense information. 794. Gathering or delivering defense information to aid foreign government. 795. Photographing and sketching defense installations. 796. Use of aircraft for photographing defense installations. 797. Publication and sale of photographs of defense installations. 798. Disclosure of classified information. 798A. Temporary extension of section 794. 799. Violation of regulations of National Aeronautics and Space Administration. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3519(b), Nov. 29, 1990, 104 Stat. 4923, redesignated item 798, 'Temporary extension of section 794', as 798A. 1961 - Pub. L. 87-369, Sec. 2, Oct. 4, 1961, 75 Stat. 795, struck out item 791 'Scope of chapter'. 1958 - Pub. L. 85-568, title III, Sec. 304(c)(2), July 29, 1958, 72 Stat. 434, added item 799. 1953 - Act June 30, 1953, ch. 175, Sec. 3, 67 Stat. 133, added second item 798. 1951 - Act Oct. 31, 1951, ch. 655, Sec. 23, 65 Stat. 719, added item 798. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this chapter, see section 2516 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title; title 5 section 8312; title 8 section 1251; title 42 section 402; title 50 section 1702; title 50 App. section 5. ------DocID 24058 Document 300 of 1438------ -CITE- 18 USC Sec. 791 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- (Sec. 791. Repealed. Pub. L. 87-369, Sec. 1, Oct. 4, 1961, 75 Stat. 795) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 736, related to application of this chapter within the admiralty and maritime jurisdiction of the United States, on the high seas, and within the United States. ------DocID 24059 Document 301 of 1438------ -CITE- 18 USC Sec. 792 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 792. Harboring or concealing persons -STATUTE- Whoever harbors or conceals any person who he knows, or has reasonable grounds to believe or suspect, has committed, or is about to commit, an offense under sections 793 or 794 of this title, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 736.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 35 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title I, Sec. 5, 40 Stat. 219; Mar. 28, 1940, ch. 72, Sec. 2, 54 Stat. 79). Similar harboring and concealing language was added to section 2388 of this title. Mandatory punishment provision was rephrased in the alternative. INDICTMENT FOR VIOLATING THIS SECTION AND SECTIONS 793, 794; LIMITATION PERIOD Act Sept. 23, 1950, ch. 1024, Sec. 19, 64 Stat. 1005, provided that an indictment for any violation of this section and sections 793 and 794 of this title, other than a violation constituting a capital offense, may be found at any time within ten years next after such violation shall have been committed, but that such section 19 shall not authorize prosecution, trial, or punishment for any offense 'now' barred by the provisions of existing law. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses described under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Harboring and concealing, generally, see section 1071 et seq. of this title. Jurisdiction of offenses, see section 3241 of this title. Misprision of felony, see section 4 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951 of this title; title 5 section 8312; title 38 section 3505; title 42 section 2000aa; title 50 App. sections 19, 34. ------DocID 24060 Document 302 of 1438------ -CITE- 18 USC Sec. 793 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 793. Gathering, transmitting or losing defense information -STATUTE- (a) Whoever, for the purpose of obtaining information respecting the national defense with intent or reason to believe that the information is to be used to the injury of the United States, or to the advantage of any foreign nation, goes upon, enters, flies over, or otherwise obtains information concerning any vessel, aircraft, work of defense, navy yard, naval station, submarine base, fueling station, fort, battery, torpedo station, dockyard, canal, railroad, arsenal, camp, factory, mine, telegraph, telephone, wireless, or signal station, building, office, research laboratory or station or other place connected with the national defense owned or constructed, or in progress of construction by the United States or under the control of the United States, or of any of its officers, departments, or agencies, or within the exclusive jurisdiction of the United States, or any place in which any vessel, aircraft, arms, munitions, or other materials or instruments for use in time of war are being made, prepared, repaired, stored, or are the subject of research or development, under any contract or agreement with the United States, or any department or agency thereof, or with any person on behalf of the United States, or otherwise on behalf of the United States, or any prohibited place so designated by the President by proclamation in time of war or in case of national emergency in which anything for the use of the Army, Navy, or Air Force is being prepared or constructed or stored, information as to which prohibited place the President has determined would be prejudicial to the national defense; or (b) Whoever, for the purpose aforesaid, and with like intent or reason to believe, copies, takes, makes, or obtains, or attempts to copy, take, make, or obtain, any sketch, photograph, photographic negative, blueprint, plan, map, model, instrument, appliance, document, writing, or note of anything connected with the national defense; or (c) Whoever, for the purpose aforesaid, receives or obtains or agrees or attempts to receive or obtain from any person, or from any source whatever, any document, writing, code book, signal book, sketch, photograph, photographic negative, blueprint, plan, map, model, instrument, appliance, or note, of anything connected with the national defense, knowing or having reason to believe, at the time he receives or obtains, or agrees or attempts to receive or obtain it, that it has been or will be obtained, taken, made, or disposed of by any person contrary to the provisions of this chapter; or (d) Whoever, lawfully having possession of, access to, control over, or being entrusted with any document, writing, code book, signal book, sketch, photograph, photographic negative, blueprint, plan, map, model, instrument, appliance, or note relating to the national defense, or information relating to the national defense which information the possessor has reason to believe could be used to the injury of the United States or to the advantage of any foreign nation, willfully communicates, delivers, transmits or causes to be communicated, delivered, or transmitted or attempts to communicate, deliver, transmit or cause to be communicated, delivered or transmitted the same to any person not entitled to receive it, or willfully retains the same and fails to deliver it on demand to the officer or employee of the United States entitled to receive it; or (e) Whoever having unauthorized possession of, access to, or control over any document, writing, code book, signal book, sketch, photograph, photographic negative, blueprint, plan, map, model, instrument, appliance, or note relating to the national defense, or information relating to the national defense which information the possessor has reason to believe could be used to the injury of the United States or to the advantage of any foreign nation, willfully communicates, delivers, transmits or causes to be communicated, delivered, or transmitted, or attempts to communicate, deliver, transmit or cause to be communicated, delivered, or transmitted the same to any person not entitled to receive it, or willfully retains the same and fails to deliver it to the officer or employee of the United States entitled to receive it; or (f) Whoever, being entrusted with or having lawful possession or control of any document, writing, code book, signal book, sketch, photograph, photographic negative, blueprint, plan, map, model, instrument, appliance, note, or information, relating to the national defense, (1) through gross negligence permits the same to be removed from its proper place of custody or delivered to anyone in violation of his trust, or to be lost, stolen, abstracted, or destroyed, or (2) having knowledge that the same has been illegally removed from its proper place of custody or delivered to anyone in violation of its trust, or lost, or stolen, abstracted, or destroyed, and fails to make prompt report of such loss, theft, abstraction, or destruction to his superior officer - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (g) If two or more persons conspire to violate any of the foregoing provisions of this section, and one or more of such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be subject to the punishment provided for the offense which is the object of such conspiracy. (h)(1) Any person convicted of a violation of this section shall forfeit to the United States, irrespective of any provision of State law, any property constituting, or derived from, any proceeds the person obtained, directly or indirectly, from any foreign government, or any faction or party or military or naval force within a foreign country, whether recognized or unrecognized by the United States, as the result of such violation. (2) The court, in imposing sentence on a defendant for a conviction of a violation of this section, shall order that the defendant forfeit to the United States all property described in paragraph (1) of this subsection. (3) The provisions of subsections (b), (c), and (e) through (o) of section 413 of the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 853(b), (c), and (e)-(o)) shall apply to - (A) property subject to forfeiture under this subsection; (B) any seizure or disposition of such property; and (C) any administrative or judicial proceeding in relation to such property, if not inconsistent with this subsection. (4) Notwithstanding section 524(c) of title 28, there shall be deposited in the Crime Victims Fund in the Treasury all amounts from the forfeiture of property under this subsection remaining after the payment of expenses for forfeiture and sale authorized by law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 736; Sept. 23, 1950, ch. 1024, title I, Sec. 18, 64 Stat. 1003; Aug. 27, 1986, Pub. L. 99-399, title XIII, Sec. 1306(a), 100 Stat. 898.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 31 and 36 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title I, Sec. 1, 6, 40 Stat. 217, 219; Mar. 28, 1940, ch. 72, Sec. 1, 54 Stat. 79). Section consolidated sections 31 and 36 of title 50, U.S.C., 1940 ed., War and National Defense. Words 'departments or agencies' were inserted twice in conformity with definitive section 6 of this title to eliminate any possible ambiguity as to scope of section. The words 'or induces or aids another' were omitted wherever occurring as unnecessary in view of definition of 'principal' in section 2 of this title. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. AMENDMENTS 1986 - Subsec. (h). Pub. L. 99-399 added subsec. (h). 1950 - Act Sept. 23, 1950, divided section into subdivisions, inserted laboratories and stations, and places where material or instruments for use in time of war are the subject of research or development to the list of facilities and places to which subsection (a) applies, made subsection (d) applicable only in cases in which possession, access, or control is lawful, added subsection (e) to take care of cases in which possession, access, or control, is unlawful, made subsection (f) applicable to instruments and appliances, as well as to documents, records, etc., and provided by subsection (g) a separate penalty for conspiracy to violate any provisions of this section. INDICTMENT FOR VIOLATING THIS SECTION; LIMITATION PERIOD Limitation period in connection with indictments for violating this section, see note set out under section 792 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Activities affecting armed forces - Generally, see section 2387 of this title. During war, see section 2388 of this title. Classified information, disclosure by Government official, or other person, penalty for, see section 783 of Title 50, War and National Defense, and section 798 of this title. Federal retirement benefits, forfeiture upon conviction of offenses described under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. Veterans' benefits, forfeiture upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 792, 951, 1717, 1956 of this title; title 5 section 8312; title 22 section 2778; title 38 section 3505; title 42 section 2000aa; title 50 App. sections 19, 34, 2410. ------DocID 24061 Document 303 of 1438------ -CITE- 18 USC Sec. 794 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 794. Gathering or delivering defense information to aid foreign government -STATUTE- (a) Whoever, with intent or reason to believe that it is to be used to the injury of the United States or to the advantage of a foreign nation, communicates, delivers, or transmits, or attempts to communicate, deliver, or transmit, to any foreign government, or to any faction or party or military or naval force within a foreign country, whether recognized or unrecognized by the United States, or to any representative, officer, agent, employee, subject, or citizen thereof, either directly or indirectly, any document, writing, code book, signal book, sketch, photograph, photographic negative, blueprint, plan, map, model, note, instrument, appliance, or information relating to the national defense, shall be punished by death or by imprisonment for any term of years or for life. (b) Whoever, in time of war, with intent that the same shall be communicated to the enemy, collects, records, publishes, or communicates, or attempts to elicit any information with respect to the movement, numbers, description, condition, or disposition of any of the Armed Forces, ships, aircraft, or war materials of the United States, or with respect to the plans or conduct, or supposed plans or conduct of any naval or military operations, or with respect to any works or measures undertaken for or connected with, or intended for the fortification or defense of any place, or any other information relating to the public defense, which might be useful to the enemy, shall be punished by death or by imprisonment for any term of years or for life. (c) If two or more persons conspire to violate this section, and one or more of such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be subject to the punishment provided for the offense which is the object of such conspiracy. (d)(1) Any person convicted of a violation of this section shall forfeit to the United States irrespective of any provision of State law - (A) any property constituting, or derived from, any proceeds the person obtained, directly or indirectly, as the result of such violation, and (B) any of the person's property used, or intended to be used, in any manner or part, to commit, or to facilitate the commission of, such violation. (2) The court, in imposing sentence on a defendant for a conviction of a violation of this section, shall order that the defendant forfeit to the United States all property described in paragraph (1) of this subsection. (3) The provisions of subsections (b), (c) and (e) through (o) of section 413 of the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 853(b), (c), and (e)-(o)) shall apply to - (A) property subject to forfeiture under this subsection; (B) any seizure or disposition of such property; and (C) any administrative or judicial proceeding in relation to such property, if not inconsistent with this subsection. (4) Notwithstanding section 524(c) of title 28, there shall be deposited in the Crime Victims Fund in the Treasury all amounts from the forfeiture of property under this subsection remaining after the payment of expenses for forfeiture and sale authorized by law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 737; Sept. 3, 1954, ch. 1261, title II, Sec. 201, 68 Stat. 1219; Aug. 27, 1986, Pub. L. 99-399, title XIII, Sec. 1306(b), 100 Stat. 898; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7064, 102 Stat. 4404.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 32 and 34 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title I, Sec. 2, 4, 40 Stat. 218, 219). Section consolidates sections 32 and 34 of title 50, U.S.C., 1940 ed., War and National Defense. The words 'or induces or aids another' were omitted as unnecessary in view of definition of 'principal' in section 2 of this title. The conspiracy provision of said section 34 was also incorporated in section 2388 of this title. Minor changes were made in phraseology. AMENDMENTS 1988 - Subsec. (d)(4). Pub. L. 100-690 substituted 'amounts' for 'amount'. 1986 - Subsec. (d). Pub. L. 99-399 added subsec. (d). 1954 - Act Sept. 3, 1954, increased the penalty for peacetime espionage and corrected a deficiency on the sentencing authority by increasing penalty to death or imprisonment for any term of years. TEMPORARY EXTENSION OF SECTION Temporary extension of section, see section 798 of this title. Section 7 of act June 30, 1953, ch. 175, 67 Stat. 133, repealed Joint Res. July 3, 1952, ch. 570, Sec. 1(a)(29), 66 Stat. 333; Joint Res. Mar. 31, 1953, ch. 13, Sec. 1, 67 Stat. 18, which had provided that this section should continue in force until six months after the termination of the National emergency proclaimed by 1950 Proc. No. 2914 which is set out as a note preceding section 1 of Appendix to Title 50, War and National Defense. Section 6 of Joint Res. July 3, 1952, repealed Joint Res. Apr. 14, 1952, ch. 204, 66 Stat. 54, as amended by Joint Res. May 28, 1952, ch. 339, 66 Stat. 96. Intermediate extensions by Joint Res. June 14, 1952, ch. 437, 66 Stat. 137, and Joint Res. June 30, 1952, ch. 526, 66 Stat. 296, which continued provisions until July 3, 1952, expired by their own terms. INDICTMENT FOR VIOLATING THIS SECTION; LIMITATION PERIOD Limitation period in connection with indictments for violating this section, see note set out under section 792 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Classified information, disclosure by Government official or other person, penalty for, see section 783 of Title 50, War and National Defense, and section 798 of this title. Conspiracy to commit offense generally, see section 371 of this title. Federal retirement benefits, forfeiture upon conviction of offenses described under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 792, 798A, 951, 1717, 1956, 3681 of this title; title 5 section 8312; title 22 section 2778; title 38 section 3505; title 42 section 2000aa; title 50 App. sections 19, 34, 2410. ------DocID 24062 Document 304 of 1438------ -CITE- 18 USC Sec. 795 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 795. Photographing and sketching defense installations -STATUTE- (a) Whenever, in the interests of national defense, the President defines certain vital military and naval installations or equipment as requiring protection against the general dissemination of information relative thereto, it shall be unlawful to make any photograph, sketch, picture, drawing, map, or graphical representation of such vital military and naval installations or equipment without first obtaining permission of the commanding officer of the military or naval post, camp, or station, or naval vessels, military and naval aircraft, and any separate military or naval command concerned, or higher authority, and promptly submitting the product obtained to such commanding officer or higher authority for censorship or such other action as he may deem necessary. (b) Whoever violates this section shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 737.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 45 and 45c of title 50, U.S.C., 1940 ed., War and National Defense (Jan. 12, 1938, ch. 2, Sec. 1, 4, 52 Stat. 3, 4). Section consolidated sections 45 and 45c of title 50, U.S.C., 1940 ed., War and National Defense. Minor changes were made in phraseology. -EXEC- EX. ORD. NO. 10104. DEFINITIONS OF VITAL MILITARY AND NAVAL INSTALLATIONS AND EQUIPMENT Ex. Ord. No. 10104, Feb. 1, 1950, 15 F.R. 597, provided: Now, therefore, by virtue of the authority vested in me by the foregoing statutory provisions, and in the interests of national defense, I hereby define the following as vital military and naval installations or equipment requiring protection against the general dissemination of information relative thereto: 1. All military, naval, or air-force installations and equipment which are now classified, designated, or marked under the authority or at the direction of the President, the Secretary of Defense, the Secretary of the Army, the Secretary of the Navy, or the Secretary of the Air Force as 'top secret', 'secret', 'confidential', or 'restricted', and all military, naval, or air-force installations and equipment which may hereafter be so classified, designated, or marked with the approval or at the direction of the President, and located within: (a) Any military, naval, or air-force reservation, post, arsenal, proving ground, range, mine field, camp, base, airfield, fort, yard, station, district, or area. (b) Any defensive sea area heretofore established by Executive order and not subsequently discontinued by Executive order, and any defensive sea area hereafter established under authority of section 2152 of title 18 of the United States Code. (c) Any airspace reservation heretofore or hereafter established under authority of section 4 of the Air Commerce Act of 1926 (44 Stat. 570; 49 U.S.C. 174) except the airspace reservation established by Executive Order No. 10092 of December 17, 1949. (d) Any naval harbor closed to foreign vessels. (e) Any area required for fleet purposes. (f) Any commercial establishment engaged in the development or manufacture of classified military or naval arms, munitions, equipment, designs, ships, aircraft, or vessels for the United States Army, Navy, or Air Force. 2. All military, naval, or air-force aircraft, weapons, ammunition, vehicles, ships, vessels, instruments, engines, manufacturing machinery, tools, devices, or any other equipment whatsoever, in the possession of the Army, Navy, or Air Force or in the course of experimentation, development, manufacture, or delivery for the Army, Navy, or Air Force which are now classified, designated, or marked under the authority or at the direction of the President, the Secretary of Defense, the Secretary of the Army, the Secretary of the Navy, or the Secretary of the Air Force as 'top secret', 'secret', 'confidential', or 'restricted', and all such articles, materials, or equipment which may hereafter be so classified, designated, or marked with the approval or at the direction of the President. 3. All official military, naval, or air-force books, pamphlets, documents, reports, maps, charts, plans, designs, models, drawings, photographs, contracts, or specifications which are now marked under the authority or at the direction of the President, the Secretary of Defense, the Secretary of the Army, the Secretary of the Navy, or the Secretary of the Air Force as 'top secret', 'secret', 'confidential', or 'restricted', and all such articles or equipment which may hereafter be so marked with the approval or at the direction of the President. This order supersedes Executive Order No. 8381 of March 22, 1940, entitled 'Defining Certain Vital Military and Naval Installations and Equipment.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Publication and sale of photographs of defense installations, see section 797 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 796, 797, 951 of this title; title 50 App. section 34. ------DocID 24063 Document 305 of 1438------ -CITE- 18 USC Sec. 796 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 796. Use of aircraft for photographing defense installations -STATUTE- Whoever uses or permits the use of an aircraft or any contrivance used, or designed for navigation or flight in the air, for the purpose of making a photograph, sketch, picture, drawing, map, or graphical representation of vital military or naval installations or equipment, in violation of section 795 of this title, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 738.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 45, 45a, and 45c of title 50, U.S.C., 1940 ed., War and National Defense (Jan. 12, 1938, ch. 2, Sec. 1, 2, 4, 52 Stat. 3, 4). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Punishment provided by section 795 of this title is repeated, and is from said section 45 of title 50, U.S.C., 1940 ed. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951 of this title; title 42 section 2000aa; title 50 App. section 34. ------DocID 24064 Document 306 of 1438------ -CITE- 18 USC Sec. 797 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 797. Publication and sale of photographs of defense installations -STATUTE- On and after thirty days from the date upon which the President defines any vital military or naval installation or equipment as being within the category contemplated under section 795 of this title, whoever reproduces, publishes, sells, or gives away any photograph, sketch, picture, drawing, map, or graphical representation of the vital military or naval installations or equipment so defined, without first obtaining permission of the commanding officer of the military or naval post, camp, or station concerned, or higher authority, unless such photograph, sketch, picture, drawing, map, or graphical representation has clearly indicated thereon that it has been censored by the proper military or naval authority, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 738.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 45 and 45b, of title 50, U.S.C., 1940 ed., War and National Defense (Jan. 12, 1938, ch. 2, Sec. 1, 3, 52 Stat. 3). Punishment provision of section 45 of title 50, U.S.C., 1940 ed., War and National Defense, is repeated. Words 'upon conviction' were deleted as surplusage since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951 of this title; title 50 App. section 34. ------DocID 24065 Document 307 of 1438------ -CITE- 18 USC Sec. 798 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 798. Disclosure of classified information -STATUTE- (a) Whoever knowingly and willfully communicates, furnishes, transmits, or otherwise makes available to an unauthorized person, or publishes, or uses in any manner prejudicial to the safety or interest of the United States or for the benefit of any foreign government to the detriment of the United States any classified information - (1) concerning the nature, preparation, or use of any code, cipher, or cryptographic system of the United States or any foreign government; or (2) concerning the design, construction, use, maintenance, or repair of any device, apparatus, or appliance used or prepared or planned for use by the United States or any foreign government for cryptographic or communication intelligence purposes; or (3) concerning the communication intelligence activities of the United States or any foreign government; or (4) obtained by the process of communication intelligence from the communications of any foreign government, knowing the same to have been obtained by such processes - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (b) As used in subsection (a) of this section - The term 'classified information' means information which, at the time of a violation of this section, is, for reasons of national security, specifically designated by a United States Government Agency for limited or restricted dissemination or distribution; The terms 'code,' 'cipher,' and 'cryptographic system' include in their meanings, in addition to their usual meanings, any method of secret writing and any mechanical or electrical device or method used for the purpose of disguising or concealing the contents, significance, or meanings of communications; The term 'foreign government' includes in its meaning any person or persons acting or purporting to act for or on behalf of any faction, party, department, agency, bureau, or military force of or within a foreign country, or for or on behalf of any government or any person or persons purporting to act as a government within a foreign country, whether or not such government is recognized by the United States; The term 'communication intelligence' means all procedures and methods used in the interception of communications and the obtaining of information from such communications by other than the intended recipients; The term 'unauthorized person' means any person who, or agency which, is not authorized to receive information of the categories set forth in subsection (a) of this section, by the President, or by the head of a department or agency of the United States Government which is expressly designated by the President to engage in communication intelligence activities for the United States. (c) Nothing in this section shall prohibit the furnishing, upon lawful demand, of information to any regularly constituted committee of the Senate or House of Representatives of the United States of America, or joint committee thereof. -SOURCE- (Added Oct. 31, 1951, ch. 655, Sec. 24(a), 65 Stat. 719.) -COD- CODIFICATION Another section 798 was renumbered section 798A of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Disclosure of classified information by Government officer or employee, see section 783 of Title 50, War and National Defense. Federal retirement benefits, forfeiture upon conviction of offenses described under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951, 1956 of this title; title 5 section 8312; title 22 section 2778; title 38 section 3505; title 42 section 2000aa; title 50 App. section 2410. ------DocID 24066 Document 308 of 1438------ -CITE- 18 USC Sec. 798A -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 798A. Temporary extension of section 794 -STATUTE- The provisions of section 794 of this title, as amended and extended by section 1(a)(29) of the Emergency Powers Continuation Act (66 Stat. 333), as further amended by Public Law 12, Eighty-third Congress, in addition to coming into full force and effect in time of war shall remain in full force and effect until six months after the termination of the national emergency proclaimed by the President on December 16, 1950 (Proc. 2912, 3 C.F.R., 1950 Supp., p. 71), or such earlier date as may be prescribed by concurrent resolution of the Congress, and acts which would give rise to legal consequences and penalties under section 794 when performed during a state of war shall give rise to the same legal consequences and penalties when they are performed during the period above provided for. -SOURCE- (Added June 30, 1953, ch. 175, Sec. 4, 67 Stat. 133, Sec. 798; renumbered Sec. 798A, Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3519(a), 104 Stat. 4923.) -REFTEXT- REFERENCES IN TEXT Section 1(a)(29) of the Emergency Powers Continuation Act (66 Stat. 333) as further amended by Public Law 12, Eighty-third Congress, referred to in text, was formerly set out as a note under section 791 of this title and was repealed by section 7 of act June 30, 1953. Proc. 2912, 3 C.F.R., 1950 Supp., p. 71, referred to in text, is an erroneous citation. It should refer to Proc. 2914 which is set out as a note preceding section 1 of Title 50, Appendix, War and National Defense. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647 renumbered the second section 798 of this title as this section. TERMINATION OF NATIONAL EMERGENCY Declaration of national emergency in effect on Sept. 14, 1976, was terminated two years from that date by section 1601 of Title 50, War and National Defense. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951 of this title. ------DocID 24067 Document 309 of 1438------ -CITE- 18 USC Sec. 799 -EXPCITE- TITLE 18 PART I CHAPTER 37 -HEAD- Sec. 799. Violation of regulations of National Aeronautics and Space Administration -STATUTE- Whoever willfully shall violate, attempt to violate, or conspire to violate any regulation or order promulgated by the Administrator of the National Aeronautics and Space Administration for the protection or security of any laboratory, station, base or other facility, or part thereof, or any aircraft, missile, spacecraft, or similar vehicle, or part thereof, or other property or equipment in the custody of the Administration, or any real or personal property or equipment in the custody of any contractor under any contract with the Administration or any subcontractor of any such contractor, shall be fined not more than $5,000, or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 85-568, title III, Sec. 304(c)(1), July 29, 1958, 72 Stat. 434.) -COD- CODIFICATION Section was added by subsec. (c)(1) of section 304 of Pub. L. 85-568. Subsecs. (a) and (b) of section 304 are classified to section 2455 of Title 42, The Public Health and Welfare. Subsec. (d) of section 304 is classified to section 1114 of this title. Subsec. (e) of section 304 is classified to section 2456 of Title 42. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951 of this title. ------DocID 24068 Document 310 of 1438------ -CITE- 18 USC CHAPTER 39 -EXPCITE- TITLE 18 PART I CHAPTER 39 -HEAD- CHAPTER 39 - EXPLOSIVES AND OTHER DANGEROUS ARTICLES -MISC1- Sec. 831. Prohibited transactions involving nuclear materials. (832 to 835. Repealed.) 836. Transportation of fireworks into State prohibiting sale or use. (837. Repealed.) AMENDMENTS 1982 - Pub. L. 97-351, Sec. 2(b), Oct. 18, 1982, 96 Stat. 1666, substituted 'Prohibited transactions involving nuclear materials' for 'Definitions' in item 831 and struck out items 832 'Transportation of explosives, radioactive materials, etiologic agents, and other dangerous articles', 833 'Marking packages containing explosives and other dangerous articles', 834 'Regulation by Interstate Commerce Commission', and 835 'Administration'. 1970 - Pub. L. 91-452, title XI, Sec. 1106(b)(2), Oct. 15, 1970, 84 Stat. 960, struck out item 837. 1960 - Pub. L. 86-710, Sept. 6, 1960, 74 Stat. 808, substituted 'OTHER DANGEROUS ARTICLES' for 'COMBUSTIBLES' in chapter heading, 'explosives, radioactive materials, etiologic agents, and other dangerous articles' for 'dynamite, powder and fuses' in item 832, 'Marking packages containing explosives and other dangerous articles' for 'Transportation of nitroglycerin' in item 833, 'Regulation by Interstate Commerce Commission' for 'Marking packages containing explosives' in item 834, and 'Administration' for 'Regulations by Interstate Commerce Commission' in item 835. Pub. L. 86-449, title II, Sec. 204, May 6, 1960, 74 Stat. 88, added item 837. 1954 - Act June 4, 1954, ch. 261, Sec. 2, 68 Stat. 171, added item 836. HAZARDOUS SUBSTANCES Federal Hazardous Substances Act as not modifying this chapter or regulations promulgated thereunder, see Pub. L. 86-613, Sec. 18, formerly 17, July 12, 1960, 74 Stat. 380, as amended Pub. L. 89-756, Sec. 4(a), Nov. 3, 1966, 80 Stat. 1305; renumbered and amended Pub. L. 91-113, Sec. 4(a), (b)(1), Nov. 6, 1969, 83 Stat. 189, 190, set out as a note under section 1261 of Title 15, Commerce and Trade. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 7 section 136q; title 33 section 1507; title 49 App. section 1811. ------DocID 24069 Document 311 of 1438------ -CITE- 18 USC Sec. 831 -EXPCITE- TITLE 18 PART I CHAPTER 39 -HEAD- Sec. 831. Prohibited transactions involving nuclear materials -STATUTE- (a) Whoever, if one of the circumstances described in subsection (c) of this section occurs - (1) without lawful authority, intentionally receives, possesses, uses, transfers, alters, disposes of, or disperses any nuclear material and - (A) thereby knowingly causes the death of or serious bodily injury to any person or substantial damage to property; or (B) knows that circumstances exist which are likely to cause the death of or serious bodily injury to any person or substantial damage to property; (2) with intent to deprive another of nuclear material, knowingly - (A) takes and carries away nuclear material of another without authority; (B) makes an unauthorized use, disposition, or transfer, of nuclear material belonging to another; or (C) uses fraud and thereby obtains nuclear material belonging to another; (3) knowingly - (A) uses force; or (B) threatens or places another in fear that any person other than the actor will imminently be subject to bodily injury; and thereby takes nuclear material belonging to another from the person or presence of any other; (4) intentionally intimidates any person and thereby obtains nuclear material belonging to another; (5) with intent to compel any person, international organization, or governmental entity to do or refrain from doing any act, knowingly threatens to engage in conduct described in paragraph (2)(A) or (3) of this subsection; (6) knowingly threatens to use nuclear material to cause death or serious bodily injury to any person or substantial damage to property under circumstances in which the threat may reasonably be understood as an expression of serious purposes; (7) attempts to commit an offense under paragraph (1), (2), (3), or (4) of this subsection; or (8) is a party to a conspiracy of two or more persons to commit an offense under paragraph (1), (2), (3), or (4) of this subsection, if any of the parties intentionally engages in any conduct in furtherance of such offense; shall be punished as provided in subsection (b) of this section. (b) The punishment for an offense under - (1) paragraphs (1) through (7) of subsection (a) of this section is - (A) a fine of not more than $250,000; and (B) imprisonment - (i) for any term of years or for life (I) if, while committing the offense, the offender knowingly causes the death of any person; or (II) if, while committing an offense under paragraph (1) or (3) of subsection (a) of this section, the offender, under circumstances manifesting extreme indifference to the life of an individual, knowingly engages in any conduct and thereby recklessly causes the death of or serious bodily injury to any person; and (ii) for not more than 20 years in any other case; and (2) paragraph (8) of subsection (a) of this section is - (A) a fine of not more than $250,000; and (B) imprisonment - (i) for not more than 20 years if the offense which is the object of the conspiracy is punishable under paragraph (1)(B)(i); and (ii) for not more than 10 years in any other case. (c) The circumstances referred to in subsection (a) of this section are that - (1) the offense is committed in the United States or the special maritime and territorial jurisdiction of the United States, or the special aircraft jurisdiction of the United States (as defined in section 101 of the Federal Aviation Act of 1958 (49 U.S.C. 1301)); (2) the defendant is a national of the United States, as defined in section 101 of the Immigration and Nationality Act (8 U.S.C. 1101); (3) at the time of the offense the nuclear material is in use, storage, or transport, for peaceful purposes, and after the conduct required for the offense occurs the defendant is found in the United States, even if the conduct required for the offense occurs outside the United States; or (4) the conduct required for the offense occurs with respect to the carriage of a consignment of nuclear material for peaceful purposes by any means of transportation intended to go beyond the territory of the state where the shipment originates beginning with the departure from a facility of the shipper in that state and ending with the arrival at a facility of the receiver within the state of ultimate destination and either of such states is the United States. (d) The Attorney General may request assistance from the Secretary of Defense under chapter 18 of title 10 in the enforcement of this section and the Secretary of Defense may provide such assistance in accordance with chapter 18 of title 10, except that the Secretary of Defense may provide such assistance through any Department of Defense personnel. (e)(1) The Attorney General may also request assistance from the Secretary of Defense under this subsection in the enforcement of this section. Notwithstanding section 1385 of this title, the Secretary of Defense may, in accordance with other applicable law, provide such assistance to the Attorney General if - (A) an emergency situation exists (as jointly determined by the Attorney General and the Secretary of Defense in their discretion); and (B) the provision of such assistance will not adversely affect the military preparedness of the United States (as determined by the Secretary of Defense in such Secretary's discretion). (2) As used in this subsection, the term 'emergency situation' means a circumstance - (A) that poses a serious threat to the interests of the United States; and (B) in which - (i) enforcement of the law would be seriously impaired if the assistance were not provided; and (ii) civilian law enforcement personnel are not capable of enforcing the law. (3) Assistance under this section may include - (A) use of personnel of the Department of Defense to arrest persons and conduct searches and seizures with respect to violations of this section; and (B) such other activity as is incidental to the enforcement of this section, or to the protection of persons or property from conduct that violates this section. (4) The Secretary of Defense may require reimbursement as a condition of assistance under this section. (5) The Attorney General may delegate the Attorney General's function under this subsection only to a Deputy, Associate, or Assistant Attorney General. (f) As used in this section - (1) the term 'nuclear material' means material containing any - (A) plutonium with an isotopic concentration not in excess of 80 percent plutonium 238; (B) uranium not in the form of ore or ore residue that contains the mixture of isotopes as occurring in nature; (C) uranium that contains the isotope 233 or 235 or both in such amount that the abundance ratio of the sum of those isotopes to the isotope 238 is greater than the ratio of the isotope 235 to the isotope 238 occurring in nature; or (D) uranium 233; (2) the term 'international organization' means a public international organization designated as such pursuant to section 1 of the International Organizations Immunities Act (22 U.S.C. 288) or a public organization created pursuant to treaty or other agreement under international law as an instrument through or by which two or more foreign governments engage in some aspect of their conduct of international affairs; (3) the term 'serious bodily injury' means bodily injury which involves - (A) a substantial risk of death; (B) extreme physical pain; (C) protracted and obvious disfigurement; or (D) protracted loss or impairment of the function of a bodily member, organ, or mental faculty; and (4) the term 'bodily injury' means - (A) a cut, abrasion, bruise, burn, or disfigurement; (B) physical pain; (C) illness; (D) impairment of a function of a bodily member, organ, or mental faculty; or (E) any other injury to the body, no matter how temporary. -SOURCE- (Added Pub. L. 97-351, Sec. 2(a), Oct. 18, 1982, 96 Stat. 1663, and amended Pub. L. 100-690, title VII, Sec. 7022, Nov. 18, 1988, 102 Stat. 4397.) -REFTEXT- REFERENCES IN TEXT Section 101 of the Federal Aviation Act of 1958 (49 U.S.C. 1301), referred to in subsec. (c)(1), is classified to section 1301 of Title 49, Appendix, Transportation. -MISC2- PRIOR PROVISIONS A prior section 831, acts June 25, 1948, ch. 645, 62 Stat. 738; Sept. 6, 1960, Pub. L. 86-710, 74 Stat. 808; July 27, 1965, Pub. L. 89-95, 79 Stat. 285; Oct. 17, 1978, Pub. L. 95-473; Sec. 2(a)(1)(A), 92 Stat. 1464, which defined terms used in this chapter, was repealed by Pub. L. 96-129, title II, Sec. 216(b), Nov. 30, 1979, 93 Stat. 1015. For savings provisions regarding former section 831, see section 218 of Pub. L. 96-129, set out as a note under former sections 832 to 835 of this title. AMENDMENTS 1988 - Subsec. (e)(2) to (6). Pub. L. 100-690 redesignated pars. (3) to (6) as (2) to (5), respectively. SHORT TITLE OF 1982 AMENDMENT Section 1 of Pub. L. 97-351 provided that: 'This Act (enacting this section and amending section 1116 of this title) may be cited as the 'Convention on the Physical Protection of Nuclear Material Implementation Act of 1982'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 951, 2516 of this title. ------DocID 24070 Document 312 of 1438------ -CITE- 18 USC Sec. 832 to 835 -EXPCITE- TITLE 18 PART I CHAPTER 39 -HEAD- (Sec. 832 to 835. Repealed. Pub. L. 96-129, title II, Sec. 216(b), Nov. 30, 1979, 93 Stat. 1015) -MISC1- Section 832, acts June 25, 1948, ch. 645, 62 Stat. 738; Sept. 6, 1960, Pub. L. 86-710, 74 Stat. 809, related to transportation of explosives, radioactive materials, etiologic agents, and other dangerous articles. Section 833, acts June 25, 1948, ch. 645, 62 Stat. 739; Sept. 6, 1960, Pub. L. 86-710, 74 Stat. 810, related to marking of packages containing explosives and other dangerous articles. Section 834, acts June 25, 1948, ch. 645, 62 Stat. 739; Sept. 6, 1960, Pub. L. 86-710, 74 Stat. 810, related to formulation of regulations by Interstate Commerce Commission regarding transportation of explosives and other dangerous articles within United States. Section 835, acts June 25, 1948, ch. 645, 62 Stat. 739; Sept. 6, 1960, Pub. L. 86-710, 74 Stat. 811; Oct. 15, 1970, Pub. L. 91-452, title II, Sec. 222, 84 Stat. 929; Oct. 17, 1978, Pub. L. 95-473, Sec. 2(a)(1)(B), 92 Stat. 1464, authorized Interstate Commerce Commission to administer, execute and enforce all provisions of sections 831 to 835 of this title. EFFECTIVE DATE OF REPEAL Repeal effective Nov. 30, 1979, see section 217 of Pub. L. 96-129, set out as an Effective Date note under section 2001 of Title 49, Appendix, Transportation. SAVINGS PROVISION Section 218 of title II of Pub. L. 96-129 provided that: '(a) All orders, determinations, rules, regulations, permits, contracts, certificates, licenses, and privileges which have been issued, made, granted, or allowed to become effective under the provisions of chapter 39 of title 18, United States Code repealed by this title (sections 831 to 835 of this title), and which are in effect at the time this title takes effect (November 30, 1979), shall continue in effect as though issued, made, granted, or allowed to become effective under the authority of this title (enacting section 2001 et seq. of Title 49, Appendix, Transportation, amending section 1811 of Title 49, Appendix, and repealing sections 831 to 835 of this title), according to their terms until modified, terminated, superseded, set aside, or repealed by the Secretary, by any court of competent jurisdiction, or by operation of law. '(b) Suits, actions, or other proceedings pending upon the date of enactment of this title (November 30, 1979), shall not be affected by the provisions of this title (enacting section 2001 et seq. of Title 49, Appendix, Transportation, amending section 1811 of Title 49, Appendix, and repealing sections 831 to 835 of this title), and shall be completed as if this title had not been enacted, unless the Secretary makes a determination that the public safety otherwise requires.' ------DocID 24071 Document 313 of 1438------ -CITE- 18 USC Sec. 836 -EXPCITE- TITLE 18 PART I CHAPTER 39 -HEAD- Sec. 836. Transportation of fireworks into State prohibiting sale or use -STATUTE- Whoever, otherwise than in the course of continuous interstate transportation through any State, transports fireworks into any State, or delivers them for transportation into any State, or attempts so to do, knowing that such fireworks are to be delivered, possessed, stored, transshipped, distributed, sold, or otherwise dealt with in a manner or for a use prohibited by the laws of such State specifically prohibiting or regulating the use of fireworks, shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not apply to a common or contract carrier or to international or domestic water carriers engaged in interstate commerce or to the transportation of fireworks into a State for the use of Federal agencies in the carrying out or the furtherance of their operations. In the enforcement of this section, the definitions of fireworks contained in the laws of the respective States shall be applied. As used in this section, the term 'State' includes the several States, Territories, and possessions of the United States, and the District of Columbia. This section shall be effective from and after July 1, 1954. -SOURCE- (Added June 4, 1954, ch. 261, Sec. 1, 68 Stat. 170.) -MISC1- FIREWORKS FOR AGRICULTURAL PURPOSES Section 3 of act June 4, 1954, provided that: 'This Act (enacting this section) shall not be effective with respect to - '(1) the transportation of fireworks into any State or Territory for use solely for agricultural purposes, '(2) the delivery of fireworks for transportation into any State or Territory for use solely for agricultural purposes, or '(3) any attempt to engage in any such transportation or delivery for use solely for agricultural purposes, until sixty days have elapsed after the commencement of the next regular session of the legislature of such State or Territory which begins after the date of enactment of this Act (June 4, 1954).' ------DocID 24072 Document 314 of 1438------ -CITE- 18 USC Sec. 837 -EXPCITE- TITLE 18 PART I CHAPTER 39 -HEAD- (Sec. 837. Repealed. Pub. L. 91-452, title XI, Sec. 1106(b)(1), Oct. 15, 1970, 84 Stat. 960) -MISC1- Section, Pub. L. 86-449, title II, Sec. 203, May 6, 1960, 74 Stat. 87, related to illegal use or possession of explosives and threats or false information concerning attempts to damage or destroy real or personal property by fire or explosives. See section 844 of this title. ------DocID 24073 Document 315 of 1438------ -CITE- 18 USC CHAPTER 40 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- CHAPTER 40 - IMPORTATION, MANUFACTURE, DISTRIBUTION AND STORAGE OF EXPLOSIVE MATERIALS -MISC1- Sec. 841. Definitions. 842. Unlawful acts. 843. Licenses and user permits. 844. Penalties. 845. Exceptions; relief from disabilities. 846. Additional powers of the Secretary. 847. Rules and regulations. 848. Effect on State law. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3520, Nov. 29, 1990, 104 Stat. 4923, substituted 'Licenses' for 'Licensing' in item 843. 1970 - Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 952, added chapter 40 and items 841 to 848. ------DocID 24074 Document 316 of 1438------ -CITE- 18 USC Sec. 841 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 841. Definitions -STATUTE- As used in this chapter - (a) 'Person' means any individual, corporation, company, association, firm, partnership, society, or joint stock company. (b) 'Interstate' or foreign commerce means commerce between any place in a State and any place outside of that State, or within any possession of the United States (not including the Canal Zone) or the District of Columbia, and commerce between places within the same State but through any place outside of that State. 'State' includes the District of Columbia, the Commonwealth of Puerto Rico, and the possessions of the United States (not including the Canal Zone). (c) 'Explosive materials' means explosives, blasting agents, and detonators. (d) Except for the purposes of subsections (d), (e), (f), (g), (h), (i), and (j) of section 844 of this title, 'explosives' means any chemical compound mixture, or device, the primary or common purpose of which is to function by explosion; the term includes, but is not limited to, dynamite and other high explosives, black powder, pellet powder, initiating explosives, detonators, safety fuses, squibs, detonating cord, igniter cord, and igniters. The Secretary shall publish and revise at least annually in the Federal Register a list of these and any additional explosives which he determines to be within the coverage of this chapter. For the purposes of subsections (d), (e), (f), (g), (h), and (i) of section 844 of this title, the term 'explosive' is defined in subsection (j) of such section 844. (e) 'Blasting agent' means any material or mixture, consisting of fuel and oxidizer, intended for blasting, not otherwise defined as an explosive: Provided, That the finished product, as mixed for use or shipment, cannot be detonated by means of a numbered 8 test blasting cap when unconfined. (f) 'Detonator' means any device containing a detonating charge that is used for initiating detonation in an explosive; the term includes, but is not limited to, electric blasting caps of instantaneous and delay types, blasting caps for use with safety fuses and detonating-cord delay connectors. (g) 'Importer' means any person engaged in the business of importing or bringing explosive materials into the United States for purposes of sale or distribution. (h) 'Manufacturer' means any person engaged in the business of manufacturing explosive materials for purposes of sale or distribution or for his own use. (i) 'Dealer' means any person engaged in the business of distributing explosive materials at wholesale or retail. (j) 'Permittee' means any user of explosives for a lawful purpose, who has obtained a user permit under the provisions of this chapter. (k) 'Secretary' means the Secretary of the Treasury or his delegate. (l) 'Crime punishable by imprisonment for a term exceeding one year' shall not mean (1) any Federal or State offenses pertaining to antitrust violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of business practices as the Secretary may by regulation designate, or (2) any State offense (other than one involving a firearm or explosive) classified by the laws of the State as a misdemeanor and punishable by a term of imprisonment of two years or less. (m) 'Licensee' means any importer, manufacturer, or dealer licensed under the provisions of this chapter. (n) 'Distribute' means sell, issue, give, transfer, or otherwise dispose of. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 952.) -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in subsec. (a), see section 3602(b) of Title 22, Foreign Relations and Intercourse. -MISC2- EFFECTIVE DATE Section 1105(a), (b) of Pub. L. 91-452 provided that: '(a) Except as provided in subsection (b), the provisions of chapter 40 of title 18, United States Code, as enacted by section 1102 of this title shall take effect one hundred and twenty days after the date of enactment of this Act (Oct. 15, 1970). '(b) The following sections of chapter 40 of title 18, United States Code, as enacted by section 1102 of this title shall take effect on the date of the enactment of this Act (Oct. 15, 1970): sections 841, 844(d), (e), (f), (g), (h), (i), and (j), 845, 846, 847, 848 and 849 (no section 849 was enacted).' SHORT TITLE OF 1982 AMENDMENT Pub. L. 97-298, Sec. 1, Oct. 12, 1982, 96 Stat. 1319, provided: 'That this Act (amending section 844 of this title) may be cited as the 'Anti-Arson Act of 1982'.' SHORT TITLE OF 1975 AMENDMENT Pub. L. 93-639, Sec. 1, Jan. 4, 1975, 88 Stat. 2217, provided: 'That this Act (amending sections 845 and 921 of this title) may be cited as 'Amendments of 1973 to Federal Law Relating to Explosives'.' -TRANS- TRANSFER OF FUNCTIONS Enforcement functions of Secretary or other official of Department of the Treasury related to compliance with permits for interstate transport of explosives and compliance with regulations for storage of explosives under this chapter with respect to pre-construction, construction, and initial operation of transportation system for Canadian and Alaskan natural gas transferred to Federal Inspector, Office of Federal Inspector for Alaska Natural Gas Transportation System, until first anniversary of date of initial operation of Alaska Natural Gas Transportation System, see Reorg. Plan No. 1 of 1979, Sec. 102(g), 203(a), 44 F.R. 33663, 33666, 93 Stat. 1373, 1376, effective July 1, 1979, set out in the Appendix to Title 5, Government Organization and Employees. -MISC5- CONGRESSIONAL DECLARATION OF PURPOSE Section 1101 of title XI of Pub. L. 91-452 provided that: 'The Congress hereby declares that the purpose of this title (enacting this chapter amending section 2516 of this title, repealing section 837 of this title and sections 121 to 144 of Title 50, War and National Defense, and enacting provisions set out as notes under this section) is to protect interstate and foreign commerce against interference and interruption by reducing the hazard to persons and property arising from misuse and unsafe or insecure storage of explosive materials. It is not the purpose of this title to place any undue or unnecessary Federal restrictions or burdens on law-abiding citizens with respect to the acquisition, possession, storage, or use of explosive materials for industrial, mining, agricultural, or other lawful purposes, or to provide for the imposition by Federal regulations of any procedures or requirements other than those reasonably necessary to implement and effectuate the provisions of this title.' MODIFICATION OF OTHER PROVISIONS Section 1104 of title XI of Pub. L. 91-452, as amended by Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095, provided that: 'Nothing in this title (enacting this chapter, amending section 2516 of this title, repealing section 837 of this title and sections 121 to 144 of Title 50, War and National Defense, and enacting provisions set out as notes under this section) shall be construed as modifying or affecting any provision of - '(a) The National Firearms Act (chapter 53 of the Internal Revenue Code of 1986); '(b) Section 414 of the Mutual Security Act of 1954 (22 U.S.C. 1934), as amended, relating to munitions control; '(c) Section 1716 of title 18, United States Code, relating to nonmailable materials; '(d) Sections 831 through 836 of title 18, United States Code; or '(e) Chapter 44 of title 18, United States Code.' CONTINUATION IN BUSINESS OR OPERATION OF ANY PERSON ENGAGED IN BUSINESS OR OPERATION ON OCTOBER 15, 1970 Section 1105(c) of Pub. L. 91-452 provided that: 'Any person (as defined in section 841(a) of title 18, United States Code) engaging in a business or operation requiring a license or permit under the provisions of chapter 40 of such title 18, who was engaged in such business or operation on the date of enactment of this Act (Oct. 15, 1970) and who has filed an application for a license or permit under the provisions of section 843 of such chapter 40 prior to the effective date of such section 843 (see Effective Date note set out above) may continue such business or operation pending final action on his application. All provisions of such chapter 40 shall apply to such applicant in the same manner and to the same extent as if he were a holder of a license or permit under such chapter 40.' AUTHORIZATION OF APPROPRIATIONS Section 1107 of title XI of Pub. L. 91-452 provided that: 'There are hereby authorized to be appropriated such sums as are necessary to carry out the purposes of this title (enacting this chapter, amending section 2516 of this title, repealing section 837 of this title and sections 121 to 144 of Title 50, War and National Defense, and enacting provisions set as notes under this section).' ------DocID 24075 Document 317 of 1438------ -CITE- 18 USC Sec. 842 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 842. Unlawful acts -STATUTE- (a) It shall be unlawful for any person - (1) to engage in the business of importing, manufacturing, or dealing in explosive materials without a license issued under this chapter; (2) knowingly to withhold information or to make any false or fictitious oral or written statement or to furnish or exhibit any false, fictitious, or misrepresented identification, intended or likely to deceive for the purpose of obtaining explosive materials, or a license, permit, exemption, or relief from disability under the provisions of this chapter; and (3) other than a licensee or permittee knowingly - (A) to transport, ship, cause to be transported, or receive in interstate or foreign commerce any explosive materials, except that a person who lawfully purchases explosive materials from a licensee in a State contiguous to the State in which the purchaser resides may ship, transport, or cause to be transported such explosive materials to the State in which he resides and may receive such explosive materials in the State in which he resides, if such transportation, shipment, or receipt is permitted by the law of the State in which he resides; or (B) to distribute explosive materials to any person (other than a licensee or permittee) who the distributor knows or has reasonable cause to believe does not reside in the State in which the distributor resides. (b) It shall be unlawful for any licensee knowingly to distribute any explosive materials to any person except - (1) a licensee; (2) a permittee; or (3) a resident of the State where distribution is made and in which the licensee is licensed to do business or a State contiguous thereto if permitted by the law of the State of the purchaser's residence. (c) It shall be unlawful for any licensee to distribute explosive materials to any person who the licensee has reason to believe intends to transport such explosive materials into a State where the purchase, possession, or use of explosive materials is prohibited or which does not permit its residents to transport or ship explosive materials into it or to receive explosive materials in it. (d) It shall be unlawful for any licensee knowingly to distribute explosive materials to any individual who: (1) is under twenty-one years of age; (2) has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year; (3) is under indictment for a crime punishable by imprisonment for a term exceeding one year; (4) is a fugitive from justice; (5) is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)); or (6) has been adjudicated a mental defective. (e) It shall be unlawful for any licensee knowingly to distribute any explosive materials to any person in any State where the purchase, possession, or use by such person of such explosive materials would be in violation of any State law or any published ordinance applicable at the place of distribution. (f) It shall be unlawful for any licensee or permittee willfully to manufacture, import, purchase, distribute, or receive explosive materials without making such records as the Secretary may by regulation require, including, but not limited to, a statement of intended use, the name, date, place of birth, social security number or taxpayer identification number, and place of residence of any natural person to whom explosive materials are distributed. If explosive materials are distributed to a corporation or other business entity, such records shall include the identity and principal and local places of business and the name, date, place of birth, and place of residence of the natural person acting as agent of the corporation or other business entity in arranging the distribution. (g) It shall be unlawful for any licensee or permittee knowingly to make any false entry in any record which he is required to keep pursuant to this section or regulations promulgated under section 847 of this title. (h) It shall be unlawful for any person to receive, conceal, transport, ship, store, barter, sell, or dispose of any explosive materials knowing or having reasonable cause to believe that such explosive materials were stolen. (i) It shall be unlawful for any person - (1) who is under indictment for, or who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year; (2) who is a fugitive from justice; (3) who is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)); or (4) who has been adjudicated as a mental defective or who has been committed to a mental institution; to ship or transport any explosive in interstate or foreign commerce or to receive any explosive which has been shipped or transported in interstate or foreign commerce. (j) It shall be unlawful for any person to store any explosive material in a manner not in conformity with regulations promulgated by the Secretary. In promulgating such regulations, the Secretary shall take into consideration the class, type, and quantity of explosive materials to be stored, as well as the standards of safety and security recognized in the explosives industry. (k) It shall be unlawful for any person who has knowledge of the theft or loss of any explosive materials from his stock, to fail to report such theft or loss within twenty-four hours of discovery thereof, to the Secretary and to appropriate local authorities. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 953, and amended Pub. L. 100-690, title VI, Sec. 6474(c), (d), Nov. 18, 1988, 102 Stat. 4380; Pub. L. 101-647, title XXXV, Sec. 3521, Nov. 29, 1990, 104 Stat. 4923.) -MISC1- AMENDMENTS 1990 - Subsec. (d)(5). Pub. L. 101-647, Sec. 3521(1), substituted '; or' for a period. Subsec. (i)(3). Pub. L. 101-647, Sec. 3521(2), substituted '; or' for a period. 1988 - Subsec. (d)(5). Pub. L. 100-690, Sec. 6474(c), amended par. (5) generally. Prior to amendment, par. (5) read as follows: 'is an unlawful user of marihuana (as defined in section 4761 of the Internal Revenue Code of 1954) or any depressant or stimulant drug (as defined in section 201(v) of the Federal Food, Drug, and Cosmetic Act) or narcotic drug (as defined in section 4721(a) of the Internal Revenue Code of 1954); or'. Subsec. (i)(3). Pub. L. 100-690, Sec. 6474(d), amended par. (3) generally. Prior to amendment, par. (3) read as follows: 'who is an unlawful user of or addicted to marihuana (as defined in section 4761 of the Internal Revenue Code of 1954) or any depressant or stimulant drug (as defined in section 201(v) of the Federal Food, Drug, and Cosmetic Act) or narcotic drug (as defined in section 4731(a) of the Internal Revenue Code of 1954); or'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 843, 844 of this title. ------DocID 24076 Document 318 of 1438------ -CITE- 18 USC Sec. 843 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 843. Licenses and user permits -STATUTE- (a) An application for a user permit or a license to import, manufacture, or deal in explosive materials shall be in such form and contain such information as the Secretary shall by regulation prescribe. Each applicant for a license or permit shall pay a fee to be charged as set by the Secretary, said fee not to exceed $200 for each license or permit. Each license or permit shall be valid for no longer than three years from date of issuance and shall be renewable upon the same conditions and subject to the same restrictions as the original license or permit and upon payment of a renewal fee not to exceed one-half of the original fee. (b) Upon the filing of a proper application and payment of the prescribed fee, and subject to the provisions of this chapter and other applicable laws, the Secretary shall issue to such applicant the appropriate license or permit if - (1) the applicant (including in the case of a corporation, partnership, or association, any individual possessing, directly or indirectly, the power to direct or cause the direction of the management and policies of the corporation, partnership, or association) is not a person to whom the distribution of explosive materials would be unlawful under section 842(d) of this chapter; (2) the applicant has not willfully violated any of the provisions of this chapter or regulations issued hereunder; (3) the applicant has in a State premises from which he conducts or intends to conduct business; (4) the applicant has a place of storage for explosive materials which meets such standards of public safety and security against theft as the Secretary by regulations shall prescribe; and (5) the applicant has demonstrated and certified in writing that he is familiar with all published State laws and local ordinances relating to explosive materials for the location in which he intends to do business. (c) The Secretary shall approve or deny an application within a period of forty-five days beginning on the date such application is received by the Secretary. (d) The Secretary may revoke any license or permit issued under this section if in the opinion of the Secretary the holder thereof has violated any provision of this chapter or any rule or regulation prescribed by the Secretary under this chapter, or has become ineligible to acquire explosive materials under section 842(d). The Secretary's action under this subsection may be reviewed only as provided in subsection (e)(2) of this section. (e)(1) Any person whose application is denied or whose license or permit is revoked shall receive a written notice from the Secretary stating the specific grounds upon which such denial or revocation is based. Any notice of a revocation of a license or permit shall be given to the holder of such license or permit prior to or concurrently with the effective date of the revocation. (2) If the Secretary denies an application for, or revokes a license, or permit, he shall, upon request by the aggrieved party, promptly hold a hearing to review his denial or revocation. In the case of a revocation, the Secretary may upon a request of the holder stay the effective date of the revocation. A hearing under this section shall be at a location convenient to the aggrieved party. The Secretary shall give written notice of his decision to the aggrieved party within a reasonable time after the hearing. The aggrieved party may, within sixty days after receipt of the Secretary's written decision, file a petition with the United States court of appeals for the district in which he resides or has his principal place of business for a judicial review of such denial or revocation, pursuant to sections 701-706 of title 5, United States Code. (f) Licensees and permittees shall make available for inspection at all reasonable times their records kept pursuant to this chapter or the regulations issued hereunder, and shall submit to the Secretary such reports and information with respect to such records and the contents thereof as he shall by regulations prescribe. The Secretary may enter during business hours the premises (including places of storage) of any licensee or permittee, for the purpose of inspecting or examining (1) any records or documents required to be kept by such licensee or permittee, under the provisions of this chapter or regulations issued hereunder, and (2) any explosive materials kept or stored by such licensee or permittee at such premises. Upon the request of any State or any political subdivision thereof, the Secretary may make available to such State or any political subdivision thereof, any information which he may obtain by reason of the provisions of this chapter with respect to the identification of persons within such State or political subdivision thereof, who have purchased or received explosive materials, together with a description of such explosive materials. (g) Licenses and permits issued under the provisions of subsection (b) of this section shall be kept posted and kept available for inspection on the premises covered by the license and permit. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 955.) -TRANS- TRANSFER OF FUNCTIONS For transfer of certain enforcement functions of Secretary or other official in Department of Treasury under this chapter to Federal Inspector, Office of Federal Inspector for Alaska Natural Gas Transportation System, see Transfer of Functions note set out under section 841 of this title. -MISC5- CONTINUATION IN BUSINESS OR OPERATION OF ANY PERSON ENGAGED IN BUSINESS OR OPERATION ON OCTOBER 15, 1970 Filing of application for a license or permit prior to the effective date of this section as authorizing any person engaged in a business or operation requiring a license or a permit on Oct. 15, 1970 to continue such business or operation pending final action on such application, see section 1105(c) of Pub. L. 91-452, set out as a note under section 841 of this title. ------DocID 24077 Document 319 of 1438------ -CITE- 18 USC Sec. 844 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 844. Penalties -STATUTE- (a) Any person who violates subsections (a) through (i) of section 842 of this chapter shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (b) Any person who violates any other provision of section 842 of this chapter shall be fined not more than $1,000 or imprisoned not more than one year, or both. (c) Any explosive materials involved or used or intended to be used in any violation of the provisions of this chapter or any other rule or regulation promulgated thereunder or any violation of any criminal law of the United States shall be subject to seizure and forfeiture, and all provisions of the Internal Revenue Code of 1986 relating to the seizure, forfeiture, and disposition of firearms, as defined in section 5845(a) of that Code, shall, so far as applicable, extend to seizures and forfeitures under the provisions of this chapter. (d) Whoever transports or receives, or attempts to transport or receive, in interstate or foreign commerce any explosive with the knowledge or intent that it will be used to kill, injure, or intimidate any individual or unlawfully to damage or destroy any building, vehicle, or other real or personal property, shall be imprisoned for not more than ten years, or fined not more than $10,000, or both; and if personal injury results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection, shall be imprisoned for not more than twenty years or fined not more than $20,000, or both; and if death results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection, shall be subject to imprisonment for any term of years, or to the death penalty or to life imprisonment as provided in section 34 of this title. (e) Whoever, through the use of the mail, telephone, telegraph, or other instrument of commerce, willfully makes any threat, or maliciously conveys false information knowing the same to be false, concerning an attempt or alleged attempt being made, or to be made, to kill, injure, or intimidate any individual or unlawfully to damage or destroy any building, vehicle, or other real or personal property by means of fire or an explosive shall be imprisoned for not more than five years or fined not more than $5,000, or both. (f) Whoever maliciously damages or destroys, or attempts to damage or destroy, by means of fire or an explosive, any building, vehicle, or other personal or real property in whole or in part owned, possessed, or used by, or leased to, the United States, any department or agency thereof, or any institution or organization receiving Federal financial assistance shall be imprisoned for not more than ten years, or fined not more than $10,000, or both; and if personal injury results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection, shall be imprisoned for not more than twenty years, or fined not more than $20,000, or both; and if death results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection, shall be subject to imprisonment for any term of years, or to the death penalty or to life imprisonment as provided in section 34 of this title. (g)(1) Except as provided in paragraph (2), whoever possesses an explosive in an airport that is subject to the regulatory authority of the Federal Aviation Administration, or in any building in whole or in part owned, possessed, or used by, or leased to, the United States or any department or agency thereof, except with the written consent of the agency, department, or other person responsible for the management of such building or airport, shall be imprisoned for not more than five years, or fined under this title, or both. (2) The provisions of this subsection shall not be applicable to - (A) the possession of ammunition (as that term is defined in regulations issued pursuant to this chapter) in an airport that is subject to the regulatory authority of the Federal Aviation Administration if such ammunition is either in checked baggage or in a closed container; or (B) the possession of an explosive in an airport if the packaging and transportation of such explosive is exempt from, or subject to and in accordance with, regulations of the Research and Special Projects Administration for the handling of hazardous materials pursuant to the Hazardous Materials Transportation Act (49 App. U.S.C. 1801, et seq.). (h) Whoever - (1) uses fire or an explosive to commit any felony which may be prosecuted in a court of the United States, or (2) carries an explosive during the commission of any felony which may be prosecuted in a court of the United States, including a felony which provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device shall, in addition to the punishment provided for such felony, be sentenced to imprisonment for five years. In the case of a second or subsequent conviction under this subsection, such person shall be sentenced to imprisonment for ten years. Notwithstanding any other provision of law, the court shall not place on probation or suspend the sentence of any person convicted of a violation of this subsection, nor shall the term of imprisonment imposed under this subsection run concurrently with any other term of imprisonment including that imposed for the felony in which the explosive was used or carried. (i) Whoever maliciously damages or destroys, or attempts to damage or destroy, by means of fire or an explosive, any building, vehicle, or other real or personal property used in interstate or foreign commerce or in any activity affecting interstate or foreign commerce shall be imprisoned for not more than ten years or fined not more than $10,000, or both; and if personal injury results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection, shall be imprisoned for not more than twenty years or fined not more than $20,000, or both; and if death results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection, shall also be subject to imprisonment for any term of years, or to the death penalty or to life imprisonment as provided in section 34 of this title. (j) For the purposes of subsections (d), (e), (f), (g), (h), and (i) of this section, the term 'explosive' means gunpowders, powders used for blasting, all forms of high explosives, blasting materials, fuzes (other than electric circuit breakers), detonators, and other detonating agents, smokeless powders, other explosive or incendiary devices within the meaning of paragraph (5) of section 232 of this title, and any chemical compounds, mechanical mixture, or device that contains any oxidizing and combustible units, or other ingredients, in such proportions, quantities, or packing that ignition by fire, by friction, by concussion, by percussion, or by detonation of the compound, mixture, or device or any part thereof may cause an explosion. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 956, and amended Pub. L. 97-298, Sec. 2, Oct. 12, 1982, 96 Stat. 1319; Pub. L. 98-473, title II, Sec. 1014, Oct. 12, 1984, 98 Stat. 2142; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 100-690, title VI, Sec. 6474(a), (b), Nov. 18, 1988, 102 Stat. 4379; Pub. L. 101-647, title XXXV, Sec. 3522, Nov. 29, 1990, 104 Stat. 4924.) -REFTEXT- REFERENCES IN TEXT The Internal Revenue Code of 1986, referred to in subsec. (c), is set out as Title 26, Internal Revenue Code. Section 5845(a) of that Code, referred to in subsec. (c), is section 5845(a) of Title 26. The Hazardous Materials Transportation Act, referred to in subsec. (g)(2)(B), is title I of Pub. L. 93-633, Jan. 3, 1975, 88 Stat. 2156, as amended, which is classified principally to chapter 27 (Sec. 1801 et seq.) of Title 49, Appendix, Transportation. For complete classification of this Act to the Code, see Short Title note set out under section 1801 of Title 49, Appendix, and Tables. -MISC2- AMENDMENTS 1990 - Subsec. (d). Pub. L. 101-647 substituted 'subsection,' for 'subsection,,' before 'shall be subject to imprisonment'. 1988 - Subsec. (g). Pub. L. 100-690, Sec. 6474(a), designated existing provisions as par. (1), substituted 'Except as provided in paragraph (2), whoever' for 'Whoever', inserted 'in an airport that is subject to the regulatory authority of the Federal Aviation Administration, or' after 'possess an explosive', inserted 'or airport' after 'such building', substituted 'not more than five years, or fined under this title, or both' for 'not more than one year, or fined not more than $1,000, or both', and added par. (2). Subsec. (h). Pub. L. 100-690, Sec. 6474(b)(2), which directed the amendment of subsec. (h) by striking 'shall be sentenced' through the end and inserting new provisions was executed by striking 'shall be sentenced' the first time it appeared through the end of the subsection which resulted in inserting concluding provisions and striking out former concluding provisions which read as follows: 'shall be sentenced to a term of imprisonment for not less than one year nor more than ten years. In the case of his second or subsequent conviction under this subsection, such person shall be sentenced to a term of imprisonment for not less than five years nor more than twenty-five years, and, notwithstanding any other provision of law, the court shall not suspend the sentence of such person or give him a probationary sentence.' Subsec. (h)(2). Pub. L. 100-690, Sec. 6474(b)(1), in par. (2), struck out 'unlawfully' after 'explosive'. 1986 - Subsec. (c). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. 1984 - Subsecs. (d), (f), (i). Pub. L. 98-473 substituted 'personal injury results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection,' for 'personal injury results' and 'death results to any person, including any public safety officer performing duties as a direct or proximate result of conduct prohibited by this subsection,' for 'death results'. 1982 - Subsecs. (e), (f). Pub. L. 97-298, Sec. 2(a), inserted 'fire or' after 'by means of' wherever appearing. Subsec. (h)(1). Pub. L. 97-298, Sec. 2(b), inserted 'fire or' after 'uses'. Subsec. (i). Pub. L. 97-298, Sec. 2(c), inserted 'fire or' after 'by means of'. EFFECTIVE DATE Subsecs. (a) to (c) of this section effective 120 days after Oct. 15, 1970, and subsecs. (d) to (j) of this section effective on Oct. 15, 1970, see section 1105(a), (b), set out as a note under section 841 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 841, 845, 846, 2516, 5032 of this title. ------DocID 24078 Document 320 of 1438------ -CITE- 18 USC Sec. 845 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 845. Exceptions; relief from disabilities -STATUTE- (a) Except in the case of subsections (d), (e), (f), (g), (h), and (i) of section 844 of this title, this chapter shall not apply to: (1) any aspect of the transportation of explosive materials via railroad, water, highway, or air which are regulated by the United States Department of Transportation and agencies thereof; (2) the use of explosive materials in medicines and medicinal agents in the forms prescribed by the official United States Pharmacopeia, or the National Formulary; (3) the transportation, shipment, receipt, or importation of explosive materials for delivery to any agency of the United States or to any State or political subdivision thereof; (4) small arms ammunition and components thereof; (5) commercially manufactured black powder in quantities not to exceed fifty pounds, percussion caps, safety and pyrotechnic fuses, quills, quick and slow matches, and friction primers, intended to be used solely for sporting, recreational, or cultural purposes in antique firearms as defined in section 921(a)(16) of title 18 of the United States Code, or in antique devices as exempted from the term 'destructive device' in section 921(a)(4) of title 18 of the United States Code; and (6) the manufacture under the regulation of the military department of the United States of explosive materials for, or their distribution to or storage or possession by the military or naval services or other agencies of the United States; or to arsenals, navy yards, depots, or other establishments owned by, or operated by or on behalf of, the United States. (b) A person who had been indicted for or convicted of a crime punishable by imprisonment for a term exceeding one year may make application to the Secretary for relief from the disabilities imposed by this chapter with respect to engaging in the business of importing, manufacturing, or dealing in explosive materials, or the purchase of explosive materials, and incurred by reason of such indictment or conviction, and the Secretary may grant such relief if it is established to his satisfaction that the circumstances regarding the indictment or conviction, and the applicant's record and reputation, are such that the applicant will not be likely to act in a manner dangerous to public safety and that the granting of the relief will not be contrary to the public interest. A licensee or permittee who makes application for relief from the disabilities incurred under this chapter by reason of indictment or conviction, shall not be barred by such indictment or conviction from further operations under his license or permit pending final action on an application for relief filed pursuant to this section. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15. 1970, 84 Stat. 958, and amended Pub. L. 93-639, Sec. 101, Jan. 4, 1975, 88 Stat. 2217.) -MISC1- AMENDMENTS 1975 - Subsec. (a)(5). Pub. L. 93-639 substituted provisions exempting commercially manufactured black powder in quantities not exceeding fifty pounds, percussion caps, safety and pyrotechnic fuses, quills, quick and slow matches, and friction primers, intended to be used solely for sporting, recreational, or cultural purposes in antique firearms or in antique devices for such exemption of black powder in quantities not exceeding five pounds. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 926 of this title; title 15 section 2052. ------DocID 24079 Document 321 of 1438------ -CITE- 18 USC Sec. 846 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 846. Additional powers of the Secretary -STATUTE- The Secretary is authorized to inspect the site of any accident, or fire, in which there is reason to believe that explosive materials were involved, in order that if any such incident has been brought about by accidental means, precautions may be taken to prevent similar accidents from occurring. In order to carry out the purpose of this subsection, the Secretary is authorized to enter into or upon any property where explosive materials have been used, are suspected of having been used, or have been found in an otherwise unauthorized location. Nothing in this chapter shall be construed as modifying or otherwise affecting in any way the investigative authority of any other Federal agency. In addition to any other investigatory authority they have with respect to violations of provisions of this chapter, the Attorney General and the Federal Bureau of Investigation, together with the Secretary, shall have authority to conduct investigations with respect to violations of subsection (d), (e), (f), (g), (h), or (i) of section 844 of this title. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 959.) -TRANS- TRANSFER OF FUNCTIONS For transfer of certain enforcement functions of Secretary or other official in Department of Treasury under this chapter to Federal Inspector, Office of Federal Inspector for the Alaska Natural Gas Transportation System, see Transfer of Functions note set out under section 841 of this title. ------DocID 24080 Document 322 of 1438------ -CITE- 18 USC Sec. 847 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 847. Rules and regulations -STATUTE- The administration of this chapter shall be vested in the Secretary. The Secretary may prescribe such rules and regulations as he deems reasonably necessary to carry out the provisions of this chapter. The Secretary shall give reasonable public notice, and afford to interested parties opportunity for hearing, prior to prescribing such rules and regulations. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 959.) -TRANS- TRANSFER OF FUNCTIONS For transfer of certain enforcement functions of Secretary or other official in Department of Treasury under this chapter to Federal Inspector, Office of Federal Inspector for the Alaska Natural Gas Transportation System, see Transfer of Functions note set out under section 841 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 842 of this title. ------DocID 24081 Document 323 of 1438------ -CITE- 18 USC Sec. 848 -EXPCITE- TITLE 18 PART I CHAPTER 40 -HEAD- Sec. 848. Effect on State law -STATUTE- No provision of this chapter shall be construed as indicating an intent on the part of the Congress to occupy the field in which such provision operates to the exclusion of the law of any State on the same subject matter, unless there is a direct and positive conflict between such provision and the law of the State so that the two cannot be reconciled or consistently stand together. -SOURCE- (Added Pub. L. 91-452, title XI, Sec. 1102(a), Oct. 15, 1970, 84 Stat. 959.) ------DocID 24082 Document 324 of 1438------ -CITE- 18 USC CHAPTER 41 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- CHAPTER 41 - EXTORTION AND THREATS -MISC1- Sec. 871. Threats against President and successors to the Presidency. 872. Extortion by officers or employees of the United States. 873. Blackmail. 874. Kickbacks from public works employees. 875. Interstate communications. 876. Mailing threatening communications. 877. Mailing threatening communications from foreign country. 878. Threats and extortion against foreign officials, official guests, or internationally protected persons. 879. Threats against former Presidents and certain other persons protected by the Secret Service. AMENDMENTS 1982 - Pub. L. 97-297, Sec. 1(b), Oct. 12, 1982, 96 Stat. 1317, added item 879. 1976 - Pub. L. 94-467, Sec. 9, Oct. 8, 1976, 90 Stat. 2001, added item 878. 1962 - Pub. L. 87-829, Sec. 2, Oct. 15, 1962, 76 Stat. 956, substituted 'and successors to the Presidency' for ', President-elect, and Vice President' in item 871. 1955 - Act June 1, 1955, ch. 115, Sec. 2, 69 Stat. 80, inserted 'President-elect, and Vice President' in item 871. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of extortion, see section 2516 of this title. ------DocID 24083 Document 325 of 1438------ -CITE- 18 USC Sec. 871 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 871. Threats against President and successors to the Presidency -STATUTE- (a) Whoever knowingly and willfully deposits for conveyance in the mail or for a delivery from any post office or by any letter carrier any letter, paper, writing, print, missive, or document containing any threat to take the life of, to kidnap, or to inflict bodily harm upon the President of the United States, the President-elect, the Vice President or other officer next in the order of succession to the office of President of the United States, or the Vice President-elect, or knowingly and willfully otherwise makes any such threat against the President, President-elect, Vice President or other officer next in the order of succession to the office of President, or Vice President-elect, shall be fined not more than $1,000 or imprisoned not more than five years, or both. (b) The terms 'President-elect' and 'Vice President-elect' as used in this section shall mean such persons as are the apparent successful candidates for the offices of President and Vice President, respectively, as ascertained from the results of the general elections held to determine the electors of President and Vice President in accordance with title 3, United States Code, sections 1 and 2. The phrase 'other officer next in the order of succession to the office of President' as used in this section shall mean the person next in the order of succession to act as President in accordance with title 3, United States Code, sections 19 and 20. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 740; June 1, 1955, ch. 115, Sec. 1, 69 Stat. 80; Oct. 15, 1962, Pub. L. 87-829, Sec. 1, 76 Stat. 956; Oct. 12, 1982, Pub. L. 97-297, Sec. 2, 96 Stat. 1318.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 89 (Feb. 14, 1917, ch. 64, 39 Stat. 919). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in phraseology. AMENDMENTS 1982 - Subsec. (a). Pub. L. 97-297 inserted ', to kidnap,' after 'containing any threat to take the life of'. 1962 - Pub. L. 87-829 designated existing provisions as subsec. (a), extended the provisions of such subsection to include any other officer next on the order of succession to the office of President and the Vice-President-elect, added subsec. (b), and substituted 'and successors to the Presidency' for ', President-elect, and Vice President' in section catchline. 1955 - Act June 1, 1955, included in section catchline and in text, provision for penalties for threats against the President-elect and the Vice President. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 879, 3056, 4247 of this title; title 8 section 1251. ------DocID 24084 Document 326 of 1438------ -CITE- 18 USC Sec. 872 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 872. Extortion by officers or employees of the United States -STATUTE- Whoever, being an officer, or employee of the United States or any department or agency thereof, or representing himself to be or assuming to act as such, under color or pretense of office or employment commits or attempts an act of extortion, shall be fined not more than $5,000 or imprisoned not more than three years, or both; but if the amount so extorted or demanded does not exceed $100, he shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 740; Oct. 31, 1951, ch. 655, Sec. 24(b), 65 Stat. 720.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 171 (Mar. 4, 1909, ch. 321, Sec. 85, 35 Stat. 1104). Words 'or any department or agency' were inserted to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) The punishment provided by section 171 of title 18, U.S.C., 1940 ed., of fine of not more than $500 or imprisonment of not more than 1 year, or both, was increased for offenses involving more than $100 to conform to Congressional policy reflected in later Acts. See section 4047(e)(1) of title 26, U.S.C., 1940 ed., Internal Revenue Code, and the punishment provision following paragraph (10) of said subsection. AMENDMENTS 1951 - Act Oct. 31, 1951, changed punctuation to make section applicable not only to persons falsely representing themselves as Federal officers or employees at the time of extortion or the attempt thereof, but also to Federal officers and employees who attempt or commit extortion under color of office or employment. -CROSS- CROSS REFERENCES Extortion by revenue officer or agent, see section 7214 of Title 26, Internal Revenue Code. ------DocID 24085 Document 327 of 1438------ -CITE- 18 USC Sec. 873 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 873. Blackmail -STATUTE- Whoever, under a threat of informing, or as a consideration for not informing, against any violation of any law of the United States, demands or receives any money or other valuable thing, shall be fined not more than $2,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 740.) -MISC1- HISTORICAL AND REVISION NOTES Based upon title 18, U.S.C., 1940 ed., Sec. 250 (Mar. 4, 1909, ch. 321, Sec. 145, 35 Stat. 1114). Only minor changes were made in phraseology. ------DocID 24086 Document 328 of 1438------ -CITE- 18 USC Sec. 874 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 874. Kickbacks from public works employees -STATUTE- Whoever, by force, intimidation, or threat of procuring dismissal from employment, or by any other manner whatsoever induces any person employed in the construction, prosecution, completion or repair of any public building, public work, or building or work financed in whole or in part by loans or grants from the United States, to give up any part of the compensation to which he is entitled under his contract of employment, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 740.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 276b of title 40, U.S.C., 1940 ed., Public Buildings, Property, and Works (June 13, 1934, ch. 482, Sec. 1, 48 Stat. 948). Slight changes of phraseology were made. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 29 section 1111; title 42 section 1592i. ------DocID 24087 Document 329 of 1438------ -CITE- 18 USC Sec. 875 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 875. Interstate communications -STATUTE- (a) Whoever transmits in interstate or foreign commerce any communication containing any demand or request for a ransom or reward for the release of any kidnapped person, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. (b) Whoever, with intent to extort from any person, firm, association, or corporation, any money or other thing of value, transmits in interstate or foreign commerce any communication containing any threat to kidnap any person or any threat to injure the person of another, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. (c) Whoever transmits in interstate or foreign commerce any communication containing any threat to kidnap any person or any threat to injure the person of another, shall be fined not more than $1,000 or imprisoned not more than five years, or both. (d) Whoever, with intent to extort from any person, firm, association, or corporation, any money or other thing of value, transmits in interstate or foreign commerce any communication containing any threat to injure the property or reputation of the addressee or of another or the reputation of a deceased person or any threat to accuse the addressee or any other person of a crime, shall be fined not more than $500 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 741; Nov. 10, 1986, Pub. L. 99-646, Sec. 63, 100 Stat. 3614.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408d (May 18, 1934, ch. 300, 48 Stat. 781; May 15, 1939, ch. 133, Sec. 2, 53 Stat. 743). Provisions as to district of trial were omitted as covered by sections 3237 and 3239 of this title. Definition of 'interstate commerce' was omitted in conformity with definitive section 10 of this title. Changes were made in phraseology and arrangement. AMENDMENTS 1986 - Pub. L. 99-646 inserted 'or foreign' after 'interstate' wherever appearing. -CROSS- CROSS REFERENCES Venue, see section 3237 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 24088 Document 330 of 1438------ -CITE- 18 USC Sec. 876 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 876. Mailing threatening communications -STATUTE- Whoever knowingly deposits in any post office or authorized depository for mail matter, to be sent or delivered by the Postal Service or knowingly causes to be delivered by the Postal Service according to the direction thereon, any communication, with or without a name or designating mark subscribed thereto, addressed to any other person, and containing any demand or request for ransom or reward for the release of any kidnaped person, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. Whoever, with intent to extort from any person any money or other thing of value, so deposits, or causes to be delivered, as aforesaid, any communication containing any threat to kidnap any person or any threat to injure the person of the addressee or of another, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. Whoever knowingly so deposits or causes to be delivered as aforesaid, any communication with or without a name or designating mark subscribed thereto, addressed to any other person and containing any threat to kidnap any person or any threat to injure the person of the addressee or of another, shall be fined not more than $1,000 or imprisoned not more than five years, or both. Whoever, with intent to extort from any person any money or other thing of value, knowingly so deposits or causes to be delivered, as aforesaid, any communication, with or without a name or designating mark subscribed thereto, addressed to any other person and containing any threat to injure the property or reputation of the addressee or of another, or the reputation of a deceased person, or any threat to accuse the addressee or any other person of a crime, shall be fined not more than $500 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 741; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(7), 84 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 338a (July 8, 1932, ch. 464, Sec. 1, 47 Stat. 649; June 28, 1935, ch. 326, 49 Stat. 427; May 15, 1939, ch. 133, Sec. 1, 53 Stat. 742). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Provisions as to district of trial were omitted as covered by sections 3237 and 3239 of this title. Changes in phraseology and arrangement were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Post Office Department' in two places in first par. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Venue, see section 3237 of this title. ------DocID 24089 Document 331 of 1438------ -CITE- 18 USC Sec. 877 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 877. Mailing threatening communications from foreign country -STATUTE- Whoever knowingly deposits in any post office or authorized depository for mail matter of any foreign country any communication addressed to any person within the United States, for the purpose of having such communication delivered by the post office establishment of such foreign country to the Postal Service and by it delivered to such addressee in the United States, and as a result thereof such communication is delivered by the post office establishment of such foreign country to the Postal Service and by it delivered to the address to which it is directed in the United States, and containing any demand or request for ransom or reward for the release of any kidnaped person, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. Whoever, with intent to extort from any person any money or other thing of value, so deposits as aforesaid, any communication for the purpose aforesaid, containing any threat to kidnap any person or any threat to injure the person of the addressee or of another, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. Whoever knowingly so deposits as aforesaid, any communication, for the purpose aforesaid, containing any threat to kidnap any person or any threat to injure the person of the addressee or of another, shall be fined not more than $1,000 or imprisoned not more than five years, or both. Whoever, with intent to extort from any person any money or other thing of value, knowingly so deposits as aforesaid, any communication, for the purpose aforesaid, containing any threat to injure the property or reputation of the addressee or of another, or the reputation of a deceased person, or any threat to accuse the addressee or any other person of a crime, shall be fined not more than $500 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 741; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(8), 84 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 338b (July 8, 1932, ch. 464, Sec. 2, 47 Stat. 649; May 15, 1939, ch. 133, Sec. 1, 53 Stat. 742). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Provisions as to district of trial were omitted as covered by sections 3237 and 3239 of this title. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Post Office Department of the United States' in two places in first par. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Venue, see section 3237 of this title. ------DocID 24090 Document 332 of 1438------ -CITE- 18 USC Sec. 878 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 878. Threats and extortion against foreign officials, official guests, or internationally protected persons -STATUTE- (a) Whoever knowingly and willfully threatens to violate section 112, 1116, or 1201 by killing, kidnapping, or assaulting a foreign official, official guest, or internationally protected person shall be fined not more than $5,000 or imprisoned not more than five years, or both, except that imprisonment for a threatened assault shall not exceed three years. (b) Whoever in connection with any violation of subsection (a) or actual violation of section 112, 1116, or 1201 makes any extortionate demand shall be fined not more than $20,000 or imprisoned not more than twenty years, or both. (c) For the purpose of this section 'foreign official', 'internationally protected person', and 'official guest' shall have the same meanings as those provided in section 1116(a) of this title. (d) If the victim of an offense under subsection (a) is an internationally protected person, the United States may exercise jurisdiction over the offense if the alleged offender is present within the United States, irrespective of the place where the offense was committed or the nationality of the victim or the alleged offender. As used in this subsection, the United States includes all areas under the jurisdiction of the United States including any of the places within the provisions of sections 5 and 7 of this title and section 101(38) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(38)). -SOURCE- (Added Pub. L. 94-467, Sec. 8, Oct. 8, 1976, 90 Stat. 2000, and amended Pub. L. 95-163, Sec. 17(b)(1), Nov. 9, 1977, 91 Stat. 1286; Pub. L. 95-504, Sec. 2(b), Oct. 24, 1978, 92 Stat. 1705.) -REFTEXT- REFERENCES IN TEXT Section 101(38) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(38)), referred to in subsec. (d), is classified to section 1301(38) of Title 49, Appendix, Transportation. -MISC2- AMENDMENTS 1978 - Subsec. (d). Pub. L. 95-504 substituted reference to section 101(38) of the Federal Aviation Act of 1958 for reference to section 101(35) of such Act. 1977 - Subsec. (d). Pub. L. 95-163 substituted reference to section 101(35) of the Federal Aviation Act of 1958 for reference to section 101(34) of such Act. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 11 of this title. ------DocID 24091 Document 333 of 1438------ -CITE- 18 USC Sec. 879 -EXPCITE- TITLE 18 PART I CHAPTER 41 -HEAD- Sec. 879. Threats against former Presidents and certain other persons protected by the Secret Service -STATUTE- (a) Whoever knowingly and willfully threatens to kill, kidnap, or inflict bodily harm upon - (1) a former President or a member of the immediate family of a former President; (2) a member of the immediate family of the President, the President-elect, the Vice President, or the Vice President-elect; or (3) a major candidate for the office of President or Vice President, or the spouse of such candidate; who is protected by the Secret Service as provided by law, shall be fined not more than $1,000 or imprisoned not more than three years, or both. (b) As used in this section - (1) the term 'immediate family' means - (A) with respect to subsection (a)(1) of this section, the wife of a former President during his lifetime, the widow of a former President until her death or remarriage, and minor children of a former President until they reach sixteen years of age; and (B) with respect to subsection (a)(2) of this section, a person to whom the President, President-elect, Vice President, or Vice President-elect - (i) is related by blood, marriage, or adoption; or (ii) stands in loco parentis; (2) the term 'major candidate for the office of President or Vice President' means a candidate referred to in subsection (a)(7) of section 3056 of this title; and (3) the terms 'President-elect' and 'Vice President-elect' have the meanings given those terms in section 871(b) of this title. -SOURCE- (Added Pub. L. 97-297, Sec. 1(a), Oct. 12, 1982, 96 Stat. 1317, and amended Pub. L. 98-587, Sec. 3(a), Oct. 30, 1984, 98 Stat. 3111.) -MISC1- AMENDMENTS 1984 - Subsec. (b)(2). Pub. L. 98-587 substituted 'subsection (a)(7) of section 3056 of this title' for 'the first section of the joint resolution entitled 'Joint resolution to authorize the United States Secret Service to furnish protection to major Presidential or Vice Presidential candidates', approved June 6, 1968 (18 U.S.C. 3056 note)'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3056, 4247 of this title. ------DocID 24092 Document 334 of 1438------ -CITE- 18 USC CHAPTER 42 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- CHAPTER 42 - EXTORTIONATE CREDIT TRANSACTIONS -MISC1- Sec. 891. Definitions and rules of construction. 892. Making extortionate extensions of credit. 893. Financing extortionate extensions of credit. 894. Collection of extensions of credit by extortionate means. (895. Repealed.) 896. Effect on State laws. AMENDMENTS 1970 - Pub. L. 91-452, title II, Sec. 223(b), Oct. 15, 1970, 84 Stat. 929, struck out item 895 'Immunity of witnesses'. 1968 - Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 159, added chapter 42 and items 891 to 896. ------DocID 24093 Document 335 of 1438------ -CITE- 18 USC Sec. 891 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- Sec. 891. Definitions and rules of construction -STATUTE- For the purposes of this chapter: (1) To extend credit means to make or renew any loan, or to enter into any agreement, tacit or express, whereby the repayment or satisfaction of any debt or claim, whether acknowledged or disputed, valid or invalid, and however arising, may or will be deferred. (2) The term 'creditor', with reference to any given extension of credit, refers to any person making that extension of credit, or to any person claiming by, under, or through any person making that extension of credit. (3) The term 'debtor', with reference to any given extension of credit, refers to any person to whom that extension of credit is made, or to any person who guarantees the repayment of that extension of credit, or in any manner undertakes to indemnify the creditor against loss resulting from the failure of any person to whom that extension of credit is made to repay the same. (4) The repayment of any extension of credit includes the repayment, satisfaction, or discharge in whole or in part of any debt or claim, acknowledged or disputed, valid or invalid, resulting from or in connection with that extension of credit. (5) To collect an extension of credit means to induce in any way any person to make repayment thereof. (6) An extortionate extension of credit is any extension of credit with respect to which it is the understanding of the creditor and the debtor at the time it is made that delay in making repayment or failure to make repayment could result in the use of violence or other criminal means to cause harm to the person, reputation, or property of any person. (7) An extortionate means is any means which involves the use, or an express or implicit threat of use, of violence or other criminal means to cause harm to the person, reputation, or property of any person. (8) The term 'State' includes the District of Columbia, the Commonwealth of Puerto Rico, and territories and possessions of the United States. (9) State law, including conflict of laws rules, governing the enforceability through civil judicial processes of repayment of any extension of credit or the performance of any promise given in consideration thereof shall be judicially noticed. This paragraph does not impair any authority which any court would otherwise have to take judicial notice of any matter of State law. -SOURCE- (Added Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 160.) -MISC1- EFFECTIVE DATE Chapter effective May 29, 1968, see section 504(a) of Pub. L. 90-321. CONGRESSIONAL FINDINGS AND DECLARATION OF PURPOSE Section 201 of Pub. L. 90-321 provided that: '(a) The Congress makes the following findings: '(1) Organized crime is interstate and international in character. Its activities involve many billions of dollars each year. It is directly responsible for murders, willful injuries to person and property, corruption of officials, and terrorization of countless citizens. A substantial part of the income of organized crime is generated by extortionate credit transactions. '(2) Extortionate credit transactions are characterized by the use, or the express or implicit threat of the use, of violence or other criminal means to cause harm to person, reputation, or property as a means of enforcing repayment. Among the factors which have rendered past efforts at prosecution almost wholly ineffective has been the existence of exclusionary rules of evidence stricter than necessary for the protection of constitutional rights. '(3) Extortionate credit transactions are carried on to a substantial extent in interstate and foreign commerce and through the means and instrumentalities of such commerce. Even where extortionate credit transactions are purely intrastate in character, they nevertheless directly affect interstate and foreign commerce. '(4) Extortionate credit transactions directly impair the effectiveness and frustrate the purposes of the laws enacted by the Congress on the subject of bankruptcies. '(b) On the basis of the findings stated in subsection (a) of this section, the Congress determines that the provisions of chapter 42 of title 18 of the United States Code are necessary and proper for the purpose of carrying into execution the powers of Congress to regulate commerce and to establish uniform and effective laws on the subject of bankruptcy.' ANNUAL REPORT TO CONGRESS BY ATTORNEY GENERAL Section 203 of Pub. L. 90-321, which directed Attorney General to make an annual report to Congress of activities of Department of Justice in enforcement of this chapter, was repealed by Pub. L. 97-375, title I, Sec. 109(b), Dec. 21, 1982, 96 Stat. 1820. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title. ------DocID 24094 Document 336 of 1438------ -CITE- 18 USC Sec. 892 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- Sec. 892. Making extortionate extensions of credit -STATUTE- (a) Whoever makes any extortionate extension of credit, or conspires to do so, shall be fined not more than $10,000 or imprisoned not more than 20 years, or both. (b) In any prosecution under this section, if it is shown that all of the following factors were present in connection with the extension of credit in question, there is prima facie evidence that the extension of credit was extortionate, but this subsection is nonexclusive and in no way limits the effect or applicability of subsection (a): (1) The repayment of the extension of credit, or the performance of any promise given in consideration thereof, would be unenforceable, through civil judicial processes against the debtor (A) in the jurisdiction within which the debtor, if a natural person, resided or (B) in every jurisdiction within which the debtor, if other than a natural person, was incorporated or qualified to do business at the time the extension of credit was made. (2) The extension of credit was made at a rate of interest in excess of an annual rate of 45 per centum calculated according to the actuarial method of allocating payments made on a debt between principal and interest, pursuant to which a payment is applied first to the accumulated interest and the balance is applied to the unpaid principal. (3) At the time the extension of credit was made, the debtor reasonably believed that either (A) one or more extensions of credit by the creditor had been collected or attempted to be collected by extortionate means, or the nonrepayment thereof had been punished by extortionate means; or (B) the creditor had a reputation for the use of extortionate means to collect extensions of credit or to punish the nonrepayment thereof. (4) Upon the making of the extension of credit, the total of the extensions of credit by the creditor to the debtor then outstanding, including any unpaid interest or similar charges, exceeded $100. (c) In any prosecution under this section, if evidence has been introduced tending to show the existence of any of the circumstances described in subsection (b)(1) or (b)(2), and direct evidence of the actual belief of the debtor as to the creditor's collection practices is not available, then for the purpose of showing the understanding of the debtor and the creditor at the time the extension of credit was made, the court may in its discretion allow evidence to be introduced tending to show the reputation as to collection practices of the creditor in any community of which the debtor was a member at the time of the extension. -SOURCE- (Added Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 160.) -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 894, 1961, 2516 of this title. ------DocID 24095 Document 337 of 1438------ -CITE- 18 USC Sec. 893 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- Sec. 893. Financing extortionate extensions of credit -STATUTE- Whoever willfully advances money or property, whether as a gift, as a loan, as an investment, pursuant to a partnership or profit-sharing agreement, or otherwise, to any person, with reasonable grounds to believe that it is the intention of that person to use the money or property so advanced directly or indirectly for the purpose of making extortionate extensions of credit, shall be fined not more than $10,000 or an amount not exceeding twice the value of the money or property so advanced, whichever is greater, or shall be imprisoned not more than 20 years, or both. -SOURCE- (Added Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 161.) -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24096 Document 338 of 1438------ -CITE- 18 USC Sec. 894 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- Sec. 894. Collection of extensions of credit by extortionate means -STATUTE- (a) Whoever knowingly participates in any way, or conspires to do so, in the use of any extortionate means (1) to collect or attempt to collect any extension of credit, or (2) to punish any person for the nonrepayment thereof, shall be fined not more than $10,000 or imprisoned not more than 20 years, or both. (b) In any prosecution under this section, for the purpose of showing an implicit threat as a means of collection, evidence may be introduced tending to show that one or more extensions of credit by the creditor were, to the knowledge of the person against whom the implicit threat was alleged to have been made, collected or attempted to be collected by extortionate means or that the nonrepayment thereof was punished by extortionate means. (c) In any prosecution under this section, if evidence has been introduced tending to show the existence, at the time the extension of credit in question was made, of the circumstances described in section 892(b)(1) or the circumstances described in section 892(b)(2), and direct evidence of the actual belief of the debtor as to the creditor's collection practices is not available, then for the purpose of showing that words or other means of communication, shown to have been employed as a means of collection, in fact carried an express or implicit threat, the court may in its discretion allow evidence to be introduced tending to show the reputation of the defendant in any community of which the person against whom the alleged threat was made was a member at the time of the collection or attempt at collection. -SOURCE- (Added Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 161.) -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24097 Document 339 of 1438------ -CITE- 18 USC Sec. 895 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- (Sec. 895. Repealed. Pub. L. 91-452, title II, Sec. 223(a), Oct. 15, 1970, 84 Stat. 929) -MISC1- Section, Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 162, related to immunity from prosecution of any witness compelled to testify or produce evidence after claiming his privilege against self-incrimination. See section 6001 et seq. of this title. EFFECTIVE DATE OF REPEAL Repeal effective on sixtieth day following Oct. 15, 1970, and not to affect any immunity to which any individual was entitled under this section by reason of any testimony given before sixtieth day following Oct. 15, 1970, see section 260 of Pub. L. 91-452, set out as an Effective Date; Savings Provision note under section 6001 of this title. ------DocID 24098 Document 340 of 1438------ -CITE- 18 USC Sec. 896 -EXPCITE- TITLE 18 PART I CHAPTER 42 -HEAD- Sec. 896. Effect on State laws -STATUTE- This chapter does not preempt any field of law with respect to which State legislation would be permissible in the absence of this chapter. No law of any State which would be valid in the absence of this chapter may be held invalid or inapplicable by virtue of the exist-ence of this chapter, and no officer, agency, or instrumentality of any State may be deprived by virtue of this chapter of any jurisdiction over any offense over which it would have jurisdiction in the absence of this chapter. -SOURCE- (Added Pub. L. 90-321, title II, Sec. 202(a), May 29, 1968, 82 Stat. 162.) ------DocID 24099 Document 341 of 1438------ -CITE- 18 USC CHAPTER 43 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- CHAPTER 43 - FALSE PERSONATION -MISC1- Sec. 911. Citizen of the United States. 912. Officer or employee of the United States. 913. Impersonator making arrest or search. 914. Creditors of the United States. 915. Foreign diplomats, consuls or officers. 916. 4-H Club members or agents. 917. Red Cross members or agents. -CROSS- CROSS REFERENCES Naturalization proceedings; false personation or misuse of papers, see section 1424 of this title. Visas and permits; false personation, see section 1546 of this title. ------DocID 24100 Document 342 of 1438------ -CITE- 18 USC Sec. 911 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 911. Citizen of the United States -STATUTE- Whoever falsely and willfully represents himself to be a citizen of the United States shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 742.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsection (a), paragraph (18) and subsection (d), of section 746, title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a), par. (18), and (d), 54 Stat. 1165, 1167). Section consolidates said provisions of section 746, title 8, U.S.C., 1940 ed., Aliens and Nationality. The word 'willfully' was substituted for 'knowingly', '$1,000' for '$5,000', and 'three years' for 'five years', to harmonize with congressional intent evidenced by the other sections of this chapter. Minor changes were made in phraseology and unnecessary words were omitted. -CROSS- CROSS REFERENCES Certificate of citizenship - Penalty for misuse of, see section 1423 of this title. Procurement unlawfully, see section 1425 of this title. Sale or disposal, see section 1427 of this title. Surrender of canceled certificate, see section 1428 of this title. Citizenship - Counterfeiting papers, see section 1426 of this title. Misuse of papers in proceeding relating to, see section 1424 of this title. Penalty for demanding or receiving additional fees, see section 1422 of this title. Penalty for false statements in matters relating to, see section 1015 of this title. Limitations; offenses not capital, see section 3282 of this title. Visas and permits, false personation, see section 1546 of this title. ------DocID 24101 Document 343 of 1438------ -CITE- 18 USC Sec. 912 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 912. Officer or employee of the United States -STATUTE- Whoever falsely assumes or pretends to be an officer or employee acting under the authority of the United States or any department, agency or officer thereof, and acts as such, or in such pretended character demands or obtains any money, paper, document, or thing of value, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 742.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 76 and 123 (Mar. 4, 1909, ch. 321, Sec. 32 and 66, 35 Stat. 1095, 1100; Feb. 28, 1938, ch. 37, 52 Stat. 82). Section consolidates sections 76 and 123 of title 18, U.S.C., 1940 ed. The effect of this consolidation was to increase the punishment for revenue officers from $500 to $1,000 and from 2 years to 3 years, and to rephrase in the alternative the mandatory punishment provision. This section now applies the same punishment to all officers and agents of the United States found guilty of false personation. Words 'agency or' were inserted to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) Other words referring to 'authority of any corporation owned or controlled by the United States' were omitted for the same reason. (See Pierce v. U.S., 1941, 62 S. Ct. 237, 314 U.S. 306, 86 L. Ed. 226.) The words 'with the intent to defraud the United States or any person', contained in said section 76 of title 18, U.S.C., 1940 ed., were omitted as meaningless in view of United States v. Lapowich, 63 S. Ct. 914. Changes were made in phraseology. ------DocID 24102 Document 344 of 1438------ -CITE- 18 USC Sec. 913 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 913. Impersonator making arrest or search -STATUTE- Whoever falsely represents himself to be an officer, agent, or employee of the United States, and in such assumed character arrests or detains any person or in any manner searches the person, buildings, or other property of any person, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 742.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 77a (Aug. 27, 1935, ch. 740, Sec. 201, 49 Stat. 877). Words 'shall be deemed guilty of a misdemeanor' were omitted. (See definitive section 1 of this title.) Words 'and upon conviction thereof' preceding 'shall be' were omitted as surplusage since punishment cannot be imposed until conviction is secured. Maximum imprisonment provision was changed from 1 year to 3 years so as to be consistent with sections 911 and 912 of this title, the latter having also been changed to 3 years. There is no sound reason why a uniform punishment should not be prescribed for the offenses defined in these three sections. Changes were made in phraseology. ------DocID 24103 Document 345 of 1438------ -CITE- 18 USC Sec. 914 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 914. Creditors of the United States -STATUTE- Whoever falsely personates any true and lawful holder of any share or sum in the public stocks or debt of the United States, or any person entitled to any annuity, dividend, pension, wages, or other debt due from the United States, and, under color of such false personation, transfers or endeavors to transfer such public stock or any part thereof, or receives or endeavors to receive the money of such true and lawful holder thereof, or the money of any person really entitled to receive such annuity, dividend, pension, wages, or other debt, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 742.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 78 (Mar. 4, 1909, ch. 321, Sec. 33, 35 Stat. 1095). Words 'prize money' after 'pension' were deleted as repealed by act Mar. 3, 1899, ch. 413, 30 Stat. 1007, repealing all laws authorizing prize money distribution. Mandatory punishment was rephrased in the alternative. In the punishment provision the words 'five years' were substituted for 'ten years' to harmonize it with the punishment provisions in sections 287 and 1001 of this title, covering similar offenses. (See reviser's note under section 287 of this title.) ------DocID 24104 Document 346 of 1438------ -CITE- 18 USC Sec. 915 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 915. Foreign diplomats, consuls or officers -STATUTE- Whoever, with intent to defraud within the United States, falsely assumes or pretends to be a diplomatic, consular or other official of a foreign government duly accredited as such to the United States and acts as such, or in such pretended character, demands or obtains or attempts to obtain any money, paper, document, or other thing of value, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 743.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 232 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title VIII, Sec. 2, 40 Stat. 226; Mar. 28, 1940, ch. 72, Sec. 6, 54 Stat. 80). Reference to 'jurisdiction' of the United States was omitted as unnecessary in view of definition of 'United States' in section 5 of this title. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 24105 Document 347 of 1438------ -CITE- 18 USC Sec. 916 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 916. 4-H Club members or agents -STATUTE- Whoever, falsely and with intent to defraud, holds himself out as or represents or pretends himself to be a member of, associated with, or an agent or representative for the 4-H clubs, an organization established by the Extension Service of the United States Department of Agriculture and the land grant colleges, shall be fined not more than $300 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 743.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 76c (June 5, 1939, ch. 184, Sec. 1, 53 Stat. 809). Section 76c of title 18, U.S.C., 1940 ed., was incorporated in this section and section 707 of this title. Reference to offense as a misdemeanor was omitted in view of definitive section 1 of this title. Words 'upon conviction thereof' were omitted, since criminal punishment can follow only after conviction. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES 4-H Club emblem fraudulently used, penalty, see section 707 of this title. ------DocID 24106 Document 348 of 1438------ -CITE- 18 USC Sec. 917 -EXPCITE- TITLE 18 PART I CHAPTER 43 -HEAD- Sec. 917. Red Cross members or agents -STATUTE- Whoever, within the United States, falsely or fraudulently holds himself out as or represents or pretends himself to be a member of or an agent for the American National Red Cross for the purpose of soliciting, collecting, or receiving money or material, shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 743.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 4 of title 36, U.S.C., 1940 ed., Patriotic Societies and Observances (Jan. 5, 1905, ch. 23, Sec. 4, 33 Stat. 600; June 23, 1910, ch. 372, Sec. 1, 36 Stat. 604). Section 4 of title 36, U.S.C., 1940 ed., Patriotic Societies and Observances, was divided into this section and section 706 of this title. Reference to 'jurisdiction' of the United States was omitted as unnecessary in view of definition of 'United States' in section 5 of this title. Reference to offense as a misdemeanor was omitted in view of definitive section 1 of this title. Words 'upon conviction thereof' were omitted as punishment cannot be imposed until conviction is secured. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Red Cross, fraudulent wearing or display of sign of, see section 706 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24107 Document 349 of 1438------ -CITE- 18 USC CHAPTER 44 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- CHAPTER 44 - FIREARMS -MISC1- Sec. 921. Definitions. 922. Unlawful acts. 923. Licensing. 924. Penalties. 925. Exceptions: Relief from disabilities. 926. Rules and regulations. 926A. Interstate transportation of firearms. 927. Effect on State law. 928. Separability. 929. Use of restricted ammunition. 930. Possession of firearms and dangerous weapons in Federal facilities. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3523, Nov. 29, 1990, 104 Stat. 4924, struck out 'clause' after 'Separability' in item 928. 1988 - Pub. L. 100-690, title VI, Sec. 6215(b), Nov. 18, 1988, 102 Stat. 4362, added item 930. 1986 - Pub. L. 99-308, Sec. 107(b), May 19, 1986, 100 Stat. 460, added item 926A. 1984 - Pub. L. 98-473, title II, Sec. 1006(b), Oct. 12, 1984, 98 Stat. 2139, added item 929. 1968 - Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1214, reenacted chapter analysis without change. Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 226, added chapter 44 and items 921 to 928. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 922 of this title; title 26 section 4182; title 42 section 3795. ------DocID 24108 Document 350 of 1438------ -CITE- 18 USC Sec. 921 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 921. Definitions -STATUTE- (a) As used in this chapter - (1) The term 'person' and the term 'whoever' include any individual, corporation, company, association, firm, partnership, society, or joint stock company. (2) The term 'interstate or foreign commerce' includes commerce between any place in a State and any place outside of that State, or within any possession of the United States (not including the Canal Zone) or the District of Columbia, but such term does not include commerce between places within the same State but through any place outside of that State. The term 'State' includes the District of Columbia, the Commonwealth of Puerto Rico, and the possessions of the United States (not including the Canal Zone). (3) The term 'firearm' means (A) any weapon (including a starter gun) which will or is designed to or may readily be converted to expel a projectile by the action of an explosive; (B) the frame or receiver of any such weapon; (C) any firearm muffler or firearm silencer; or (D) any destructive device. Such term does not include an antique firearm. (4) The term 'destructive device' means - (A) any explosive, incendiary, or poison gas - (i) bomb, (ii) grenade, (iii) rocket having a propellant charge of more than four ounces, (iv) missile having an explosive or incendiary charge of more than one-quarter ounce, (v) mine, or (vi) device similar to any of the devices described in the preceding clauses; (B) any type of weapon (other than a shotgun or a shotgun shell which the Secretary finds is generally recognized as particularly suitable for sporting purposes) by whatever name known which will, or which may be readily converted to, expel a projectile by the action of an explosive or other propellant, and which has any barrel with a bore of more than one-half inch in diameter; and (C) any combination of parts either designed or intended for use in converting any device into any destructive device described in subparagraph (A) or (B) and from which a destructive device may be readily assembled. The term 'destructive device' shall not include any device which is neither designed nor redesigned for use as a weapon; any device, although originally designed for use as a weapon, which is redesigned for use as a signaling, pyrotechnic, line throwing, safety, or similar device; surplus ordnance sold, loaned, or given by the Secretary of the Army pursuant to the provisions of section 4684(2), 4685, or 4686 of title 10; or any other device which the Secretary of the Treasury finds is not likely to be used as a weapon, is an antique, or is a rifle which the owner intends to use solely for sporting, recreational or cultural purposes. (5) The term 'shotgun' means a weapon designed or redesigned, made or remade, and intended to be fired from the shoulder and designed or redesigned and made or remade to use the energy of the explosive in a fixed shotgun shell to fire through a smooth bore either a number of ball shot or a single projectile for each single pull of the trigger. (6) The term 'short-barreled shotgun' means a shotgun having one or more barrels less than eighteen inches in length and any weapon made from a shotgun (whether by alteration, modification or otherwise) if such a weapon as modified has an overall length of less than twenty-six inches. (7) The term 'rifle' means a weapon designed or redesigned, made or remade, and intended to be fired from the shoulder and designed or redesigned and made or remade to use the energy of the explosive in a fixed metallic cartridge to fire only a single projectile through a rifled bore for each single pull of the trigger. (8) The term 'short-barreled rifle' means a rifle having one or more barrels less than sixteen inches in length and any weapon made from a rifle (whether by alteration, modification, or otherwise) if such weapon, as modified, has an overall length of less than twenty-six inches. (9) The term 'importer' means any person engaged in the business of importing or bringing firearms or ammunition into the United States for purposes of sale or distribution; and the term 'licensed importer' means any such person licensed under the provisions of this chapter. (10) The term 'manufacturer' means any person engaged in the business of manufacturing firearms or ammunition for purposes of sale or distribution; and the term 'licensed manufacturer' means any such person licensed under the provisions of this chapter. (11) The term 'dealer' means (A) any person engaged in the business of selling firearms at wholesale or retail, (B) any person engaged in the business of repairing firearms or of making or fitting special barrels, stocks, or trigger mechanisms to firearms, or (C) any person who is a pawnbroker. The term 'licensed dealer' means any dealer who is licensed under the provisions of this chapter. (12) The term 'pawnbroker' means any person whose business or occupation includes the taking or receiving, by way of pledge or pawn, of any firearm as security for the payment or repayment of money. (13) The term 'collector' means any person who acquires, holds, or disposes of firearms as curios or relics, as the Secretary shall by regulation define, and the term 'licensed collector' means any such person licensed under the provisions of this chapter. (14) The term 'indictment' includes an indictment or information in any court under which a crime punishable by imprisonment for a term exceeding one year may be prosecuted. (15) The term 'fugitive from justice' means any person who has fled from any State to avoid prosecution for a crime or to avoid giving testimony in any criminal proceeding. (16) The term 'antique firearm' means - (A) any firearm (including any firearm with a matchlock, flintlock, percussion cap, or similar type of ignition system) manufactured in or before 1898; and (B) any replica of any firearm described in subparagraph (A) if such replica - (i) is not designed or redesigned for using rimfire or conventional centerfire fixed ammunition, or (ii) uses rimfire or conventional centerfire fixed ammunition which is no longer manufactured in the United States and which is not readily available in the ordinary channels of commercial trade. (17)(A) The term 'ammunition' means ammunition or cartridge cases, primers, bullets, or propellent powder designed for use in any firearm. (B) The term 'armor piercing ammunition' means a projectile or projectile core which may be used in a handgun and which is constructed entirely (excluding the presence of traces of other substances) from one or a combination of tungsten alloys, steel, iron, brass, bronze, beryllium copper, or depleted uranium. Such term does not include shotgun shot required by Federal or State environmental or game regulations for hunting purposes, a frangible projectile designed for target shooting, a projectile which the Secretary finds is primarily intended to be used for sporting purposes, or any other projectile or projectile core which the Secretary finds is intended to be used for industrial purposes, including a charge used in an oil and gas well perforating device. (18) The term 'Secretary' or 'Secretary of the Treasury' means the Secretary of the Treasury or his delegate. (19) The term 'published ordinance' means a published law of any political subdivision of a State which the Secretary determines to be relevant to the enforcement of this chapter and which is contained on a list compiled by the Secretary, which list shall be published in the Federal Register, revised annually, and furnished to each licensee under this chapter. (20) The term 'crime punishable by imprisonment for a term exceeding one year' does not include - (A) any Federal or State offenses pertaining to antitrust violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of business practices, or (B) any State offense classified by the laws of the State as a misdemeanor and punishable by a term of imprisonment of two years or less. What constitutes a conviction of such a crime shall be determined in accordance with the law of the jurisdiction in which the proceedings were held. Any conviction which has been expunged, or set aside or for which a person has been pardoned or has had civil rights restored shall not be considered a conviction for purposes of this chapter, unless such pardon, expungement, or restoration of civil rights expressly provides that the person may not ship, transport, possess, or receive firearms. (21) The term 'engaged in the business' means - (A) as applied to a manufacturer of firearms, a person who devotes time, attention, and labor to manufacturing firearms as a regular course of trade or business with the principal objective of livelihood and profit through the sale or distribution of the firearms manufactured; (B) as applied to a manufacturer of ammunition, a person who devotes time, attention, and labor to manufacturing ammunition as a regular course of trade or business with the principal objective of livelihood and profit through the sale or distribution of the ammunition manufactured; (C) as applied to a dealer in firearms, as defined in section 921(a)(11)(A), a person who devotes time, attention, and labor to dealing in firearms as a regular course of trade or business with the principal objective of livelihood and profit through the repetitive purchase and resale of firearms, but such term shall not include a person who makes occasional sales, exchanges, or purchases of firearms for the enhancement of a personal collection or for a hobby, or who sells all or part of his personal collection of firearms; (D) as applied to a dealer in firearms, as defined in section 921(a)(11)(B), a person who devotes time, attention, and labor to engaging in such activity as a regular course of trade or business with the principal objective of livelihood and profit, but such term shall not include a person who makes occasional repairs of firearms, or who occasionally fits special barrels, stocks, or trigger mechanisms to firearms; (E) as applied to an importer of firearms, a person who devotes time, attention, and labor to importing firearms as a regular course of trade or business with the principal objective of livelihood and profit through the sale or distribution of the firearms imported; and (F) as applied to an importer of ammunition, a person who devotes time, attention, and labor to importing ammunition as a regular course of trade or business with the principal objective of livelihood and profit through the sale or distribution of the ammunition imported. (22) The term 'with the principal objective of livelihood and profit' means that the intent underlying the sale or disposition of firearms is predominantly one of obtaining livelihood and pecuniary gain, as opposed to other intents, such as improving or liquidating a personal firearms collection: Provided, That proof of profit shall not be required as to a person who engages in the regular and repetitive purchase and disposition of firearms for criminal purposes or terrorism. For purposes of this paragraph, the term 'terrorism' means activity, directed against United States persons, which - (A) is committed by an individual who is not a national or permanent resident alien of the United States; (B) involves violent acts or acts dangerous to human life which would be a criminal violation if committed within the jurisdiction of the United States; and (C) is intended - (i) to intimidate or coerce a civilian population; (ii) to influence the policy of a government by intimidation or coercion; or (iii) to affect the conduct of a government by assassination or kidnaping. (23) The term 'machinegun' has the meaning given such term in section 5845(b) of the National Firearms Act (26 U.S.C. 5845(b)). (24) The terms 'firearm silencer' and 'firearm muffler' mean any device for silencing, muffling, or diminishing the report of a portable firearm, including any combination of parts, designed or redesigned, and intended for use in assembling or fabricating a firearm silencer or firearm muffler, and any part intended only for use in such assembly or fabrication. (25) The term 'school zone' means - (A) in, or on the grounds of, a public, parochial or private school; or (B) within a distance of 1,000 feet from the grounds of a public, parochial or private school. (26) The term 'school' means a school which provides elementary or secondary education, as determined under State law. (27) The term 'motor vehicle' has the meaning given such term in section 10102 of title 49, United States Code. (28) The term 'semiautomatic rifle' means any repeating rifle which utilizes a portion of the energy of a firing cartridge to extract the fired cartridge case and chamber the next round, and which requires a separate pull of the trigger to fire each cartridge. (b) For the purposes of this chapter, a member of the Armed Forces on active duty is a resident of the State in which his permanent duty station is located. -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 226, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1214; Pub. L. 93-639, Sec. 102, Jan. 4, 1975, 88 Stat. 2217; Pub. L. 99-308, Sec. 101, May 19, 1986, 100 Stat. 449; Pub. L. 99-360, Sec. 1(b), July 8, 1986, 100 Stat. 766; Pub. L. 99-408, Sec. 1, Aug. 28, 1986, 100 Stat. 920; Pub. L. 101-647, title XVII, Sec. 1702(b)(2), title XXII, Sec. 2204(a), Nov. 29, 1990, 104 Stat. 4845, 4857.) -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in subsec. (a)(2), see section 3602(b) of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1990 - Subsec. (a)(25) to (27). Pub. L. 101-647, Sec. 1702(b)(2), added pars. (25) to (27). Subsec. (a)(28). Pub. L. 101-647, Sec. 2204(a), added par. (28). 1986 - Subsec. (a)(10). Pub. L. 99-308, Sec. 101(1), substituted 'business of manufacturing' for 'manufacture of'. Subsec. (a)(11)(A). Pub. L. 99-308, Sec. 101(2), struck out 'or ammunition' after 'firearms'. Subsec. (a)(12). Pub. L. 99-308, Sec. 101(3), struck out 'or ammunition' after 'firearm'. Subsec. (a)(13). Pub. L. 99-308, Sec. 101(4), struck out 'or ammunition' after 'firearms'. Subsec. (a)(17). Pub. L. 99-408 designated existing provisions as subpar. (A) and added subpar. (B). Subsec. (a)(20). Pub. L. 99-308, Sec. 101(5), amended par. (20) generally. Prior to amendment, par. (20) read as follows: 'The term 'crime punishable by imprisonment for a term exceeding one year' shall not include (A) any Federal or State offenses pertaining to antitrust violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of business practices as the Secretary may by regulation designate, or (B) any State offense (other than one involving a firearm or explosive) classified by the laws of the State as a misdemeanor and punishable by a term of imprisonment of two years or less.' Subsec. (a)(21). Pub. L. 99-308, Sec. 101(6), added par. (21). Subsec. (a)(22). Pub. L. 99-360 inserted provision that proof of profit not be required as to a person who engages in the regular and repetitive purchase and disposition of firearms for criminal purposes or terrorism and defined terrorism. Pub. L. 99-308, Sec. 101(6), added par. (22). Subsec. (a)(23), (24). Pub. L. 99-308, Sec. 101(6), added pars. (23) and (24). 1975 - Subsec. (a)(4). Pub. L. 93-639 substituted 'to use solely for sporting, recreational or cultural purposes' for 'to use solely for sporting purposes'. 1968 - Subsec. (a). Pub. L. 90-618 inserted definitions of 'collector', 'licensed collector', and 'crime punishable by imprisonment for a term exceeding one year', amended definitions of 'person', 'whoever', 'interstate or foreign commerce', 'State', 'firearm', 'destructive device', 'dealer', 'indictment', 'fugitive from justice', 'antique firearm', 'ammunition', and 'published ordinance', and reenacted without change definitions of 'shotgun', 'short-barreled shotgun', 'rifle', 'short-barreled rifle', 'importer', 'licensed importer', 'manufacturer', 'licensed manufacturer', 'licensed dealer', 'pawnbroker', and 'Secretary' or 'Secretary of the Treasury'. Subsec. (b). Pub. L. 90-618 substituted provisions determining that a member of the armed forces on active duty is a resident of the State in which his permanent duty station is located for provisions defining 'firearm', 'destructive device', and 'crime punishable by imprisonment for a term exceeding one year'. EFFECTIVE DATE OF 1990 AMENDMENT Section 1702(b)(4) of Pub. L. 101-647 provided that: 'The amendments made by this section (amending this section and sections 922 and 924 of this title) shall apply to conduct engaged in after the end of the 60-day period beginning on the date of the enactment of this Act (Nov. 29, 1990).' EFFECTIVE DATE OF 1986 AMENDMENTS; PUBLICATION AND AVAILABILITY OF COMPILATION OF STATE LAWS AND PUBLISHED ORDINANCES Section 9 of Pub. L. 99-408 provided that: 'The amendments made by this Act (amending this section and sections 922, 923, and 929 of this title and enacting provisions set out as notes under this section) shall take effect on the date of enactment of this Act (Aug. 28, 1986), except that sections 3, 4, and 5 (amending section 923 of this title) shall take effect on the first day of the first calendar month which begins more than ninety days after the date of the enactment of this Act.' Section 2 of Pub. L. 99-360 provided that: 'This Act and the amendments made by this Act (enacting section 926A of this title, amending this section and section 923 of this title, and repealing former section 926A of this title), intended to amend the Firearms Owners' Protection Act (Pub. L. 99-308, see Short Title of 1986 Amendment note below), shall become effective on the date on which the section they are intended to amend in such Firearms Owners' Protection Act becomes effective (see section 110 of Pub. L. 99-308 set out below) and shall apply to the amendments to title 18, United States Code, made by such Act.' Section 110 of Pub. L. 99-308 provided that: '(a) In General. - The amendments made by this Act (enacting section 926A of this title, amending this section, sections 922 to 926 and 929 of this title, and section 5845 of Title 26, Internal Revenue Code, repealing title VII of Pub. L. 90-351, set out in the Appendix to this title, and enacting provisions set out as notes under this section) shall become effective one hundred and eighty days after the date of the enactment of this Act (May 19, 1986). Upon their becoming effective, the Secretary shall publish and provide to all licensees a compilation of the State laws and published ordinances of which licensees are presumed to have knowledge pursuant to chapter 44 of title 18, United States Code, as amended by this Act. All amendments to such State laws and published ordinances as contained in the aforementioned compilation shall be published in the Federal Register, revised annually, and furnished to each person licensed under chapter 44 of title 18, United States Code, as amended by this Act. '(b) Pending Actions, Petitions, and Appellate Proceedings. - The amendments made by sections 103(6)(B), 105, and 107 of this Act (enacting section 926A of this title and amending sections 923 and 925 of this title) shall be applicable to any action, petition, or appellate proceeding pending on the date of the enactment of this Act (May 19, 1986). '(c) Machinegun Prohibition. - Section 102(9) (amending section 922 of this title) shall take effect on the date of the enactment of this Act (May 19, 1986).' EFFECTIVE DATE OF 1968 AMENDMENT Section 105 of Pub. L. 90-618 provided that: '(a) Except as provided in subsection (b), the provisions of chapter 44 of title 18, United States Code, as amended by section 102 of this title (amending this chapter), shall take effect on December 16, 1968. '(b) The following sections of chapter 44 of title 18, United States Code, as amended by section 102 of this title shall take effect on the date of the enactment of this title (Oct. 22, 1968): Sections 921, 922(l ), 925(a)(1), and 925(d).' EFFECTIVE DATE Section 907 of title IV of Pub. L. 90-351 provided that: 'The amendments made by this title (enacting this chapter and provisions set out as notes under this section and repealing sections 901 to 910 of Title 15, Commerce and Trade) shall become effective one hundred and eighty days after the date of its enactment (June 19, 1968); except that repeal of the Federal Firearms Act (sections 901 to 910 of Title 15) shall not in itself terminate any valid license issued pursuant to that Act and any such license shall be deemed valid until it shall expire according to its terms unless it be sooner revoked or terminated pursuant to applicable provisions of law.' SHORT TITLE OF 1990 AMENDMENT Section 1702(a) of Pub. L. 101-647 provided that: 'This section (amending this section and sections 922 and 924 of this title and enacting provisions set out as notes under this section and section 922 of this title) may be cited as the 'Gun-Free School Zones Act of 1990'.' SHORT TITLE OF 1988 AMENDMENT Pub. L. 100-649, Sec. 1, Nov. 10, 1988, 102 Stat. 3816, provided that: 'This Act (amending sections 922, 924, and 925 of this title and enacting provisions set out as notes under section 922 of this title and section 1356 of Title 49, Appendix, Transportation) may be cited as the 'Undetectable Firearms Act of 1988'.' SHORT TITLE OF 1986 AMENDMENTS Pub. L. 99-570, title I, subtitle I, Sec. 1401, Oct. 27, 1986, 100 Stat. 3207-39, provided that: 'This subtitle (amending section 924 of this title) may be cited as the 'Career Criminals Amendment Act of 1986'.' Section 1(a) of Pub. L. 99-308 provided that: 'This Act (enacting section 926A of this title, amending this section, sections 922 to 926 and 929 of this title, and section 5845 of Title 26, Internal Revenue Code, repealing title VII of Pub. L. 90-351, set out in the Appendix to this title, and enacting provisions set out as notes under this section) may be cited as the 'Firearms Owners' Protection Act'.' SHORT TITLE Section 1 of Pub. L. 90-618 provided: 'That this Act (enacting sections 5822, 5871 and 5872 of Title 26, Internal Revenue Code, amending this section, sections 922 to 928 of this title, and Appendix to this title, and sections 5801, 5802, 5811, 5812, 5821, 5841 to 5849, 5851 to 5854, 5861, 6806, and 7273 of Title 26, repealing sections 5692 and 6107 of Title 26, omitting sections 5803, 5813, 5814, 5831, 5855, and 5862 of Title 26, and enacting material set out as notes under this section and Appendix to this title, and section 5801 of Title 26) may be cited as the 'Gun Control Act of 1968'.' CONGRESSIONAL FINDINGS AND DECLARATION Section 1(b) of Pub. L. 99-308 provided that: 'The Congress finds that - '(1) the rights of citizens - '(A) to keep and bear arms under the second amendment to the United States Constitution; '(B) to security against illegal and unreasonable searches and seizures under the fourth amendment; '(C) against uncompensated taking of property, double jeopardy, and assurance of due process of law under the fifth amendment; and '(D) against unconstitutional exercise of authority under the ninth and tenth amendments; require additional legislation to correct existing firearms statutes and enforcement policies; and '(2) additional legislation is required to reaffirm the intent of the Congress, as expressed in section 101 of the Gun Control Act of 1968 (section 101 of Pub. L. 90-618, set out below), that 'it is not the purpose of this title to place any undue or unnecessary Federal restrictions or burdens on law-abiding citizens with respect to the acquisition, possession, or use of firearms appropriate to the purpose of hunting, trapshooting, target shooting, personal protection, or any other lawful activity, and that this title is not intended to discourage or eliminate the private ownership or use of firearms by law-abiding citizens for lawful purposes.'.' Section 101 of title I of Pub. L. 90-618 provided that: 'The Congress hereby declares that the purposes of this title (amending this chapter) is to provide support to Federal, State, and local law enforcement officials in their fight against crime and violence, and it is not the purpose of this title to place any undue or unnecessary Federal restrictions or burdens on law-abiding citizens with respect to the acquisition, possession, or use of firearms appropriate to the purpose of hunting, trapshooting, target shooting, personal protection, or any other lawful activity, and that this title is not intended to discourage or eliminate the private ownership or use of firearms by law-abiding citizens for lawful purposes, or provide for the imposition by Federal regulations of any procedures or requirements other than those reasonably necessary to implement and effectuate the provisions of this title.' Section 901 of title IV of Pub. L. 90-351 provided that: '(a) The Congress hereby finds and declares - '(1) that there is a widespread traffic in firearms moving in or otherwise affecting interstate or foreign commerce, and that the existing Federal controls over such traffic do not adequately enable the States to control this traffic within their own borders through the exercise of their police power; '(2) that the ease with which any person can acquire firearms other than a rifle or shotgun (including criminals, juveniles without the knowledge or consent of their parents or guardians, narcotics addicts, mental defectives, armed groups who would supplant the functions of duly constituted public authorities, and others whose possession of such weapon is similarly contrary to the public interest) is a significant factor in the prevalence of lawlessness and violent crime in the United States; '(3) that only through adequate Federal control over interstate and foreign commerce in these weapons, and over all persons engaging in the businesses of importing, manufacturing, or dealing in them, can this grave problem be properly dealt with, and effective State and local regulation of this traffic be made possible; '(4) that the acquisition on a mail-order basis of firearms other than a rifle or shotgun by nonlicensed individuals, from a place other than their State of residence, has materially tended to thwart the effectiveness of State laws and regulations, and local ordinances; '(5) that the sale or other disposition of concealable weapons by importers, manufacturers, and dealers holding Federal licenses, to nonresidents of the State in which the licensees' places of business are located, has tended to make ineffective the laws, regulations, and ordinances in the several States and local jurisdictions regarding such firearms; '(6) that there is a casual relationship between the easy availability of firearms other than a rifle or shotgun and juvenile and youthful criminal behavior, and that such firearms have been widely sold by federally licensed importers and dealers to emotionally immature, or thrill-bent juveniles and minors prone to criminal behavior; '(7) that the United States has become the dumping ground of the castoff surplus military weapons of other nations, and that such weapons, and the large volume of relatively inexpensive pistols and revolvers (largely worthless for sporting purposes), imported into the United States in recent years, has contributed greatly to lawlessness and to the Nation's law enforcement problems; '(8) that the lack of adequate Federal control over interstate and foreign commerce in highly destructive weapons (such as bazookas, mortars, antitank guns, and so forth, and destructive devices such as explosive or incendiary grenades, bombs, missiles, and so forth) has allowed such weapons and devices to fall into the hands of lawless persons, including armed groups who would supplant lawful authority, thus creating a problem of national concern; '(9) that the existing licensing system under the Federal Firearms Act (former sections 901 to 910 of Title 15, Commerce and Trade) does not provide adequate license fees or proper standards for the granting or denial of licenses, and that this has led to licenses being issued to persons not reasonably entitled thereto, thus distorting the purposes of the licensing system. '(b) The Congress further hereby declares that the purpose of this title (enacting this chapter and repealing sections 901 to 910 of Title 15, Commerce and Trade) is to cope with the conditions referred to in the foregoing subsection, and that it is not the purpose of this title (enacting this chapter and repealing sections 901 to 910 of Title 15) to place any undue or unnecessary Federal restrictions or burdens on lawabiding citizens with respect to the acquisition, possession, or use of firearms appropriate to the purpose of hunting, trap shooting, target shooting, personal protection, or any other lawful activity, and that this title (enacting this chapter and repealing sections 901 to 910 of Title 15) is not intended to discourage or eliminate the private ownership or use of firearms by law-abiding citizens for lawful purposes, or provide for the imposition by Federal regulations of any procedures or requirements other than those reasonably necessary to implement and effectuate the provisions of this title (enacting this chapter and repealing sections 901 to 910 of Title 15).' ADMINISTRATION AND ENFORCEMENT BY SECRETARY OF TREASURY Section 103 of title I of Pub. L. 90-618 provided that: 'The administration and enforcement of the amendment made by this title (amending this chapter) shall be vested in the Secretary of the Treasury.' Section 903 of title IV of Pub. L. 90-351 provided that: 'The administration and enforcement of the amendment made by this title (enacting this chapter and provisions set out as notes under this section) shall be vested in the Secretary of the Treasury.' MODIFICATION OF OTHER LAWS Section 104 of title I of Pub. L. 90-618, as amended by Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095, provided that: 'Nothing in this title or the amendment made thereby (amending this chapter) shall be construed as modifying or affecting any provision of - '(a) the National Firearms Act (chapter 53 of the Internal Revenue Code of 1986) (section 5801 et seq. of Title 26, Internal Revenue Code); '(b) section 414 of the Mutual Security Act of 1954 (22 U.S.C. 1934), as amended, relating to munitions control; or '(c) section 1715 of title 18, United States Code, relating to nonmailable firearms.' Section 904 of title IV of Pub. L. 90-351, as amended by Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095, provided that: 'Nothing in this title or amendment made thereby (enacting this chapter and provisions set out as notes under this section) shall be construed as modifying or affecting any provision of - '(a) the National Firearms Act (chapter 53 of the Internal Revenue Code of 1986) (section 5801 et seq. of Title 26, Internal Revenue Code); or '(b) section 414 of the Mutual Security Act of 1954 (22 U.S.C. 1934), as amended, relating to munitions control; or '(c) section 1715 of title 18, United States Code, relating to nonmailable firearms.' -CROSS- DEFINITION OF 'HANDGUN' Section 10 of Pub. L. 99-408 provided that: 'For purposes of section 921(a)(17)(B) of title 18, United States Code, as added by the first section of this Act, 'handgun' means any firearm including a pistol or revolver designed to be fired by the use of a single hand. The term also includes any combination of parts from which a handgun can be assembled.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 845, 923, 925, 1791, 3565 of this title; title 8 sections 1101, 1251; title 10 section 2722; title 21 section 881; title 22 section 2778; title 26 section 5845. ------DocID 24109 Document 351 of 1438------ -CITE- 18 USC Sec. 922 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 922. Unlawful acts -STATUTE- (a) It shall be unlawful - (1) for any person - (A) except a licensed importer, licensed manufacturer, or licensed dealer, to engage in the business of importing, manufacturing, or dealing in firearms, or in the course of such business to ship, transport, or receive any firearm in interstate or foreign commerce; or (B) except a licensed importer or licensed manufacturer, to engage in the business of importing or manufacturing ammunition, or in the course of such business, to ship, transport, or receive any ammunition in interstate or foreign commerce; (2) for any importer, manufacturer, dealer, or collector licensed under the provisions of this chapter to ship or transport in interstate or foreign commerce any firearm to any person other than a licensed importer, licensed manufacturer, licensed dealer, or licensed collector, except that - (A) this paragraph and subsection (b)(3) shall not be held to preclude a licensed importer, licensed manufacturer, licensed dealer, or licensed collector from returning a firearm or replacement firearm of the same kind and type to a person from whom it was received; and this paragraph shall not be held to preclude an individual from mailing a firearm owned in compliance with Federal, State, and local law to a licensed importer, licensed manufacturer, licensed dealer, or licensed collector; (B) this paragraph shall not be held to preclude a licensed importer, licensed manufacturer, or licensed dealer from depositing a firearm for conveyance in the mails to any officer, employee, agent, or watchman who, pursuant to the provisions of section 1715 of this title, is eligible to receive through the mails pistols, revolvers, and other firearms capable of being concealed on the person, for use in connection with his official duty; and (C) nothing in this paragraph shall be construed as applying in any manner in the District of Columbia, the Commonwealth of Puerto Rico, or any possession of the United States differently than it would apply if the District of Columbia, the Commonwealth of Puerto Rico, or the possession were in fact a State of the United States; (3) for any person, other than a licensed importer, licensed manufacturer, licensed dealer, or licensed collector to transport into or receive in the State where he resides (or if the person is a corporation or other business entity, the State where it maintains a place of business) any fire arm purchased or otherwise obtained by such person outside that State, except that this paragraph (A) shall not preclude any person who lawfully acquires a firearm by bequest or intestate succession in a State other than his State of residence from transporting the firearm into or receiving it in that State, if it is lawful for such person to purchase or possess such firearm in that State, (B) shall not apply to the transportation or receipt of a firearm obtained in conformity with subsection (b)(3) of this section, and (C) shall not apply to the transportation of any firearm acquired in any State prior to the effective date of this chapter; (4) for any person, other than a licensed importer, licensed manufacturer, licensed dealer, or licensed collector, to transport in interstate or foreign commerce any destructive device, machinegun (as defined in section 5845 of the Internal Revenue Code of 1986), short-barreled shotgun, or short-barreled rifle, except as specifically authorized by the Secretary consistent with public safety and necessity; (5) for any person (other than a licensed importer, licensed manufacturer, licensed dealer, or licensed collector) to transfer, sell, trade, give, transport, or deliver any firearm to any person (other than a licensed importer, licensed manufacturer, licensed dealer, or licensed collector) who the transferor knows or has reasonable cause to believe does not reside in (or if the person is a corporation or other business entity, does not maintain a place of business in) the State in which the transferor resides; except that this paragraph shall not apply to (A) the transfer, transportation, or delivery of a firearm made to carry out a bequest of a firearm to, or an acquisition by intestate succession of a firearm by, a person who is permitted to acquire or possess a firearm under the laws of the State of his residence, and (B) the loan or rental of a firearm to any person for temporary use for lawful sporting purposes; (6) for any person in connection with the acquisition or attempted acquisition of any firearm or ammunition from a licensed importer, licensed manufacturer, licensed dealer, or licensed collector, knowingly to make any false or fictitious oral or written statement or to furnish or exhibit any false, fictitious, or misrepresented identification, intended or likely to deceive such importer, manufacturer, dealer, or collector with respect to any fact material to the lawfulness of the sale or other disposition of such firearm or ammunition under the provisions of this chapter; (7) for any person to manufacture or import armor piercing ammunition, except that this paragraph shall not apply to - (A) the manufacture or importation of such ammunition for the use of the United States or any department or agency thereof or any State or any department, agency, or political subdivision thereof; (B) the manufacture of such ammunition for the purpose of exportation; and (C) any manufacture or importation for the purposes of testing or experimentation authorized by the Secretary; and (8) for any manufacturer or importer to sell or deliver armor piercing ammunition, except that this paragraph shall not apply to - (A) the sale or delivery by a manufacturer or importer of such ammunition for use of the United States or any department or agency thereof or any State or any department, agency, or political subdivision thereof; (B) the sale or delivery by a manufacturer or importer of such ammunition for the purpose of exportation; (C) the sale or delivery by a manufacturer or importer of such ammunition for the purposes of testing or experimenting authorized by the Secretary. (b) It shall be unlawful for any licensed importer, licensed manufacturer, licensed dealer, or licensed collector to sell or deliver - (1) any firearm or ammunition to any individual who the licensee knows or has reasonable cause to believe is less than eighteen years of age, and, if the firearm, or ammunition is other than a shotgun or rifle, or ammunition for a shotgun or rifle, to any individual who the licensee knows or has reasonable cause to believe is less than twenty-one years of age; (2) any firearm to any person in any State where the purchase or possession by such person of such firearm would be in violation of any State law or any published ordinance applicable at the place of sale, delivery or other disposition, unless the licensee knows or has reasonable cause to believe that the purchase or possession would not be in violation of such State law or such published ordinance; (3) any firearm to any person who the licensee knows or has reasonable cause to believe does not reside in (or if the person is a corporation or other business entity, does not maintain a place of business in) the State in which the licensee's place of business is located, except that this paragraph (A) shall not apply to the sale or delivery of any rifle or shotgun to a resident of a State other than a State in which the licensee's place of business is located if the transferee meets in person with the transferor to accomplish the transfer, and the sale, delivery, and receipt fully comply with the legal conditions of sale in both such States (and any licensed manufacturer, importer or dealer shall be presumed, for purposes of this subparagraph, in the absence of evidence to the contrary, to have had actual knowledge of the State laws and published ordinances of both States), and (B) shall not apply to the loan or rental of a firearm to any person for temporary use for lawful sporting purposes; (4) to any person any destructive device, machinegun (as defined in section 5845 of the Internal Revenue Code of 1986), short-barreled shotgun, or short-barreled rifle, except as specifically authorized by the Secretary consistent with public safety and necessity; and (5) any firearm or armor-piercing ammunition to any person unless the licensee notes in his records, required to be kept pursuant to section 923 of this chapter, the name, age, and place of residence of such person if the person is an individual, or the identity and principal and local places of business of such person if the person is a corporation or other business entity. Paragraphs (1), (2), (3), and (4) of this subsection shall not apply to transactions between licensed importers, licensed manufacturers, licensed dealers, and licensed collectors. Paragraph (4) of this subsection shall not apply to a sale or delivery to any research organization designated by the Secretary. (c) In any case not otherwise prohibited by this chapter, a licensed importer, licensed manufacturer, or licensed dealer may sell a firearm to a person who does not appear in person at the licensee's business premises (other than another licensed importer, manufacturer, or dealer) only if - (1) the transferee submits to the transferor a sworn statement in the following form: 'Subject to penalties provided by law, I swear that, in the case of any firearm other than a shotgun or a rifle, I am twenty-one years or more of age, or that, in the case of a shotgun or a rifle, I am eighteen years or more of age; that I am not prohibited by the provisions of chapter 44 of title 18, United States Code, from receiving a firearm in interstate or foreign commerce; and that my receipt of this firearm will not be in violation of any statute of the State and published ordinance applicable to the locality in which I reside. Further, the true title, name, and address of the principal law enforcement officer of the locality to which the firearm will be delivered are XXXXXX XXXXXXXXXXXXXXXXXXXXXXXX Signature XXXXXXXXXX Date XXXX.' and containing blank spaces for the attachment of a true copy of any permit or other information required pursuant to such statute or published ordinance; (2) the transferor has, prior to the shipment or delivery of the firearm, forwarded by registered or certified mail (return receipt requested) a copy of the sworn statement, together with a description of the firearm, in a form prescribed by the Secretary, to the chief law enforcement officer of the transferee's place of residence, and has received a return receipt evidencing delivery of the statement or has had the statement returned due to the refusal of the named addressee to accept such letter in accordance with United States Post Office Department regulations; and (3) the transferor has delayed shipment or delivery for a period of at least seven days following receipt of the notification of the acceptance or refusal of delivery of the statement. A copy of the sworn statement and a copy of the notification to the local law enforcement officer, together with evidence of receipt or rejection of that notification shall be retained by the licensee as a part of the records required to be kept under section 923(g). (d) It shall be unlawful for any person to sell or otherwise dispose of any firearm or ammunition to any person knowing or having reasonable cause to believe that such person - (1) is under indictment for, or has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year; (2) is a fugitive from justice; (3) is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)); (4) has been adjudicated as a mental defective or has been committed to any mental institution; (5) who, being an alien, is illegally or unlawfully in the United States; (6) who has been discharged from the Armed Forces under dishonorable conditions; or (7) who, having been a citizen of the United States, has renounced his citizenship. This subsection shall not apply with respect to the sale or disposition of a firearm or ammunition to a licensed importer, licensed manufacturer, licensed dealer, or licensed collector who pursuant to subsection (b) of section 925 of this chapter is not precluded from dealing in firearms or ammunition, or to a person who has been granted relief from disabilities pursuant to subsection (c) of section 925 of this chapter. (e) It shall be unlawful for any person knowingly to deliver or cause to be delivered to any common or contract carrier for transportation or shipment in interstate or foreign commerce, to persons other than licensed importers, licensed manufacturers, licensed dealers, or licensed collectors, any package or other container in which there is any firearm or ammunition without written notice to the carrier that such firearm or ammunition is being transported or shipped; except that any passenger who owns or legally possesses a firearm or ammunition being transported aboard any common or contract carrier for movement with the passenger in interstate or foreign commerce may deliver said firearm or ammunition into the custody of the pilot, captain, conductor or operator of such common or contract carrier for the duration of the trip without violating any of the provisions of this chapter. (f) It shall be unlawful for any common or contract carrier to transport or deliver in interstate or foreign commerce any firearm or ammunition with knowledge or reasonable cause to believe that the shipment transportation, or receipt thereof would be in violation of the provisions of this chapter. (g) It shall be unlawful for any person - (1) who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year; (2) who is a fugitive from justice; (3) who is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)); (4) who has been adjudicated as a mental defective or who has been committed to a mental institution; (5) who, being an alien, is illegally or unlawfully in the United States; (6) who has been discharged from the Armed Forces under dishonorable conditions; or (7) who, having been a citizen of the United States, has renounced his citizenship; to ship or transport in interstate or foreign commerce, or possess in or affecting commerce, any firearm or ammunition; or to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce. (h) It shall be unlawful for any individual, who to that individual's knowledge and while being employed for any person described in any paragraph of subsection (g) of this section, in the course of such employment - (1) to receive, possess, or transport any firearm or ammunition in or affecting interstate or foreign commerce; or (2) to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce. (i) It shall be unlawful for any person to transport or ship in interstate or foreign commerce, any stolen firearms or stolen ammunition, knowing or having reasonable cause to believe that the firearm or ammunition was stolen. (j) It shall be unlawful for any person to receive, conceal, store, barter, sell, or dispose of any stolen firearm or stolen ammunition, or pledge or accept as security for a loan any stolen firearm or stolen ammunition, which is moving as, which is a part of, which constitutes, or which has been shipped or transported in, interstate or foreign commerce, knowing or having reasonable cause to believe that the firearm or ammunition was stolen. (k) It shall be unlawful for any person knowingly to transport, ship, or receive, in interstate or foreign commerce, any firearm which has had the importer's or manufacturer's serial number removed, obliterated, or altered or to possess or receive any firearm which has had the importer's or manufacturer's serial number removed, obliterated, or altered and has, at any time, been shipped or transported in interstate or foreign commerce. (l) Except as provided in section 925(d) of this chapter, it shall be unlawful for any person knowingly to import or bring into the United States or any possession thereof any firearm or ammunition; and it shall be unlawful for any person knowingly to receive any firearm or ammunition which has been imported or brought into the United States or any possession thereof in violation of the provisions of this chapter. (m) It shall be unlawful for any licensed importer, licensed manufacturer, licensed dealer, or licensed collector knowingly to make any false entry in, to fail to make appropriate entry in, or to fail to properly maintain, any record which he is required to keep pursuant to section 923 of this chapter or regulations promulgated thereunder. (n) It shall be unlawful for any person who is under indictment for a crime punishable by imprisonment for a term exceeding one year to ship or transport in interstate or foreign commerce any firearm or ammunition or receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce. (o)(1) Except as provided in paragraph (2), it shall be unlawful for any person to transfer or possess a machinegun. (2) This subsection does not apply with respect to - (A) a transfer to or by, or possession by or under the authority of, the United States or any department or agency thereof or a State, or a department, agency, or political subdivision thereof; or (B) any lawful transfer or lawful possession of a machinegun that was lawfully possessed before the date this subsection takes effect. (p)(1) It shall be unlawful for any person to manufacture, import, sell, ship, deliver, possess, transfer, or receive any firearm - (A) that, after removal of grips, stocks, and magazines, is not as detectable as the Security Exemplar, by walk-through metal detectors calibrated and operated to detect the Security Exemplar; or (B) any major component of which, when subjected to inspection by the types of x-ray machines commonly used at airports, does not generate an image that accurately depicts the shape of the component. Barium sulfate or other compounds may be used in the fabrication of the component. (2) For purposes of this subsection - (A) the term 'firearm' does not include the frame or receiver of any such weapon; (B) the term 'major component' means, with respect to a firearm, the barrel, the slide or cylinder, or the frame or receiver of the firearm; and (C) the term 'Security Exemplar' means an object, to be fabricated at the direction of the Secretary, that is - (i) constructed of, during the 12-month period beginning on the date of the enactment of this subsection, 3.7 ounces of material type 17-4 PH stainless steel in a shape resembling a handgun; and (ii) suitable for testing and calibrating metal detectors: Provided, however, That at the close of such 12-month period, and at appropriate times thereafter the Secretary shall promulgate regulations to permit the manufacture, importation, sale, shipment, delivery, possession, transfer, or receipt of firearms previously prohibited under this subparagraph that are as detectable as a 'Security Exemplar' which contains 3.7 ounces of material type 17-4 PH stainless steel, in a shape resembling a handgun, or such lesser amount as is detectable in view of advances in state-of-the-art developments in weapons detection technology. (3) Under such rules and regulations as the Secretary shall prescribe, this subsection shall not apply to the manufacture, possession, transfer, receipt, shipment, or delivery of a firearm by a licensed manufacturer or any person acting pursuant to a contract with a licensed manufacturer, for the purpose of examining and testing such firearm to determine whether paragraph (1) applies to such firearm. The Secretary shall ensure that rules and regulations adopted pursuant to this paragraph do not impair the manufacture of prototype firearms or the development of new technology. (4) The Secretary shall permit the conditional importation of a firearm by a licensed importer or licensed manufacturer, for examination and testing to determine whether or not the unconditional importation of such firearm would violate this subsection. (5) This subsection shall not apply to any firearm which - (A) has been certified by the Secretary of Defense or the Director of Central Intelligence, after consultation with the Secretary and the Administrator of the Federal Aviation Administration, as necessary for military or intelligence applications; and (B) is manufactured for and sold exclusively to military or intelligence agencies of the United States. (6) This subsection shall not apply with respect to any firearm manufactured in, imported into, or possessed in the United States before the date of the enactment of the Undetectable Firearms Act of 1988. (q)(1)(A) It shall be unlawful for any individual knowingly to possess a firearm at a place that the individual knows, or has reasonable cause to believe, is a school zone. (B) Subparagraph (A) shall not apply to the possession of a firearm - (i) on private property not part of school grounds; (ii) if the individual possessing the firearm is licensed to do so by the State in which the school zone is located or a political subdivision of the State, and the law of the State or political subdivision requires that, before an individual obtain such a license, the law enforcement authorities of the State or political subdivision verify that the individual is qualified under law to receive the license; (iii) which is - (I) not loaded; and (II) in a locked container, or a locked firearms rack which is on a motor vehicle; (iv) by an individual for use in a program approved by a school in the school zone; (v) by an individual in accordance with a contract entered into between a school in the school zone and the individual or an employer of the individual; (vi) by a law enforcement officer acting in his or her official capacity; or (vii) that is unloaded and is possessed by an individual while traversing school premises for the purpose of gaining access to public or private lands open to hunting, if the entry on school premises is authorized by school authorities. (2)(A) Except as provided in subparagraph (B), it shall be unlawful for any person, knowingly or with reckless disregard for the safety of another, to discharge or attempt to discharge a firearm at a place that the person knows is a school zone. (B) Subparagraph (A) shall not apply to the discharge of a firearm - (i) on private property not part of school grounds; (ii) as part of a program approved by a school in the school zone, by an individual who is participating in the program; (iii) by an individual in accordance with a contract entered into between a school in a school zone and the individual or an employer of the individual; or (iv) by a law enforcement officer acting in his or her official capacity. (3) Nothing in this subsection shall be construed as preempting or preventing a State or local government from enacting a statute establishing gun-free school zones as provided in this subsection. (r) It shall be unlawful for any person to assemble from imported parts any semiautomatic rifle or any shotgun which is identical to any rifle or shotgun prohibited from importation under section 925(d)(3) of this chapter as not being particularly suitable for or readily adaptable to sporting purposes except that this subsection shall not apply to - (1) the assembly of any such rifle or shotgun for sale or distribution by a licensed manufacturer to the United States or any department or agency thereof or to any State or any department, agency, or political subdivision thereof; or (2) the assembly of any such rifle or shotgun for the purposes of testing or experimentation authorized by the Secretary. -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 228, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1216; Pub. L. 97-377, title I, Sec. 165(a), Dec. 21, 1982, 96 Stat. 1923; Pub. L. 99-308, Sec. 102, May 19, 1986, 100 Stat. 451; Pub. L. 99-408, Sec. 2, Aug. 28, 1986, 100 Stat. 920; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 100-649, Sec. 2(a), (f)(2)(A), Nov. 10, 1988, 102 Stat. 3816, 3818; Pub. L. 100-690, title VII, Sec. 7060(c), Nov. 18, 1988, 102 Stat. 4404; Pub. L. 101-647, title XVII, Sec. 1702(b)(1), title XXII, Sec. 2201, 2202, 2204(b), title XXXV, Sec. 3524, Nov. 29, 1990, 104 Stat. 4844, 4856, 4857, 4924.) -STATAMEND- REPEAL OF SUBSECTION (P) Pub. L. 100-649, Sec. 2(f)(2)(A), Nov. 10, 1988, 102 Stat. 3818, provided that, effective 10 years after the 30th day beginning after Nov. 10, 1988, subsection (p) of this section is repealed. -REFTEXT- REFERENCES IN TEXT The effective date of this chapter, referred to in subsec. (a)(3), is December 16, 1968. Section 5845 of the Internal Revenue Code of 1986, referred to in subsecs. (a)(4) and (b)(4), is classified to section 5845 of Title 26, Internal Revenue Code. For date this subsection takes effect, referred to in subsec. (o)(2)(B), as May 19, 1986, see Effective Date of 1986 Amendment note, set out below. The date of the enactment of this subsection and the date of the enactment of the Undetectable Firearms Act of 1988, referred to in subsec. (p)(2)(C)(i), (6), respectively, are both the date of enactment of Pub. L. 100-649, which enacted subsec. (p) of this section and which was approved Nov. 10, 1988. -MISC2- AMENDMENTS 1990 - Subsec. (a)(5). Pub. L. 101-647, Sec. 2201, substituted 'does not reside in (or if the person is a corporation or other business entity, does not maintain a place of business in) the State in which the transferor resides;' for 'resides in any State other than that in which the transferor resides (or other than that in which its place of business is located if the transferor is a corporation or other business entity);'. Subsec. (b)(1). Pub. L. 101-647, Sec. 3524, which directed amendment of 'Section 922(b)(1)' by substituting a semicolon for a period at end, without identifying a Code title or Act for section 922, was executed by making the substitution in subsec. (b)(1) of this section to reflect the probable intent of Congress. Subsec. (j). Pub. L. 101-647, Sec. 2202(a), substituted 'which constitutes, or which has been shipped or transported in' for 'or which constitutes'. Subsec. (k). Pub. L. 101-647, Sec. 2202(b), inserted before period at end 'or to possess or receive any firearm which has had the importer's or manufacturer's serial number removed, obliterated, or altered and has, at any time, been shipped or transported in interstate or foreign commerce'. Subsec. (q). Pub. L. 101-647, Sec. 1702(b)(1), added subsec. (q). Subsec. (r). Pub. L. 101-647, Sec. 2204(b), added subsec. (r). 1988 - Subsec. (g)(3). Pub. L. 100-690 inserted 'who' before 'is'. Subsec. (p). Pub. L. 100-649 added subsec. (p). 1986 - Subsec. (a)(1). Pub. L. 99-308, Sec. 102(1), amended par. (1) generally. Prior to amendment, par. (1) read as follows: 'for any person, except a licensed importer, licensed manufacturer, or licensed dealer, to engage in the business of importing, manufacturing, or dealing in firearms or ammunition, or in the course of such business to ship, transport, or receive any firearm or ammunition in interstate or foreign commerce;' Subsec. (a)(2). Pub. L. 99-308, Sec. 102(2)(A), in provision preceding subpar. (A) struck out 'or ammunition' after 'any firearm'. Subsec. (a)(2)(A). Pub. L. 99-308, Sec. 102(2)(B), substituted 'licensed dealer, or licensed collector' for 'or licensed dealer for the sole purpose of repair or customizing'. Subsec. (a)(3)(B). Pub. L. 99-308, Sec. 102(3), substituted 'firearm' for 'rifle or shotgun' and 'with subsection (b)(3) of this section' for 'with the provisions of subsection (b)(3) of this section'. Subsec. (a)(4). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. Subsec. (a)(7), (8). Pub. L. 99-408 added pars. (7) and (8). Subsec. (b)(2). Pub. L. 99-308, Sec. 102(4)(A), struck out 'or ammunition' after 'firearm' in two places. Subsec. (b)(3)(A). Pub. L. 99-308, Sec. 102(4)(B), inserted a new cl. (A) and struck out former cl. (A) which provided that par. (3) 'shall not apply to the sale or delivery of a rifle or shotgun to a resident of a State contiguous to the State in which the licensee's place of business is located if the purchaser's State of residence permits such sale or delivery by law, the sale fully complies with the legal conditions of sale in both such contiguous States, and the purchaser and the licensee have, prior to the sale, or delivery for sale, of the rifle or shotgun, complied with all of the requirements of section 922(c) applicable to intrastate transactions other than at the licensee's business premises,'. Subsec. (b)(3)(B), (C). Pub. L. 99-308, Sec. 102(4)(C), (D), inserted 'and' before '(B)' and struck out cl. (C), which provided that par. (3) 'shall not preclude any person who is participating in any organized rifle or shotgun match or contest, or is engaged in hunting, in a State other than his State of residence and whose rifle or shotgun has been lost or stolen or has become inoperative in such other State, from purchasing a rifle or shotgun in such other State from a licensed dealer if such person presents to such dealer a sworn statement (i) that his rifle or shotgun was lost or stolen or became inoperative while participating in such a match or contest, or while engaged in hunting, in such other State, and (ii) identifying the chief law enforcement officer of the locality in which such person resides, to whom such licensed dealer shall forward such statement by registered mail'. Subsec. (b)(4). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. Subsec. (b)(5). Pub. L. 99-308, Sec. 102(4)(E), substituted 'or armor-piercing ammunition' for 'or ammunition except .22 caliber rimfire ammunition'. Subsec. (d). Pub. L. 99-308, Sec. 102(5)(A), substituted 'person' for 'licensed importer, licensed manufacturer, licensed dealer, or licensed collector' in provision preceding par. (1). Subsec. (d)(3). Pub. L. 99-308, Sec. 102(5)(B), amended par. (3) generally. Prior to amendment, par. (3) read as follows: 'is an unlawful user of or addicted to marihuana or any depressant or stimulant drug (as defined in section 201(v) of the Federal Food, Drug, and Cosmetic Act) or narcotic drug (as defined in section 4731(a) of the Internal Revenue Code of 1954); or'. Subsec. (d)(5) to (7). Pub. L. 99-308, Sec. 102(5)(C), (D), added pars. (5) to (7). Subsec. (g). Pub. L. 99-308, Sec. 102(6)(D), in concluding provision substituted 'in interstate or foreign commerce, or possess in or affecting commerce, any firearm or ammunition; or to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce' for 'any firearm or ammunition in interstate or foreign commerce'. Subsec. (g)(1). Pub. L. 99-308, Sec. 102(6)(A), struck out 'is under indictment for, or who' after 'who'. Subsec. (g)(3). Pub. L. 99-308, Sec. 102(6)(B), amended par. (3) generally. Prior to amendment, par. (3) read as follows: 'who is an unlawful user of or addicted to marihuana or any depressant or stimulant drug (as defined in section 201(v) of the Federal Food, Drug, and Cosmetic Act) or narcotic drug (as defined in section 4731(a) of the Internal Revenue Code of 1954); or'. Subsec. (g)(5) to (7). Pub. L. 99-308, Sec. 102(6)(C), added pars. (5) to (7). Subsec. (h). Pub. L. 99-308, Sec. 102(7), amended subsec. (h) generally. Prior to amendment, subsec. (h) read as follows: 'It shall be unlawful for any person - '(1) who is under indictment for, or who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year; '(2) who is a fugitive from justice; '(3) who is an unlawful user of or addicted to marihuana or any depressant or stimulant drug (as defined in section 201(v) of the Federal Food, Drug, and Cosmetic Act) or narcotic drug (as defined in section 4731(a) of the Internal Revenue Code of 1954); or '(4) who has been adjudicated as a mental defective or who has been committed to any mental institution; to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce.' Subsec. (n). Pub. L. 99-308, Sec. 102(8), added subsec. (n). Subsec. (o). Pub. L. 99-308, Sec. 102(9), added subsec. (o). 1982 - Subsec. (b)(5). Pub. L. 97-377 inserted 'except .22 caliber rimfire ammunition' after 'or ammunition'. 1968 - Subsec. (a)(1). Pub. L. 90-618 reenacted par. (1) without change. Subsec. (a)(2). Pub. L. 90-618 added licensed collectors to the enumerated list of licensees subject to the provisions of this chapter, struck out exemption for the shipment or transportation in interstate or foreign commerce for rifles or shotguns, and inserted exemption authorizing an individual to mail a lawfully owned firearm to the specified licensees for the sole purpose of repair or customizing. Subsec. (a)(3). Pub. L. 90-618 added licensed collectors to the enumerated list of licensees, struck out exemption for shotguns or rifles purchased or otherwise obtained outside the state of residence of the recipient, struck out provision making it unlawful for any person to purchase or otherwise obtain outside his state of residence any firearm which it would be unlawful for him to purchase or possess in that state, and provided for exemptions when any person outside of his state of residence acquires a firearm by bequest or interstate succession and transports the firearm or otherwise receives it in his state of residence, if it is lawful for such person to purchase or possess such firearm in his state of residence, when a rifle or shotgun is obtained in conformity with the provisions of subsec. (b)(3) of this section, and when any firearm has been acquired in any state prior to the effective date of this chapter. Subsec. (a)(4). Pub. L. 90-618 added licensed collectors to the enumerated list of licensees, and provided that the transporting of the specified articles be authorized by the Secretary when consistent with public safety and necessity. Subsec. (a)(5). Pub. L. 90-618 added licensed collectors to the enumerated list of exempted licensees, prohibited the transfer, etc., of any firearm when the transferor has reasonable cause to believe that the transferee resides in a State other than that in which the transferor resides, and substituted provisions which exempted the transfer, transportation, or delivery of firearms incident to a bequest or intestate succession and the loan or rental of firearms to any person for temporary use for lawful sporting purposes for provisions which exempted the transfer of shotguns or rifles and prohibited the transfer, etc., of any firearm which the transferee could not lawfully purchase or possess in accord with the applicable laws, regulations or ordinances of the state or political subdivision in which the transferee resides. Subsec. (a)(6). Pub. L. 90-618 added licensed collectors to the enumerated list of licensees, and extended the provisions to include the acquisition or attempted acquisition of ammunition. Subsec. (b). Pub. L. 90-618, in provision preceding par. (1), added licensed collectors to the enumerated list of licensees. Subsec. (b)(1). Pub. L. 90-618 substituted provisions making it unlawful to sell or deliver any firearm or ammunition to any individual who the licensee knows or has reasonable cause to believe is less than 18, and to sell or deliver any firearm, other than a rifle or shotgun, or ammunition, other than ammunition for a rifle or shotgun, to any individual who the licensee knows or has reasonable cause to believe is less than 21, for provisions making it unlawful to sell or deliver any firearm to any individual who the licensee knows or has reasonable cause to believe is less than 21, if the firearm is other than a shotgun or rifle. Subsec. (b)(2). Pub. L. 90-618 extended the prohibition to include the sale or delivery of ammunition to any person where the purchase or possession by such person of such ammunition would be unlawful, and struck out 'or in the locality in which such person resides' after 'or other disposition,'. Subsec. (b)(3). Pub. L. 90-618 inserted the exemptions to the prohibition against the sale or delivery of any firearm to any person who the licensee knows or has reasonable cause to believe does not reside in the state in which the licensee's place of business is located. Subsec. (b)(4). Pub. L. 90-618 substituted provisions making it unlawful to sell or deliver any of the specified articles, except as specifically authorized by the Secretary as consistent with public safety and necessity, for provisions making it unlawful to sell or deliver any of the specified articles, unless the transferor has obtained a sworn statement executed by the principal law enforcement officer of the locality in which the transferee resides stating that such person's receipt or possession would not be unlawful, and that the receipt or possession is intended for lawful purposes, with such sworn statement to be retained by the licensee as part of the records required to be kept under this chapter. Subsec. (b)(5). Pub. L. 90-618 extended the prohibition to include the sale or delivery of ammunition and, in the material following subsec. (b)(5), added licensed collectors to the enumerated list of licensees, and the provision that subsec. (b)(4) shall not apply to a sale or delivery to any research organization designated by the Secretary. Subsecs. (c), (d). Pub. L. 90-618 added subsec. (c), redesignated former subsec. (c) as (d), added licensed collectors to the enumerated list of licensees, extended the prohibition against disposal of firearms or ammunition to include the disposal by any person who is an unlawful user of or addicted to marihuana or any depressant, stimulant, or narcotic drug, or any person who has been adjudicated a mental defective or has been committed to any mental institution, and inserted 'or ammunition' after 'the sale or disposition of a firearm'. Former subsec. (d) redesignated (f). Subsec. (e). Pub. L. 90-618 added subsec. (e). Former subsec. (e) redesignated (g). Subsec. (f). Pub. L. 90-618 redesignated former subsec. (d) as (f) and extended the prohibition against transportation or delivery to include ammunition. Former subsec. (f) redesignated (h). Subsec. (g). Pub. L. 90-618 redesignated former subsec. (e) as (g) and extended the prohibition against the shipment or transportation of firearms or ammunition to include the shipment or transportation by any persons who is an unlawful user of or addicted to marihuana or any depressant, stimulant, or narcotic drug, or any person who has been adjudicated a mental defective or has been committed to a mental institution. Former subsec. (g) redesignated (i). Subsec. (h). Pub. L. 90-618 redesignated former subsec. (f) as (h) and extended the prohibition against the receipt of any firearms or ammunition to include the receipt by any person who is an unlawful user of or addicted to marihuana or any depressant, stimulant, or narcotic drug, or any person who has been adjudicated a mental defective or has been committed to any mental institution. Former subsec. (h) redesignated (j). Subsec. (i). Pub. L. 90-618 redesignated former subsec. (g) as (i) and substituted 'that the firearm or ammunition was' for 'the same to have been'. Former subsec. (i) redesignated (k). Subsec. (j). Pub. L. 90-618 redesignated former subsec. (h) as (j) and substituted 'which is moving as, which is a part of,' for 'moving as or which is a part of' and 'that the firearm or ammunition was' for 'the same to have been'. Former subsec. (j) redesignated (l). Subsec. (k). Pub. L. 90-618 redesignated former subsec. (i) as (k). Former subsec. (k) redesignated (m). Subsec. (l). Pub. L. 90-618 redesignated former subsec. (j) as (l). Subsec. (m). Pub. L. 90-618 redesignated former subsec. (k) as (m) and added licensed collectors to the enumerated list of licensees. -CHANGE- CHANGE OF NAME Post Office Department, referred to in subsec. (c)(2), redesignated United States Postal Service pursuant to Pub. L. 91-375, Sec. 6(o), Aug. 12, 1970, 84 Stat. 733, set out as a note preceding section 101 of Title 39, Postal Service. -MISC4- EFFECTIVE DATE OF 1990 AMENDMENT Amendment by section 1702(b)(1) of Pub. L. 101-647 applicable to conduct engaged in after the end of the 60-day period beginning on Nov. 29, 1990, see section 1702(b)(4) of Pub. L. 101-647, set out as a note under section 921 of this title. EFFECTIVE DATE OF 1988 AMENDMENT; SUNSET PROVISION Section 2(f) of Pub. L. 100-649, as amended by Pub. L. 101-647, title XXXV, Sec. 3526(b), Nov. 29, 1990, 104 Stat. 4924, provided that: '(1) Effective date. - This Act and the amendments made by this Act (amending this section and sections 924 and 925 of this title and enacting provisions set out as notes under this section, section 921 of this title, and section 1356 of Title 49, Appendix, Transportation) shall take effect on the 30th day beginning after the date of the enactment of this Act (Nov. 10, 1988). '(2) 10-year sunset. - Effective 10 years after the effective date of this Act - '(A) subsection (p) of section 922 of title 18, United States Code, is hereby repealed; '(B) subsection (f) of section 924 of such title is hereby repealed and subsections (g) and (h) of such section are hereby redesignated as subsections (f) and (g), respectively; '(C) subsection (f) of section 925 of such title is hereby repealed; '(D) section 924(a)(1) of such title is amended by striking ', (c), or (f)' and inserting in lieu thereof 'or (c)'; and '(E) section 925(a) of such title is amended by striking ', except for provisions relating to firearms subject to the prohibitions of section 922(p),'.' EFFECTIVE DATE OF 1986 AMENDMENT Amendment by section 102(1)-(8) of Pub. L. 99-308 effective 180 days after May 19, 1986, and amendment by section 102(9) of Pub. L. 99-308 effective May 19, 1986, see section 110(a), (c) of Pub. L. 99-308, set out as a note under section 921 of this title. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, except subsec. (l) effective Oct. 22, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. GUN-FREE ZONE SIGNS Section 1702(b)(5) of Pub. L. 101-647 provided that: 'Federal, State, and local authorities are encouraged to cause signs to be posted around school zones giving warning of prohibition of the possession of firearms in a school zone.' IDENTIFICATION OF FELONS AND OTHER PERSONS INELIGIBLE TO PURCHASE HANDGUNS Section 6213 of Pub. L. 100-690 provided that: '(a) Identification of Felons Ineligible To Purchase Handguns. - The Attorney General shall develop a system for immediate and accurate identification of felons who attempt to purchase 1 or more firearms but are ineligible to purchase firearms by reason of section 922(g)(1) of title 18, United States Code. The system shall be accessible to dealers but only for the purpose of determining whether a potential purchaser is a convicted felon. The Attorney General shall establish a plan (including a cost analysis of the proposed system) for implementation of the system. In developing the system, the Attorney General shall consult with the Secretary of the Treasury, other Federal, State, and local law enforcement officials with expertise in the area, and other experts. The Attorney General shall begin implementation of the system 30 days after the report to the Congress as provided in subsection (b). '(b) Report to Congress. - Not later than 1 year after the date of the enactment of this Act (Nov. 18, 1988), the Attorney General shall report to the Congress a description of the system referred to in subsection (a) and a plan (including a cost analysis of the proposed system) for implementation of the system. Such report may include, if appropriate, recommendations for modifications of the system and legislation necessary in order to fully implement such system. '(c) Additional Study of Other Persons Ineligible To Purchase Firearms. - The Attorney General in consultation with the Secretary of the Treasury shall conduct a study to determine if an effective method for immediate and accurate identification of other persons who attempt to purchase 1 or more firearms but are ineligible to purchase firearms by reason of section 922(g) of title 18, United States Code. In conducting the study, the Attorney General shall consult with the Secretary of the Treasury, other Federal, State, and local law enforcement officials with expertise in the area, and other experts. Such study shall be completed within 18 months after the date of the enactment of this Act (Nov. 18, 1988) and shall be submitted to the Congress and made available to the public. Such study may include, if appropriate, recommendations for legislation. '(d) Definitions. - As used in this section, the terms 'firearm' and 'dealer' shall have the meanings given such terms in section 921(a) of title 18, United States Code.' STUDIES TO IDENTIFY EQUIPMENT CAPABLE OF DISTINQUISHING SECURITY EXEMPLAR FROM OTHER METAL OBJECTS LIKELY TO BE CARRIED ON ONE'S PERSON Section 2(e) of Pub. L. 100-649 provided that: 'The Attorney General, the Secretary of the Treasury, and the Secretary of Transportation shall each conduct studies to identify available state-of-the-art equipment capable of detecting the Security Exemplar (as defined in section 922(p)(2)(C) of title 18, United States Code) and distinguishing the Security Exemplar from innocuous metal objects likely to be carried on one's person. Such studies shall be completed within 6 months after the date of the enactment of this Act (Nov. 10, 1988) and shall include a schedule providing for the installation of such equipment at the earliest practicable time at security checkpoints maintained or regulated by the agency conducting the study. Such equipment shall be installed in accordance with each schedule. In addition, such studies may include recommendations, where appropriate, concerning the use of secondary security equipment and procedures to enhance detection capability at security checkpoints.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 923, 924, 925, 2516, 5032 of this title; title 26 section 4182. ------DocID 24110 Document 352 of 1438------ -CITE- 18 USC Sec. 923 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 923. Licensing -STATUTE- (a) No person shall engage in the business of importing, manufacturing, or dealing in firearms, or importing or manufacturing ammunition, until he has filed an application with and received a license to do so from the Secretary. The application shall be in such form and contain only that information necessary to determine eligibility for licensing as the Secretary shall by regulation prescribe. Each applicant shall pay a fee for obtaining such a license, a separate fee being required for each place in which the applicant is to do business, as follows: (1) If the applicant is a manufacturer - (A) of destructive devices, ammunition for destructive devices or armor piercing ammunition, a fee of $1,000 per year; (B) of firearms other than destructive devices, a fee of $50 per year; or (C) of ammunition for firearms, other than ammunition for destructive devices or armor piercing ammunition, a fee of $10 per year. (2) If the applicant is an importer - (A) of destructive devices, ammunition for destructive devices or armor piercing ammunition, a fee of $1,000 per year; or (B) of firearms other than destructive devices or ammunition for firearms other than destructive devices, or ammunition other than armor piercing ammunition, a fee of $50 per year. (3) If the applicant is a dealer - (A) in destructive devices or ammunition for destructive devices, a fee of $1,000 per year; (B) who is a pawnbroker dealing in firearms other than destructive devices, a fee of $25 per year; or (C) who is not a dealer in destructive devices or a pawnbroker, a fee of $10 per year. (b) Any person desiring to be licensed as a collector shall file an application for such license with the Secretary. The application shall be in such form and contain only that information necessary to determine eligibility as the Secretary shall by regulation prescribe. The fee for such license shall be $10 per year. Any license granted under this subsection shall only apply to transactions in curios and relics. (c) Upon the filing of a proper application and payment of the prescribed fee, the Secretary shall issue to a qualified applicant the appropriate license which, subject to the provisions of this chapter and other applicable provisions of law, shall entitle the licensee to transport, ship, and receive firearms and ammunition covered by such license in interstate or foreign commerce during the period stated in the license. Nothing in this chapter shall be construed to prohibit a licensed manufacturer, importer, or dealer from maintaining and disposing of a personal collection of firearms, subject only to such restrictions as apply in this chapter to dispositions by a person other than a licensed manufacturer, importer, or dealer. If any firearm is so disposed of by a licensee within one year after its transfer from his business inventory into such licensee's personal collection or if such disposition or any other acquisition is made for the purpose of willfully evading the restrictions placed upon licensees by this chapter, then such firearm shall be deemed part of such licensee's business inventory, except that any licensed manufacturer, importer, or dealer who has maintained a firearm as part of a personal collection for one year and who sells or otherwise disposes of such firearm shall record the description of the firearm in a bound volume, containing the name and place of residence and date of birth of the transferee if the transferee is an individual, or the identity and principal and local places of business of the transferee if the transferee is a corporation or other business entity: Provided, That no other recordkeeping shall be required. (d)(1) Any application submitted under subsection (a) or (b) of this section shall be approved if - (A) the applicant is twenty-one years of age or over; (B) the applicant (including, in the case of a corporation, partnership, or association, any individual possessing, directly or indirectly, the power to direct or cause the direction of the management and policies of the corporation, partnership, or association) is not prohibited from transporting, shipping, or receiving firearms or ammunition in interstate or foreign commerce under section 922(g) and (n) of this chapter; (C) the applicant has not willfully violated any of the provisions of this chapter or regulations issued thereunder; (D) the applicant has not willfully failed to disclose any material information required, or has not made any false statement as to any material fact, in connection with his application; and (E) the applicant has in a State (i) premises from which he conducts business subject to license under this chapter or from which he intends to conduct such business within a reasonable period of time, or (ii) in the case of a collector, premises from which he conducts his collecting subject to license under this chapter or from which he intends to conduct such collecting within a reasonable period of time. (2) The Secretary must approve or deny an application for a license within the forty-five-day period beginning on the date it is received. If the Secretary fails to act within such period, the applicant may file an action under section 1361 of title 28 to compel the Secretary to act. If the Secretary approves an applicant's application, such applicant shall be issued a license upon the payment of the prescribed fee. (e) The Secretary may, after notice and opportunity for hearing, revoke any license issued under this section if the holder of such license has willfully violated any provision of this chapter or any rule or regulation prescribed by the Secretary under this chapter. The Secretary may, after notice and opportunity for hearing, revoke the license of a dealer who willfully transfers armor piercing ammunition. The Secretary's action under this subsection may be reviewed only as provided in subsection (f) of this section. (f)(1) Any person whose application for a license is denied and any holder of a license which is revoked shall receive a written notice from the Secretary stating specifically the grounds upon which the application was denied or upon which the license was revoked. Any notice of a revocation of a license shall be given to the holder of such license before the effective date of the revocation. (2) If the Secretary denies an application for, or revokes, a license, he shall, upon request by the aggrieved party, promptly hold a hearing to review his denial or revocation. In the case of a revocation of a license, the Secretary shall upon the request of the holder of the license stay the effective date of the revocation. A hearing held under this paragraph shall be held at a location convenient to the aggrieved party. (3) If after a hearing held under paragraph (2) the Secretary decides not to reverse his decision to deny an application or revoke a license, the Secretary shall give notice of his decision to the aggrieved party. The aggrieved party may at any time within sixty days after the date notice was given under this paragraph file a petition with the United States district court for the district in which he resides or has his principal place of business for a de novo judicial review of such denial or revocation. In a proceeding conducted under this subsection, the court may consider any evidence submitted by the parties to the proceeding whether or not such evidence was considered at the hearing held under paragraph (2). If the court decides that the Secretary was not authorized to deny the application or to revoke the license, the court shall order the Secretary to take such action as may be necessary to comply with the judgment of the court. (4) If criminal proceedings are instituted against a licensee alleging any violation of this chapter or of rules or regulations prescribed under this chapter, and the licensee is acquitted of such charges, or such proceedings are terminated, other than upon motion of the Government before trial upon such charges, the Secretary shall be absolutely barred from denying or revoking any license granted under this chapter where such denial or revocation is based in whole or in part on the facts which form the basis of such criminal charges. No proceedings for the revocation of a license shall be instituted by the Secretary more than one year after the filing of the indictment or information. (g)(1)(A) Each licensed importer, licensed manufacturer, and licensed dealer shall maintain such records of importation, production, shipment, receipt, sale, or other disposition of firearms at his place of business for such period, and in such form, as the Secretary may by regulations prescribe. Such importers, manufacturers, and dealers shall not be required to submit to the Secretary reports and information with respect to such records and the contents thereof, except as expressly required by this section. The Secretary, when he has reasonable cause to believe a violation of this chapter has occurred and that evidence thereof may be found on such premises, may, upon demonstrating such cause before a Federal magistrate and securing from such magistrate a warrant authorizing entry, enter during business hours the premises (including places of storage) of any licensed firearms importer, licensed manufacturer, licensed dealer, licensed collector, or any licensed importer or manufacturer of ammunition, for the purpose of inspecting or examining - (i) any records or documents required to be kept by such licensed importer, licensed manufacturer, licensed dealer, or licensed collector under this chapter or rules or regulations under this chapter, and (ii) any firearms or ammunition kept or stored by such licensed importer, licensed manufacturer, licensed dealer, or licensed collector, at such premises. (B) The Secretary may inspect or examine the inventory and records of a licensed importer, licensed manufacturer, or licensed dealer without such reasonable cause or warrant - (i) in the course of a reasonable inquiry during the course of a criminal investigation of a person or persons other than the licensee; (ii) for ensuring compliance with the record keeping requirements of this chapter not more than once during any twelve-month period; or (iii) when such inspection or examination may be required for determining the disposition of one or more particular firearms in the course of a bona fide criminal investigation. (C) The Secretary may inspect the inventory and records of a licensed collector without such reasonable cause or warrant - (i) for ensuring compliance with the record keeping requirements of this chapter not more than once during any twelve-month period; or (ii) when such inspection or examination may be required for determining the disposition of one or more particular firearms in the course of a bona fide criminal investigation. (D) At the election of a licensed collector, the annual inspection of records and inventory permitted under this paragraph shall be performed at the office of the Secretary designated for such inspections which is located in closest proximity to the premises where the inventory and records of such licensed collector are maintained. The inspection and examination authorized by this paragraph shall not be construed as authorizing the Secretary to seize any records or other documents other than those records or documents constituting material evidence of a violation of law. If the Secretary seizes such records or documents, copies shall be provided the licensee within a reasonable time. The Secretary may make available to any Federal, State, or local law enforcement agency any information which he may obtain by reason of this chapter with respect to the identification of persons prohibited from purchasing or receiving firearms or ammunition who have purchased or received firearms or ammunition, together with a description of such firearms or ammunition, and he may provide information to the extent such information may be contained in the records required to be maintained by this chapter, when so requested by any Federal, State, or local law enforcement agency. (2) Each licensed collector shall maintain in a bound volume the nature of which the Secretary may by regulations prescribe, records of the receipt, sale, or other disposition of firearms. Such records shall include the name and address of any person to whom the collector sells or otherwise disposes of a firearm. Such collector shall not be required to submit to the Secretary reports and information with respect to such records and the contents thereof, except as expressly required by this section. (3) Each licensee shall prepare a report of multiple sales or other dispositions whenever the licensee sells or otherwise disposes of, at one time or during any five consecutive business days, two or more pistols, or revolvers, or any combination of pistols and revolvers totalling two or more, to an unlicensed person. The report shall be prepared on a form specified by the Secretary and forwarded to the office specified thereon not later than the close of business on the day that the multiple sale or other disposition occurs. (4) Where a firearms or ammunition business is discontinued and succeeded by a new licensee, the records required to be kept by this chapter shall appropriately reflect such facts and shall be delivered to the successor. Where discontinuance of the business is absolute, such records shall be delivered within thirty days after the business discontinuance to the Secretary. However, where State law or local ordinance requires the delivery of records to other responsible authority, the Secretary may arrange for the delivery of such records to such other responsible authority. (5)(A) Each licensee shall, when required by letter issued by the Secretary, and until notified to the contrary in writing by the Secretary, submit on a form specified by the Secretary, for periods and at the times specified in such letter, all record information required to be kept by this chapter or such lesser record information as the Secretary in such letter may specify. (B) The Secretary may authorize such record information to be submitted in a manner other than that prescribed in subparagraph (A) of this paragraph when it is shown by a licensee that an alternate method of reporting is reasonably necessary and will not unduly hinder the effective administration of this chapter. A licensee may use an alternate method of reporting if the licensee describes the proposed alternate method of reporting and the need therefor in a letter application submitted to the Secretary, and the Secretary approves such alternate method of reporting. (h) Licenses issued under the provisions of subsection (c) of this section shall be kept posted and kept available for inspection on the premises covered by the license. (i) Licensed importers and licensed manufacturers shall identify by means of a serial number engraved or cast on the receiver or frame of the weapon, in such manner as the Secretary shall by regulations prescribe, each firearm imported or manufactured by such importer or manufacturer. (j) A licensed importer, licensed manufacturer, or licensed dealer may, under rules or regulations prescribed by the Secretary, conduct business temporarily at a location other than the location specified on the license if such temporary location is the location for a gun show or event sponsored by any national, State, or local organization, or any affiliate of any such organization devoted to the collection, competitive use, or other sporting use of firearms in the community, and such location is in the State which is specified on the license. Records of receipt and disposition of firearms transactions conducted at such temporary location shall include the location of the sale or other disposition and shall be entered in the permanent records of the licensee and retained on the location specified on the license. Nothing in this subsection shall authorize any licensee to conduct business in or from any motorized or towed vehicle. Notwithstanding the provisions of subsection (a) of this section, a separate fee shall not be required of a licensee with respect to business conducted under this subsection. Any inspection or examination of inventory or records under this chapter by the Secretary at such temporary location shall be limited to inventory consisting of, or records relating to, firearms held or disposed at such temporary location. Nothing in this subsection shall be construed to authorize the Secretary to inspect or examine the inventory or records of a licensed importer, licensed manufacturer, or licensed dealer at any location other than the location specified on the license. Nothing in this subsection shall be construed to diminish in any manner any right to display, sell, or otherwise dispose of firearms or ammunition, which is in effect before the date of the enactment of the Firearms Owners' Protection Act. (k) Licensed importers and licensed manufacturers shall mark all armor piercing projectiles and packages containing such projectiles for distribution in the manner prescribed by the Secretary by regulation. The Secretary shall furnish information to each dealer licensed under this chapter defining which projectiles are considered armor piercing ammunition as defined in section 921(a)(17)(B). -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 231, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1221; Pub. L. 92-377, title I, Sec. 165(b), Dec. 21, 1982, 96 Stat. 1923; Pub. L. 99-308, Sec. 103, May 19, 1986, 100 Stat. 453; Pub. L. 99-360, Sec. 1(c), July 8, 1986, 100 Stat. 766; Pub. L. 99-408, Sec. 3-7, Aug. 28, 1986, 100 Stat. 921; Pub. L. 100-690, title VII, Sec. 7060(d), Nov. 18, 1988, 102 Stat. 4404; Pub. L. 101-647, title XXII, Sec. 2203(a), title XXXV, Sec. 3525, Nov. 29, 1990, 104 Stat. 4857, 4924.) -REFTEXT- REFERENCES IN TEXT The date of the enactment of the Firearms Owners' Protection Act, referred to in subsec. (j), is the date of enactment of Pub. L. 99-308, which was approved May 19, 1986. -MISC2- AMENDMENTS 1990 - Subsec. (a)(3)(B). Pub. L. 101-647, Sec. 3525, which directed amendment of 'Section 923(a)(3)(B)' by inserting a comma after 'devices', without identifying a Code title or Act for section 923, was executed by making the insertion in subsec. (a)(3)(B) of this section to reflect the probable intent of Congress. Subsec. (d)(1)(B). Pub. L. 101-647, Sec. 2203(a), substituted '(n)' for '(h)'. 1988 - Subsec. (a). Pub. L. 100-690, Sec. 7060(d)(1), struck out period after 'licensing' in introductory provisions. Subsec. (f)(3). Pub. L. 100-690, Sec. 7060(d)(2), struck out the period that followed a period after 'paragraph (2)'. 1986 - Subsec. (a). Pub. L. 99-308, Sec. 103(1), amended first sentence generally and substituted 'only that information necessary to determine eligibility for licensing.' for 'such information' in second sentence. Prior to amendment, first sentence read as follows: 'No person shall engage in business as a firearms or ammunition importer, manufacturer, or dealer until he has filed an application with, and received a license to do so from, the Secretary.' Subsec. (a)(1)(A). Pub. L. 99-408, Sec. 3, in amending subpar. (A) generally, substituted ', ammunition for destructive devices or armor piercing ammunition' for 'or ammunition for destructive devices'. Subsec. (a)(1)(C). Pub. L. 99-408, Sec. 4, in amending subpar. (C) generally, substituted ', other than ammunition for destructive devices or armor piercing ammunition' for 'other than destructive devices'. Subsec. (a)(2). Pub. L. 99-408, Sec. 5, amended subpars. (A) and (B) generally. Prior to amendment, subpars. (A) and (B) read as follows: '(A) of destructive devices or ammunition for destructive devices, a fee of $1,000 per year; or '(B) of firearms other than destructive devices or ammunition for firearms other than destructive devices, a fee of $50 per year.' Subsec. (a)(3)(B). Pub. L. 99-308, Sec. 103(2), struck out 'or ammunition for firearms other than destructive devices,' after 'destructive devices'. Subsec. (b). Pub. L. 99-308, Sec. 103(3), substituted 'only that information necessary to determine eligibility' for 'such information'. Subsec. (c). Pub. L. 99-360 inserted provision which required any licensed manufacturer, importer, or dealer who has maintained a firearm as part of a personal collection for one year and sells or otherwise disposes of such firearm to record the description of the firearm in a bound volume, specified other information to be recorded, and provided that no other recordkeeping be required. Pub. L. 99-308, Sec. 103(4), inserted provision that nothing in this chapter be construed to prohibit a licensed manufacturer, importer, or dealer from maintaining and disposing of a personal collection of firearms subject to such restrictions as apply in this chapter to other persons, and provision specifying circumstances under which such disposition or any other acquisition shall result in such firearms being deemed part of the licensee's business inventory. Subsec. (e). Pub. L. 99-408, Sec. 6, inserted provisions relating to licenses of dealers willfully transferring armor piercing ammunition. Pub. L. 99-308, Sec. 103(5), inserted 'willfully' before 'violated'. Subsec. (f)(3). Pub. L. 99-308, Sec. 103(6)(A), inserted 'de novo' before 'judicial review' in second sentence and 'whether or not such evidence was considered at the hearing held under paragraph (2).' after 'to the proceeding' in third sentence. Subsec. (f)(4). Pub. L. 99-308, Sec. 103(6)(B), added par. (4). Subsec. (g). Pub. L. 99-308, Sec. 103(7), amended subsec. (g) generally. Prior to amendment, subsec. (g) read as follows: 'Each licensed importer, licensed manufacturer, licensed dealer, and licensed collector shall maintain such records of importation, production, shipment, receipt, sale, or other disposition, of firearms and ammunition except .22 caliber rimfire ammunition at such place, for such period, and in such form as the Secretary may by regulations prescribe. Such importers, manufacturers, dealers, and collectors shall make such records available for inspection at all reasonable times, and shall submit to the Secretary such reports and information with respect to such records and the contents thereof as he shall by regulations prescribe. The Secretary may enter during business hours the premises (including places of storage) of any firearms or ammunition importer, manufacturer, dealer, or collector for the purpose of inspecting or examining (1) any records or documents required to be kept by such importer, manufacturer, dealer, or collector under the provisions of this chapter or regulations issued under this chapter, and (2) any firearms or ammunition kept or stored by such importer, manufacturer, dealer, or collector at such premises. Upon the request of any State or any political subdivision thereof, the Secretary may make available to such State or any political subdivision thereof, any information which he may obtain by reason of the provisions of this chapter with respect to the identification of persons within such State or political subdivision thereof, who have purchased or received firearms or ammunition, together with a description of such firearms or ammunition.' Subsec. (j). Pub. L. 99-308, Sec. 103(8), amended subsec. (j) generally. Prior to amendment, subsec. (j) read as follows: 'This section shall not apply to anyone who engages only in hand loading, reloading, or custom loading ammunition for his own firearm, and who does not hand load, reload, or custom load ammunition for others.' Subsec. (k). Pub. L. 99-408, Sec. 7, added subsec. (k). 1982 - Subsec. (g). Pub. L. 97-377 inserted 'except .22 caliber rimfire ammunition' after 'and ammunition'. The amendment by Pub. L. 97-377, which purported to amend subsec. (9), was executed instead to subsec. (g) as the probable intent of Congress because this section does not contain a subsec. (9). 1968 - Subsec. (a). Pub. L. 90-618 struck out 'be required to' after 'Each applicant shall'. Subsec. (a)(1). Pub. L. 90-618 inserted 'the applicant is' after 'If' in text preceding subpar. (A), substituted 'or ammunition for destructive devices,' for 'and/or ammunition' in subpar. (A), decreased the fee from $500 per year to $50 per year in subpar. (B), and added subpar. (C). Subsec. (a)(2). Pub. L. 90-618 inserted 'the applicant is' after 'If' in text preceding subpar. (A), substituted 'or ammunition for destructive devices,' for 'and/or ammunition' in subpar. (A), and inserted provision for ammunition for firearms other than destructive devices and decreased the fee from $500 per year to $50 per year in subpar. (B). Subsec. (a)(3). Pub. L. 90-618 inserted 'the applicant is' after 'If' in text preceding subpar. (A), substituted 'in destructive devices or ammunition for destructive devices,' for 'of destructive devices and/or ammunition' in subpar. (A), and inserted provision for ammunition for firearms other than destructive devices and decreased the fee from $250 per year to $25 per year in subpar. (B). Subsecs. (b), (c). Pub. L. 90-618 added subsec. (b), redesignated former subsec. (b) as (c) and made mandatory the requirement that the Secretary issue the appropriate license to a qualified applicant. Former subsec. (c) redesignated (d). Subsec. (d). Pub. L. 90-618 redesignated former subsec. (c) as (d)(1), made changes in phraseology, inserted references to section 922(g) and (h) of this chapter in subsec. (d)(1)(B) and to applicants engaged in collecting in subsec. (d)(1)(E)(ii), and added subsec. (d)(2). Former subsec. (d) redesignated (g). Subsecs. (e), (f). Pub. L. 90-618 added subsecs. (e) and (f) and redesignated former subsecs. (e) and (f) as (h) and (i), respectively. Subsec. (g). Pub. L. 90-618 redesignated former subsec. (d) as (g) and added licensed collectors to the enumerated list of licensees subject to the provisions of this section. Subsec. (h). Pub. L. 90-618 redesignated former subsec. (e) as (h) and substituted 'subsection (c)' for 'subsection (b)'. Subsec. (i). Pub. L. 90-618 redesignated former subsec. (f) as (i) and inserted ', by means of a serial number engraved or cast on the receiver or frame of the weapon,' after 'shall identify'. Subsec. (j). Pub. L. 90-618 added subsec. (j). -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1986 AMENDMENT Amendment by sections 3 to 5 of Pub. L. 99-408 effective first day of first calendar month beginning more than ninety days after Aug. 28, 1986, and amendment by sections 6 and 7 of Pub. L. 99-408 effective Aug. 28, 1986, see section 9 of Pub. L. 99-408, set out as a note under section 921 of this title. Amendment by Pub. L. 99-360 effective on date on which amendment of this section by Firearms Owners' Protection Act, Pub. L. 99-308, became effective, see section 2 of Pub. L. 99-360, set out as a note under section 921 of this title. Amendment by section 103(1)-(6)(A), (7), (8) of Pub. L. 99-308 effective 180 days after May 19, 1986, and amendment by section 103(6)(B) of Pub. L. 99-308 applicable to any action, petition, or appellate proceeding pending on May 19, 1986, see section 110(a), (b) of Pub. L. 99-308, set out as a note under section 921 of this title. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 922 of this title; title 26 section 4182. ------DocID 24111 Document 353 of 1438------ -CITE- 18 USC Sec. 924 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 924. Penalties -STATUTE- (a)(1) Except as otherwise provided in paragraph (2) or (3) of this subsection, subsection (b), (c), or (f) of this section, or in section 929, whoever - (A) knowingly makes any false statement or representation with respect to the information required by this chapter to be kept in the records of a person licensed under this chapter or in applying for any license or exemption or relief from disability under the provisions of this chapter; (B) knowingly violates subsection (a)(4), (a)(6), (f), (k), or (q) of section 922; (C) knowingly imports or brings into the United States or any possession thereof any firearm or ammunition in violation of section 922(l); or (D) willfully violates any other provision of this chapter, shall be fined not more than $5,000, imprisoned not more than five years, or both. (2) Whoever knowingly violates subsection (d), (g), (h), (i), (j), or (o) of section 922 shall be fined as provided in this title, imprisoned not more than 10 years, or both. (3) Any licensed dealer, licensed importer, licensed manufacturer, or licensed collector who knowingly - (A) makes any false statement or representation with respect to the information required by the provisions of this chapter to be kept in the records of a person licensed under this chapter, or (B) violates subsection (m) of section 922, shall be fined not more than $1,000, imprisoned not more than one year, or both. (4) Whoever violates section 922(q) shall be fined not more than $5,000, imprisoned for not more than 5 years, or both. Notwithstanding any other provision of law, the term of imprisonment imposed under this paragraph shall not run concurrently with any other term of imprisonment imposed under any other provision of law. Except for the authorization of a term of imprisonment of not more than 5 years made in this paragraph, for the purpose of any other law a violation of section 922(q) shall be deemed to be a misdemeanor. (b) Whoever, with intent to commit therewith an offense punishable by imprisonment for a term exceeding one year, or with knowledge or reasonable cause to believe that an offense punishable by imprisonment for a term exceeding one year is to be committed therewith, ships, transports, or receives a firearm or any ammunition in interstate or foreign commerce shall be fined not more than $10,000, or imprisoned not more than ten years, or both. (c)(1) Whoever, during and in relation to any crime of violence or drug trafficking crime (including a crime of violence or drug trafficking crime which provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device) for which he may be prosecuted in a court of the United States, uses or carries a firearm, shall, in addition to the punishment provided for such crime of violence or drug trafficking crime, be sentenced to imprisonment for five years, and if the firearm is a short-barreled rifle, (FOOTNOTE 1) short-barreled shotgun to imprisonment for ten years, and if the firearm is a machinegun, or a destructive device, or is equipped with a firearm silencer or firearm muffler, to imprisonment for thirty years. In the case of his second or subsequent conviction under this subsection, such person shall be sentenced to imprisonment for twenty years, and if the firearm is a machinegun, or a destructive device, or is equipped with a firearm silencer or firearm muffler, to life imprisonment without release. (FOOTNOTE 2) Notwithstanding any other provision of law, the court shall not place on probation or suspend the sentence of any person convicted of a violation of this subsection, nor shall the term of imprisonment imposed under this subsection run concurrently with any other term of imprisonment including that imposed for the crime of violence or drug trafficking crime in which the firearm was used or carried. No person sentenced under this subsection shall be eligible for parole during the term of imprisonment imposed herein. (FOOTNOTE 1) So in original. The comma probably should be 'or a'. (FOOTNOTE 2) See 1988 Amendment note below. (2) For purposes of this subsection, the term 'drug trafficking crime' means any felony punishable under the Controlled Substances Act (21 U.S.C. 801 et seq.), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.), or the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq.). (3) For purposes of this subsection the term 'crime of violence' means an offense that is a felony and - (A) has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or (B) that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense. (d)(1) Any firearm or ammunition involved in or used in any knowing violation of subsection (a)(4), (a)(6), (f), (g), (h), (i), (j), or (k) of section 922, or knowing importation or bringing into the United States or any possession thereof any firearm or ammunition in violation of section 922(l), or knowing violation of section 924, or willful violation of any other provision of this chapter or any rule or regulation promulgated thereunder, or any violation of any other criminal law of the United States, or any firearm or ammunition intended to be used in any offense referred to in paragraph (3) of this subsection, where such intent is demonstrated by clear and convincing evidence, shall be subject to seizure and forfeiture, and all provisions of the Internal Revenue Code of 1986 relating to the seizure, forfeiture, and disposition of firearms, as defined in section 5845(a) of that Code, shall, so far as applicable, extend to seizures and forfeitures under the provisions of this chapter: Provided, That upon acquittal of the owner or possessor, or dismissal of the charges against him other than upon motion of the Government prior to trial, the seized firearms or ammunition shall be returned forthwith to the owner or possessor or to a person delegated by the owner or possessor unless the return of the firearms or ammunition would place the owner or possessor or his delegate in violation of law. Any action or proceeding for the forfeiture of firearms or ammunition shall be commenced within one hundred and twenty days of such seizure. (2)(A) In any action or proceeding for the return of firearms or ammunition seized under the provisions of this chapter, the court shall allow the prevailing party, other than the United States, a reasonable attorney's fee, and the United States shall be liable therefor. (B) In any other action or proceeding under the provisions of this chapter, the court, when it finds that such action was without foundation, or was initiated vexatiously, frivolously, or in bad faith, shall allow the prevailing party, other than the United States, a reasonable attorney's fee, and the United States shall be liable therefor. (C) Only those firearms or quantities of ammunition particularly named and individually identified as involved in or used in any violation of the provisions of this chapter or any rule or regulation issued thereunder, or any other criminal law of the United States or as intended to be used in any offense referred to in paragraph (3) of this subsection, where such intent is demonstrated by clear and convincing evidence, shall be subject to seizure, forfeiture, and disposition. (D) The United States shall be liable for attorneys' fees under this paragraph only to the extent provided in advance by appropriation Acts. (3) The offenses referred to in paragraphs (1) and (2)(C) of this subsection are - (A) any crime of violence, as that term is defined in section 924(c)(3) of this title; (B) any offense punishable under the Controlled Substances Act (21 U.S.C. 801 et seq.) or the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.); (C) any offense described in section 922(a)(1), 922(a)(3), 922(a)(5), or 922(b)(3) of this title, where the firearm or ammunition intended to be used in any such offense is involved in a pattern of activities which includes a violation of any offense described in section 922(a)(1), 922(a)(3), 922(a)(5), or 922(b)(3) of this title; (D) any offense described in section 922(d) of this title where the firearm or ammunition is intended to be used in such offense by the transferor of such firearm or ammunition; (E) any offense described in section 922(i), 922(j), 922(l), 922(n), or 924(b) of this title; and (F) any offense which may be prosecuted in a court of the United States which involves the exportation of firearms or ammunition. (e)(1) In the case of a person who violates section 922(g) of this title and has three previous convictions by any court referred to in section 922(g)(1) of this title for a violent felony or a serious drug offense, or both, committed on occasions different from one another, such person shall be fined not more than $25,000 and imprisoned not less than fifteen years, and, notwithstanding any other provision of law, the court shall not suspend the sentence of, or grant a probationary sentence to, such person with respect to the conviction under section 922(g), and such person shall not be eligible for parole with respect to the sentence imposed under this subsection. (2) As used in this subsection - (A) the term 'serious drug offense' means - (i) an offense under the Controlled Substances Act (21 U.S.C. 801 et seq.), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.), or the first section or section 3 of Public Law 96-350 (21 U.S.C. 955a et seq.) (FOOTNOTE 2) for which a maximum term of imprisonment of ten years or more is prescribed by law; or (FOOTNOTE 2) See References in Text note below. (ii) an offense under State law, involving manufacturing, distributing, or possessing with intent to manufacture or distribute, a controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)), for which a maximum term of imprisonment of ten years or more is prescribed by law; (B) the term 'violent felony' means any crime punishable by imprisonment for a term exceeding one year, or any act of juvenile delinquency involving the use or carrying of a firearm, knife, or destructive device that would be punishable by imprisonment for such term if committed by an adult, that - (i) has as an element the use, attempted use, or threatened use of physical force against the person of another; or (ii) is burglary, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another; and (C) the term 'conviction' includes a finding that a person has committed an act of juvenile delinquency involving a violent felony. (f) In the case of a person who knowingly violates section 922(p), such person shall be fined under this title, or imprisoned not more than 5 years, or both. (g) Whoever, with the intent to engage in conduct which - (1) constitutes an offense listed in section 1961(1), (2) is punishable under the Controlled Substances Act (21 U.S.C. 802 et seq.), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.), or the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq.), (3) violates any State law relating to any controlled substance (as defined in section 102(6) of the Controlled Substances Act (21 U.S.C. 802(6))), or (4) constitutes a crime of violence (as defined in subsection (c)(3)), travels from any State or foreign country into any other State and acquires, transfers, or attempts to acquire or transfer, a firearm in such other State in furtherance of such purpose, shall be imprisoned not more than 10 years, fined in accordance with this title, or both. (h) Whoever knowingly transfers a firearm, knowing that such firearm will be used to commit a crime of violence (as defined in subsection (c)(3)) or drug trafficking crime (as defined in subsection (c)(2)) shall be imprisoned not more than 10 years, fined in accordance with this title, or both. -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 233, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1223; Pub. L. 91-644, title II, Sec. 13, Jan. 2, 1971, 84 Stat. 1889; Pub. L. 98-473, title II, Sec. 223(a), 1005(a), Oct. 12, 1984, 98 Stat. 2028, 2138; Pub. L. 99-308, Sec. 104(a), May 19, 1986, 100 Stat. 456; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 99-570, title I, Sec. 1402, Oct. 27, 1986, 100 Stat. 3207-39; Pub. L. 100-649, Sec. 2(b), (f)(2)(B), (D), Nov. 10, 1988, 102 Stat. 3817, 3818; Pub. L. 100-690, title VI, Sec. 6211, 6212, 6451, 6460, 6462, title VII, Sec. 7056, 7060(a), Nov. 18, 1988, 102 Stat. 4359, 4360, 4371, 4373, 4374, 4402, 4403; Pub. L. 101-647, title XI, Sec. 1101, title XVII, Sec. 1702(b)(3), title XXII, Sec. 2203(d), 2204(c), title XXXV, Sec. 3526-3529, Nov. 29, 1990, 104 Stat. 4829, 4845, 4857, 4924.) -STATAMEND- AMENDMENT OF SECTION Pub. L. 100-649, Sec. 2(f)(2)(B), (D), Nov. 10, 1988, 102 Stat. 3818, as amended by Pub. L. 101-647, title XXXV, Sec. 3526(b), Nov. 29, 1990, 104 Stat. 4924, provided that, effective 10 years after the 30th day beginning after Nov. 10, 1988, subsection (a)(1) of this section is amended by striking ', (c), or (f)' and inserting in lieu thereof 'or (c)', subsection (f) of this section is repealed, and subsections (g) and (h) of this section are redesignated as subsections (f) and (g), respectively, of this section. -REFTEXT- REFERENCES IN TEXT The Internal Revenue Code of 1986, referred to in subsec. (d)(1), is set out as Title 26, Internal Revenue Code. Section 5845(a) of that Code, referred to in subsec. (d)(1), is classified to section 5845(a) of Title 26. The Controlled Substances Act, referred to in subsecs. (c)(2), (d)(3)(B), (e)(2)(A)(i), and (g)(2), is title II of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1242, as amended, which is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. The Controlled Substances Import and Export Act, referred to in subsecs. (c)(2), (d)(3)(B), (e)(2)(A)(i), and (g)(2), is title III of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1285, as amended, which is classified principally to subchapter II (Sec. 951 et seq.) of chapter 13 of Title 21. For complete classification of this Act to the Code, see Short Title note set out under section 951 of Title 21 and Tables. The Maritime Drug Law Enforcement Act, referred to in subsecs. (c)(2) and (g)(2), is Pub. L. 96-350, Sept. 15, 1980, 94 Stat. 1159, as amended, which is classified generally to chapter 38 (Sec. 1901 et seq.) of Title 46, Appendix, Shipping. For complete classification of this Act to the Code, see section 1901 of Title 46, Appendix, and Tables. The first section and section 3 of Pub. L. 96-350, referred to in subsec. (e)(2)(A)(i), were classified to sections 955a and 955c of Title 21, Food and Drugs, prior to the general amendment of Pub. L. 96-350 by Pub. L. 99-570, title III, Sec. 3202, Oct. 27, 1986, 100 Stat. 3207-95, and Pub. L. 99-640, Sec. 17, Nov. 10, 1986, 100 Stat. 3552, which consolidated the provisions of former sections 1 and 3 of Pub. L. 96-350 into the new section 3 of Pub. L. 96-350 which is classified to section 1903 of Title 46, Appendix, Shipping. Pub. L. 96-350, as so generally amended, is known as the Maritime Drug Law Enforcement Act, see note above. -MISC2- AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-647, Sec. 3528, which directed amendment of 'Section 924(a)(1)' by substituting '(3)' for '3' without identifying a Code title or Act for section 924, was executed by making the substitution in the introductory provisions of subsec. (a)(1) of this section, to reflect the probable intent of Congress. Pub. L. 101-647, Sec. 2203(d), struck out ', and shall become eligible for parole as the Parole Commission shall determine' before period at end. Subsec. (a)(1)(B). Pub. L. 101-647, Sec. 2204(c), substituted '(k), or (q)' for 'or (k)'. Subsec. (a)(2). Pub. L. 101-647, Sec. 3529(1), substituted 'subsection' for 'subsections' and inserted a comma after '10 years'. Subsec. (a)(3). Pub. L. 101-647, Sec. 2203(d), struck out ', and shall become eligible for parole as the Parole Commission shall determine' before period at end. Subsec. (a)(4). Pub. L. 101-647, Sec. 1702(b)(3), added par. (4). Subsec. (c)(1). Pub. L. 101-647, Sec. 3527, which directed amendment of subsec. (c)(1) by striking out 'imprisonment for' the fourth place it appeared, was executed by striking out those words before 'life imprisonment without release' which is the fifth place they appeared, to reflect the probable intent of Congress and the intervening amendment by Pub. L. 101-647, Sec. 1101(1). See note below. Pub. L. 101-647, Sec. 1101(2), which directed amendment of first sentence by 'inserting 'or a destructive device,' after 'a machinegun,' wherever the term 'machine gun' appears, in section 924(c)(1)', was executed by inserting the new language after 'a machinegun,' once in the first sentence and once in the second sentence to reflect the probable intent of Congress. Pub. L. 101-647, Sec. 1101(1), inserted 'and if the firearm is a short-barreled rifle, short-barreled shotgun to imprisonment for ten years,' after 'sentenced to imprisonment for five years,'. Subsec. (e)(2). Pub. L. 101-647, Sec. 3529(2), (3), struck out 'and' at end of subpar. (A)(ii) and substituted '; and' for period at end of subpar. (B)(ii). Subsecs. (f) to (h). Pub. L. 101-647, Sec. 3526(a), redesignated subsec. (f) relating to punishment for traveling from any State or foreign country into another State to obtain firearms for drug trafficking purposes as subsec. (g) and redesignated former subsec. (g) as (h). 1988 - Subsec. (a). Pub. L. 100-690, Sec. 6462, in par. (1), inserted 'or 3' and substituted ', (c), or (f)' for 'or (c)' in introductory provisions and struck out '(g), (i), (j),' after '(f),' in subpar. (B), added par. (2), and redesignated former par. (2) as (3). Subsec. (c)(1). Pub. L. 100-690, Sec. 7060(a), substituted 'crime (including a crime of violence or drug trafficking crime which' for 'crime,, including a crime of violence or drug trafficking crime, which', 'device) for' for 'device, for', 'crime, be sentenced' for 'crime,, be sentenced', and 'crime in which' for 'crime, or drug trafficking crime in which'. Pub. L. 100-690, Sec. 6460(1), (2)(A), substituted 'thirty years. In' for 'ten years. In' and 'twenty years, and if' for 'ten years, and if'. Pub. L. 100-690, Sec. 6460(2)(B), which directed amendment of subsec. (c)(1) by striking '20 years' and inserting 'life imprisonment without release' was executed by substituting 'life imprisonment without release' for 'twenty years' to reflect the probable intent of Congress because '20 years' did not appear. Subsec. (c)(2). Pub. L. 100-690, Sec. 6212, amended par. (2) generally. Prior to amendment, par. (2) read as follows: 'For purposes of this subsection, the term 'drug trafficking crime' means any felony violation of Federal law involving the distribution, manufacture, or importation of any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)).' Subsec. (e)(1). Pub. L. 100-690, Sec. 7056, inserted 'committed on occasions different from one another,' after 'or both,'. Subsec. (e)(2)(B). Pub. L. 100-690, Sec. 6451(1), inserted ', or any act of juvenile delinquency involving the use or carrying of a firearm, knife, or destructive device that would be punishable by imprisonment for such term if committed by an adult,' after 'one year'. Subsec. (e)(2)(C). Pub. L. 100-690, Sec. 6451(2), added subpar. (C). Subsec. (f). Pub. L. 100-690, Sec. 6211, added subsec. (f) relating to punishment for traveling from any State or foreign country into another State to obtain firearms for drug trafficking purposes. Pub. L. 100-649, Sec. 2(b)(2), added subsec. (f) relating to penalty for violating section 922(p). Subsec. (g). Pub. L. 100-690, Sec. 6211, added subsec. (g). 1986 - Subsec. (a). Pub. L. 99-308, Sec. 104(a)(1), amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: 'Whoever violates any provision of this chapter or knowingly makes any false statement or representation with respect to the information required by the provisions of this chapter to be kept in the records of a person licensed under this chapter, or in applying for any license or exemption or relief from disability under the provisions of this chapter, shall be fined not more than $5,000, or imprisoned not more than five years, or both, and shall become eligible for parole as the Board of Parole shall determine.' Subsec. (c)(1). Pub. L. 99-308, Sec. 104(a)(2)(C)-(E), designated existing provision as par. (1), and substituted 'violence or drug trafficking crime,' for 'violence' in four places and inserted ', and if the firearm is a machinegun, or is equipped with a firearm silencer or firearm muffler, to imprisonment for ten years' after 'five years', ', and if the firearm is a machinegun, or is equipped with a firearm silencer or firearm muffler, to imprisonment for twenty years' after 'ten years', and 'or drug trafficking crime' before 'in which the firearm was used or carried'. Subsec. (c)(2), (3). Pub. L. 99-308, Sec. 104(a)(2)(F), added pars. (2) and (3). Subsec. (d). Pub. L. 99-308, Sec. 104(a)(3), amended subsec. (d) generally. Prior to amendment, subsec. (d) read as follows: 'Any firearm or ammunition involved in or used or intended to be used in, any violation of the provisions of this chapter or any rule or regulation promulgated thereunder, or any violation of any other criminal law of the United States, shall be subject to seizure and forfeiture and all provisions of the Internal Revenue Code of 1954 relating to the seizure, forfeiture, and disposition of firearms, as defined in section 5845(a) of that Code, shall, so far as applicable, extend to seizures and forfeitures under the provisions of this chapter.' Subsec. (d)(1). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. Subsec. (e). Pub. L. 99-308, Sec. 104(a)(4), added subsec. (e). Subsec. (e)(1). Pub. L. 99-570, Sec. 1402(a), substituted 'for a violent felony or a serious drug offense, or both' for 'for robbery or burglary, or both'. Subsec. (e)(2). Pub. L. 99-570, Sec. 1402(b), amended par. (2) generally, substituting provisions defining terms 'serious drug offense' and 'violent felony' for provisions defining 'robbery' and 'burglary'. 1984 - Subsec. (a). Pub. L. 98-473, Sec. 223(a), which directed amendment of subsec. (a) by striking out ', and shall become eligible for parole as the Board of Parole shall determine' effective Nov. 1, 1987, pursuant to section 235 of Pub. L. 98-473, as amended, could not be executed because quoted language no longer appears due to general amendment of subsec. (a) by Pub. L. 99-308, Sec. 104(a)(1). See 1986 Amendment note above. Subsec. (c). Pub. L. 98-473, Sec. 1005(a), amended subsec. (c) generally, substituting provisions setting forth mandatory, determinate sentence for persons who use or carry firearms during and in relation to any Federal crime of violence for provisions setting out a minimum sentencing scheme for the use or carrying, unlawfully, of a firearm during a Federal felony. 1971 - Subsec. (c). Pub. L. 91-644, in first sentence, substituted 'felony for which he' for 'felony which' in items (1) and (2) and inserted ', in addition to the punishment provided for the commission of such felony,' before 'be sentenced', and in second sentence substituted 'for not less than two nor more than twenty-five years' for 'for not less than five years nor more than 25 years', inserted 'in the case of a second or subsequent conviction' after 'suspend the sentence', and prohibited term of imprisonment imposed under this subsec. to run concurrently with any term for commission of the felony. 1968 - Subsec. (a). Pub. L. 90-618 inserted provision authorizing the Board of Parole to grant parole to a person convicted under this chapter. Subsec. (b). Pub. L. 90-618 inserted 'or any ammunition' after 'a firearm'. Subsecs. (c), (d). Pub. L. 90-618 added subsec. (c), redesignated former subsec. (c) as (d), and as so redesignated, substituted 'section 5845(a) of that Code' for 'section 5848(1) of said Code'. EFFECTIVE DATE OF 1990 AMENDMENT Amendment by section 1702(b)(3) of Pub. L. 101-647 applicable to conduct engaged in after end of 60-day period beginning on Nov. 29, 1990, see section 1702(b)(4) of Pub. L. 101-647, set out as a note under section 921 of this title. Section 2203(d) of Pub. L. 101-647 provided that the amendment by that section is effective with respect to any offense committed after Nov. 1, 1987. EFFECTIVE DATE OF 1988 AMENDMENT; SUNSET PROVISION Amendment by section 2(b) of Pub. L. 100-649 effective 30th day beginning after Nov. 10, 1988, and amendment by section 2(f)(2)(B), (D) effective 10 years after such effective date, see section 2(f) of Pub. L. 100-649, set out as a note under section 922 of this title. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-308 effective 180 days after May 19, 1986, see section 110(a) of Pub. L. 99-308, set out as a note under section 921 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 223(a) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 3142 of this title; title 8 section 1101. ------DocID 24112 Document 354 of 1438------ -CITE- 18 USC Sec. 925 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 925. Exceptions: Relief from disabilities -STATUTE- (a)(1) The provisions of this chapter, except for provisions relating to firearms subject to the prohibitions of section 922(p), shall not apply with respect to the transportation, shipment, receipt, possession, or importation of any firearm or ammunition imported for, sold or shipped to, or issued for the use of, the United States or any department or agency thereof or any State or any department, agency, or political subdivision thereof. (2) The provisions of this chapter, except for provisions relating to firearms subject to the prohibitions of section 922(p), shall not apply with respect to (A) the shipment or receipt of firearms or ammunition when sold or issued by the Secretary of the Army pursuant to section 4308 of title 10, and (B) the transportation of any such firearm or ammunition carried out to enable a person, who lawfully received such firearm or ammunition from the Secretary of the Army, to engage in military training or in competitions. (3) Unless otherwise prohibited by this chapter, except for provisions relating to firearms subject to the prohibitions of section 922(p), or any other Federal law, a licensed importer, licensed manufacturer, or licensed dealer may ship to a member of the United States Armed Forces on active duty outside the United States or to clubs, recognized by the Department of Defense, whose entire membership is composed of such members, and such members or clubs may receive a firearm or ammunition determined by the Secretary of the Treasury to be generally recognized as particularly suitable for sporting purposes and intended for the personal use of such member or club. (4) When established to the satisfaction of the Secretary to be consistent with the provisions of this chapter, except for provisions relating to firearms subject to the prohibitions of section 922(p), and other applicable Federal and State laws and published ordinances, the Secretary may authorize the transportation, shipment, receipt, or importation into the United States to the place of residence of any member of the United States Armed Forces who is on active duty outside the United States (or who has been on active duty outside the United States within the sixty day period immediately preceding the transportation, shipment, receipt, or importation), of any firearm or ammunition which is (A) determined by the Secretary to be generally recognized as particularly suitable for sporting purposes, or determined by the Department of Defense to be a type of firearm normally classified as a war souvenir, and (B) intended for the personal use of such member. (5) For the purpose of paragraphs (3) and (4) of this subsection, the term 'United States' means each of the several States and the District of Columbia. (b) A licensed importer, licensed manufacturer, licensed dealer, or licensed collector who is indicted for a crime punishable by imprisonment for a term exceeding one year, may, notwithstanding any other provision of this chapter, continue operation pursuant to his existing license (if prior to the expiration of the term of the existing license timely application is made for a new license) during the term of such indictment and until any conviction pursuant to the indictment becomes final. (c) A person who is prohibited from possessing, shipping, transporting, or receiving firearms or ammunition may make application to the Secretary for relief from the disabilities imposed by Federal laws with respect to the acquisition, receipt, transfer, shipment, transportation, or possession of firearms, and the Secretary may grant such relief if it is established to his satisfaction that the circumstances regarding the disability, and the applicant's record and reputation, are such that the applicant will not be likely to act in a manner dangerous to public safety and that the granting of the relief would not be contrary to the public interest. Any person whose application for relief from disabilities is denied by the Secretary may file a petition with the United States district court for the district in which he resides for a judicial review of such denial. The court may in its discretion admit additional evidence where failure to do so would result in a miscarriage of justice. A licensed importer, licensed manufacturer, licensed dealer, or licensed collector conducting operations under this chapter, who makes application for relief from the disabilities incurred under this chapter, shall not be barred by such disability from further operations under his license pending final action on an application for relief filed pursuant to this section. Whenever the Secretary grants relief to any person pursuant to this section he shall promptly publish in the Federal Register notice of such action, together with the reasons therefor. (d) The Secretary shall authorize a firearm or ammunition to be imported or brought into the United States or any possession thereof if the firearm or ammunition - (1) is being imported or brought in for scientific or research purposes, or is for use in connection with competition or training pursuant to chapter 401 of title 10; (2) is an unserviceable firearm, other than a machinegun as defined in section 5845(b) of the Internal Revenue Code of 1986 (not readily restorable to firing condition), imported or brought in as a curio or museum piece; (3) is of a type that does not fall within the definition of a firearm as defined in section 5845(a) of the Internal Revenue Code of 1986 and is generally recognized as particularly suitable for or readily adaptable to sporting purposes, excluding surplus military firearms, except in any case where the Secretary has not authorized the importation of the firearm pursuant to this paragraph, it shall be unlawful to import any frame, receiver, or barrel of such firearm which would be prohibited if assembled; or (4) was previously taken out of the United States or a possession by the person who is bringing in the firearm or ammunition. The Secretary shall permit the conditional importation or bringing in of a firearm or ammunition for examination and testing in connection with the making of a determination as to whether the importation or bringing in of such firearm or ammunition will be allowed under this subsection. (e) Notwithstanding any other provision of this title, the Secretary shall authorize the importation of, by any licensed importer, the following: (1) All rifles and shotguns listed as curios or relics by the Secretary pursuant to section 921(a)(13), and (2) All handguns, listed as curios or relics by the Secretary pursuant to section 921(a)(13), provided that such handguns are generally recognized as particularly suitable for or readily adaptable to sporting purposes. (f) The Secretary shall not authorize, under subsection (d), the importation of any firearm the importation of which is prohibited by section 922(p). -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 233, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1224; Pub. L. 98-573, title II, Sec. 233, Oct. 30, 1984, 98 Stat. 2991; Pub. L. 99-308, Sec. 105, May 19, 1986, 100 Stat. 459; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 100-649, Sec. 2(c), (f)(2)(C), (E), Nov. 10, 1988, 102 Stat. 3817, 3818; Pub. L. 101-647, title XXII, Sec. 2203(b), (c), Nov. 29, 1990, 104 Stat. 4857.) -STATAMEND- AMENDMENT OF SECTION Pub. L. 100-649, Sec. 2(f)(2)(C), (E), Nov. 10, 1988, 102 Stat. 3818, provided that, effective 10 years after the 30th day beginning after Nov. 10, 1988, subsection (a) of this section is amended by striking ', except for provisions relating to firearms subject to the prohibitions of section 922(p),' in pars. (1) to (4) and subsection (f) of this section is repealed. -REFTEXT- REFERENCES IN TEXT Section 5845(b) of the Internal Revenue Code of 1986, referred to in subsec. (d)(2), is classified to section 5845(b) of Title 26, Internal Revenue Code. Section 5845(a) of the Internal Revenue Code of 1986, referred to in subsec. (d)(3), is classified to section 5845(a) of Title 26. -MISC2- AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-647, Sec. 2203(b), inserted 'possession,' before 'or importation'. Subsec. (c). Pub. L. 101-647, Sec. 2203(c), substituted 'regarding the disability' for 'regarding the conviction' and 'barred by such disability' for 'barred by such conviction' and struck out 'by reason of such a conviction' after 'incurred under this chapter'. 1988 - Subsec. (a). Pub. L. 100-649, Sec. 2(c)(1), inserted ', except for provisions relating to firearms subject to the prohibitions of section 922(p),' after 'chapter' in pars. (1) to (4). Subsec. (f). Pub. L. 100-649, Sec. 2(c)(2), added subsec. (f). 1986 - Subsec. (c). Pub. L. 99-308, Sec. 105(1), substituted 'is prohibited from possessing, shipping, transporting, or receiving firearms or ammunition' for 'has been convicted of a crime punishable by imprisonment for a term exceeding one year (other than a crime involving the use of a firearm or other weapon or a violation of this chapter or of the National Firearms Act)' and 'shipment, transportation, or possession of firearms, and' for 'shipment, or possession of firearms and incurred by reason of such conviction, and' and inserted provision that any person whose application for relief has been denied may file for judicial relief of such denial and that the court may admit additional evidence to avoid a miscarriage of justice. Subsec. (d). Pub. L. 99-308, Sec. 105(2)(A), (B), (D), in provision preceding par. (1) substituted 'shall authorize' for 'may authorize' and struck out 'the person importing or bringing in the firearm or ammunition establishes to the satisfaction of the Secretary that' after 'thereof if', and in provision following par. (4) substituted 'shall permit' for 'may permit'. Subsec. (d)(2). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. Subsec. (d)(3). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. Pub. L. 99-308, Sec. 105(2)(C), inserted 'except in any case where the Secretary has not authorized the importation of the firearm pursuant to this paragraph, it shall be unlawful to import any frame, receiver, or barrel of such firearm which would be prohibited if assembled'. 1984 - Subsec. (e). Pub. L. 98-573 added subsec. (e). 1968 - Subsec. (a). Pub. L. 90-618 redesignated existing provisions as par. (1), made minor changes in phraseology, and added pars. (2) to (5). Subsec. (b). Pub. L. 90-618 added licensed collectors to the enumerated list of licensees. Subsec. (c). Pub. L. 90-618 substituted 'imposed by Federal laws with respect to the acquisition, receipt, transfer, shipment, or possession of firearms and' for 'under this chapter', 'to act in a manner dangerous to public safety' for 'to conduct his operations in an unlawful manner,' and 'licensed importer, licensed manufacturer, licensed dealer, or licensed collector' for 'licensee'. Subsec. (d). Pub. L. 90-618 made minor changes in phraseology, subjected ammunition to the authority of the Secretary in text preceding par. (1), substituted 'section 5845(b)' for 'section 5848(2)' in par. (2), substituted 'section 5845(a)' for 'section 5848(1)' and 'excluding surplus military firearms' for 'and in the case of surplus military firearms is a rifle or shotgun' in par. (3), inserted 'or ammunition' after 'the firearm' in par. (4), and authorized the Secretary to permit the importation of ammunition for examination and testing in text following par. (4). EFFECTIVE DATE OF 1988 AMENDMENT; SUNSET PROVISION Amendment by section 2(c) of Pub. L. 100-649 effective 30th day beginning after Nov. 10, 1988, and amendment by section 2(f)(2)(C), (E) effective 10 years after such effective date, see section 2(f) of Pub. L. 100-649, set out as a note under section 922 of this title. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-308 applicable to any action, petition, or appellate proceeding pending on May 19, 1986, see section 110(b) of Pub. L. 99-308, set out as a note under section 921 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-573 to take effect the 15th day after Oct. 30, 1984, see section 214(a), (b) of Pub. L. 98-573, set out as a note under section 1304 of Title 19, Customs Duties. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, except subsecs. (a)(1) and (d) effective Oct. 22, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 922 of this title; title 22 section 2778. ------DocID 24113 Document 355 of 1438------ -CITE- 18 USC Sec. 926 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 926. Rules and regulations -STATUTE- (a) The Secretary may prescribe only such rules and regulations as are necessary to carry out the provisions of this chapter, including - (1) regulations providing that a person licensed under this chapter, when dealing with another person so licensed, shall provide such other licensed person a certified copy of this license; and (2) regulations providing for the issuance, at a reasonable cost, to a person licensed under this chapter, of certified copies of his license for use as provided under regulations issued under paragraph (1) of this subsection. No such rule or regulation prescribed after the date of the enactment of the Firearms Owners' Protection Act may require that records required to be maintained under this chapter or any portion of the contents of such records, be recorded at or transferred to a facility owned, managed, or controlled by the United States or any State or any political subdivision thereof, nor that any system of registration of firearms, firearms owners, or firearms transactions or dispositions be established. Nothing in this section expands or restricts the Secretary's authority to inquire into the disposition of any firearm in the course of a criminal investigation. (b) The Secretary shall give not less than ninety days public notice, and shall afford interested parties opportunity for hearing, before prescribing such rules and regulations. (c) The Secretary shall not prescribe rules or regulations that require purchasers of black powder under the exemption provided in section 845(a)(5) of this title to complete affidavits or forms attesting to that exemption. -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 234, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1226; Pub. L. 99-308, Sec. 106, May 19, 1986, 100 Stat. 459.) -REFTEXT- REFERENCES IN TEXT The date of the enactment of the Firearms Owners' Protection Act, referred to in subsec. (a), is the date of enactment of Pub. L. 99-308, which was approved May 19, 1986. -MISC2- AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-308, Sec. 106(1)-(4), designated existing provision as subsec. (a), and in subsec. (a) as so designated, in provision preceding par. (1) substituted 'may prescribe only' for 'may prescribe' and 'as are' for 'as he deems reasonably', and in closing provision substituted provision that no rule or regulation prescribed after May 19, 1986, require that records required under this chapter be recorded at or transferred to a facility owned, managed, or controlled by the United States or any State or political subdivision thereof, nor any system of registration of firearms, firearms owners, or firearms transactions or dispositions be established and that nothing in this section expand or restrict the authority of the Secretary to inquire into the disposition of any firearm in the course of a criminal investigation for provision that the Secretary give reasonable public notice, and afford an opportunity for a hearing, prior to prescribing rules and regulations. Subsecs. (b), (c). Pub. L. 99-308, Sec. 106(5), added subsecs. (b) and (c). 1968 - Pub. L. 90-618 inserted provisions authorizing the Secretary to prescribe regulations requiring a licensee, when dealing with another licensee, to provide such other licensee a certified copy of the license, and regulations authorizing the issuance of certified copies of the license required under this chapter. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-308 effective 180 days after May 19, 1986, see section 110(a) of Pub. L. 99-308, set out as a note under section 921 of this title. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. ------DocID 24114 Document 356 of 1438------ -CITE- 18 USC Sec. 926A -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 926A. Interstate transportation of firearms -STATUTE- Notwithstanding any other provision of any law or any rule or regulation of a State or any political subdivision thereof, any person who is not otherwise prohibited by this chapter from transporting, shipping, or receiving a firearm shall be entitled to transport a firearm for any lawful purpose from any place where he may lawfully possess and carry such firearm to any other place where he may lawfully possess and carry such firearm if, during such transportation the firearm is unloaded, and neither the firearm nor any ammunition being transported is readily accessible or is directly accessible from the passenger compartment of such transporting vehicle: Provided, That in the case of a vehicle without a compartment separate from the driver's compartment the firearm or ammunition shall be contained in a locked container other than the glove compartment or console. -SOURCE- (Added Pub. L. 99-360, Sec. 1(a), July 8, 1986, 100 Stat. 766.) -COD- PRIOR PROVISIONS A prior section 926A, added Pub. L. 99-308, Sec. 107(a), May 19, 1986, 100 Stat. 460, which provided that any person not prohibited by this chapter from transporting, shipping, or receiving a firearm be entitled to transport an unloaded, not readily accessible firearm in interstate commerce notwithstanding any provision of any legislation enacted, or rule or regulation prescribed by any State or political subdivision thereof, was repealed by Pub. L. 99-360, Sec. 1(a), July 8, 1986, 100 Stat. 766. -MISC3- EFFECTIVE DATE Section effective on date on which Firearms Owners' Protection Act, Pub. L. 99-308, became effective, see section 2 of Pub. L. 99-360, set out as an Effective Date of 1986 Amendments note under section 921 of this title. ------DocID 24115 Document 357 of 1438------ -CITE- 18 USC Sec. 927 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 927. Effect on State law -STATUTE- No provision of this chapter shall be construed as indicating an intent on the part of the Congress to occupy the field in which such provision operates to the exclusion of the law of any State on the same subject matter, unless there is a direct and positive conflict between such provision and the law of the State so that the two cannot be reconciled or consistently stand together. -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 234, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1226.) -MISC1- AMENDMENTS 1968 - Pub. L. 90-618 struck out 'or possession' after 'State' wherever appearing. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. ------DocID 24116 Document 358 of 1438------ -CITE- 18 USC Sec. 928 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 928. Separability -STATUTE- If any provision of this chapter or the application thereof to any person or circumstances is held invalid, the remainder of the chapter and the application of such provision to other persons not similarly situated or to other circumstances shall not be affected thereby. -SOURCE- (Added Pub. L. 90-351, title IV, Sec. 902, June 19, 1968, 82 Stat. 234, and amended Pub. L. 90-618, title I, Sec. 102, Oct. 22, 1968, 82 Stat. 1226.) -MISC1- AMENDMENTS 1968 - Pub. L. 90-618 reenacted section without change. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-618 effective Dec. 16, 1968, see section 105 of Pub. L. 90-618, set out as a note under section 921 of this title. ------DocID 24117 Document 359 of 1438------ -CITE- 18 USC Sec. 929 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 929. Use of restricted ammunition -STATUTE- (a)(1) Whoever, during and in relation to the commission of a crime of violence or drug trafficking crime (including a crime of violence or drug trafficking crime which provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device) for which he may be prosecuted in a court of the United States, uses or carries a firearm and is in possession of armor piercing ammunition capable of being fired in that firearm, shall, in addition to the punishment provided for the commission of such crime of violence or drug trafficking crime be sentenced to a term of imprisonment for not less than five years. (2) For purposes of this subsection, the term 'drug trafficking crime' means any felony punishable under the Controlled Substances Act (21 U.S.C. 801 et seq.), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.), or the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq.). (b) Notwithstanding any other provision of law, the court shall not suspend the sentence of any person convicted of a violation of this section, nor place the person on probation, nor shall the terms of imprisonment run concurrently with any other terms of imprisonment, including that imposed for the crime in which the armor piercing ammunition was used or possessed. No person sentenced under this section shall be eligible for parole during the term of imprisonment imposed herein. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1006(a), Oct. 12, 1984, 98 Stat. 2139, and amended Pub. L. 99-308, Sec. 108, May 19, 1986, 100 Stat. 460; Pub. L. 99-408, Sec. 8, Aug. 28, 1986, 100 Stat. 921; Pub. L. 100-690, title VI, Sec. 6212, title VII, Sec. 7060(b), Nov. 18, 1988, 102 Stat. 4360, 4404.) -REFTEXT- REFERENCES IN TEXT The Controlled Substances Act, referred to in subsec. (a)(2), is title II of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1242, as amended, which is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. The Controlled Substances Import and Export Act, referred to in subsec. (a)(2), is title III of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1285, as amended, which is classified principally to subchapter II (Sec. 951 et seq.) of chapter 13 of Title 21. For complete classification of this Act to the Code, see Short Title note set out under section 951 of Title 21 and Tables. The Maritime Drug Law Enforcement Act, referred to in subsec. (a)(2), is Pub. L. 96-350, Sept. 15, 1980, 94 Stat. 1159, as amended, which is classified generally to chapter 38 (Sec. 1901 et seq.) of Title 46, Appendix, Shipping. For complete classification of this Act to the Code, see section 1901 of Title 46, Appendix, and Tables. -MISC2- AMENDMENTS 1988 - Subsec. (a)(1). Pub. L. 100-690, Sec. 7060(b), substituted 'trafficking crime' for 'trafficking crime,' in three places. Subsec. (a)(2). Pub. L. 100-690, Sec. 6212, amended par. (2) generally. Prior to amendment, par. (2) read as follows: 'For purposes of this subsection, the term 'drug trafficking crime' means any felony violation of Federal law involving the distribution, manufacture, or importation of any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)).' 1986 - Subsec. (a). Pub. L. 99-408, Sec. 8(1), substituted 'violence (including' for 'violence including', 'device) for' for 'device for', 'a firearm and is in possession of armor piercing ammunition capable of being fired in that firearm' for 'any handgun loaded with armor-piercing ammunition as defined in subsection (b)', and 'five years' for 'five nor more than ten years', and struck out provisions relating to suspension of sentence, probation, concurrent sentence and parole eligibility of any person convicted under this subsection. Pub. L. 99-308 designated existing provision as par. (1), substituted 'violence or drug trafficking crime,' for 'violence' in three places, and added par. (2). Subsec. (b). Pub. L. 99-408, Sec. 8(2), amended subsec. (b) generally, substituting provisions that the court may not suspend sentence of any person convicted of a violation of this section or place the person on probation, that term of imprisonment may not run concurrently with other terms of imprisonment, and that the person is not eligible for parole during term of imprisonment, for provisions defining 'armor-piercing ammunition' and 'handgun'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-308 effective 180 days after May 19, 1986, see section 110(a) of Pub. L. 99-308, set out as a note under section 921 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 924 of this title. ------DocID 24118 Document 360 of 1438------ -CITE- 18 USC Sec. 930 -EXPCITE- TITLE 18 PART I CHAPTER 44 -HEAD- Sec. 930. Possession of firearms and dangerous weapons in Federal facilities -STATUTE- (a) Except as provided in subsection (c), whoever knowingly possesses or causes to be present a firearm or other dangerous weapon in a Federal facility (other than a Federal court facility), or attempts to do so, shall be fined under this title or imprisoned not more than 1 year, or both. (b) Whoever, with intent that a firearm or other dangerous weapon be used in the commission of a crime, knowingly possesses or causes to be present such firearm or dangerous weapon in a Federal facility, or attempts to do so, shall be fined under this title or imprisoned not more than 5 years, or both. (c) Subsection (a) shall not apply to - (1) the lawful performance of official duties by an officer, agent, or employee of the United States, a State, or a political subdivision thereof, who is authorized by law to engage in or supervise the prevention, detection, investigation, or prosecution of any violation of law; (2) the possession of a firearm or other dangerous weapon by a Federal official or a member of the Armed Forces if such possession is authorized by law; or (3) the lawful carrying of firearms or other dangerous weapons in a Federal facility incident to hunting or other lawful purposes. (d)(1) Except as provided in paragraph (2), whoever knowingly possesses or causes to be present a firearm in a Federal court facility, or attempts to do so, shall be fined under this title, imprisoned not more than 2 years, or both. (2) Paragraph (1) shall not apply to conduct which is described in paragraph (1) or (2) of subsection (c). (e) Nothing in this section limits the power of a court of the United States to punish for contempt or to promulgate rules or orders regulating, restricting, or prohibiting the possession of weapons within any building housing such court or any of its proceedings, or upon any grounds appurtenant to such building. (f) As used in this section: (1) The term 'Federal facility' means a building or part thereof owned or leased by the Federal Government, where Federal employees are regularly present for the purpose of performing their official duties. (2) The term 'dangerous weapon' means a weapon, device, instrument, material, or substance, animate or inanimate, that is used for, or is readily capable of, causing death or serious bodily injury, except that such term does not include a pocket knife with a blade of less than 2 1/2 inches in length. (3) The term 'Federal court facility' means the courtroom, judges' chambers, witness rooms, jury deliberation rooms, attorney conference rooms, prisoner holding cells, offices of the court clerks, the United States attorney, and the United States marshal, probation and parole offices, and adjoining corridors of any court of the United States. (g) Notice of the provisions of subsections (a) and (b) shall be posted conspicuously at each public entrance to each Federal facility, and notice of subsection (d) shall be posted conspicuously at each public entrance to each Federal court facility, and no person shall be convicted of an offense under subsection (a) or (d) with respect to a Federal facility if such notice is not so posted at such facility, unless such person had actual notice of subsection (a) or (d), as the case may be. -SOURCE- (Added Pub. L. 100-690, title VI, Sec. 6215(a), Nov. 18, 1988, 102 Stat. 4361, and amended Pub. L. 101-647, title XXII, Sec. 2205(a), Nov. 29, 1990, 104 Stat. 4857.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 2205(a)(1), inserted '(other than a Federal court facility)' after 'Federal facility'. Subsecs. (d), (e). Pub. L. 101-647, Sec. 2205(a)(2), (3), added subsec. (d) and redesignated former subsec. (d) as (e). Former subsec. (e) redesignated (f). Subsec. (f). Pub. L. 101-647, Sec. 2205(a)(2), redesignated subsec. (e) as (f). Former subsec. (f) redesignated (g). Subsec. (f)(3). Pub. L. 101-647, Sec. 2205(a)(4), added par. (3). Subsec. (g). Pub. L. 101-647, Sec. 2205(a)(5), inserted 'and notice of subsection (d) shall be posted conspicuously at each public entrance to each Federal court facility,' after 'each Federal facility,', 'or (d)' before 'with respect to', and 'or (d), as the case may be' before the period. Pub. L. 101-647, Sec. 2205(a)(2), redesignated subsec. (f) as (g). EFFECTIVE DATE OF 1990 AMENDMENT Section 2205(b) of Pub. L. 101-647 provided that: 'The amendments made by subsection (a) (amending this section) shall apply to conduct engaged in after the date of the enactment of this Act (Nov. 29, 1990).' ------DocID 24119 Document 361 of 1438------ -CITE- 18 USC CHAPTER 45 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- CHAPTER 45 - FOREIGN RELATIONS -MISC1- Sec. 951. Agents of foreign governments. 952. Diplomatic codes and correspondence. 953. Private correspondence with foreign governments. 954. False statements influencing foreign government. 955. Financial transactions with foreign governments. 956. Conspiracy to injure property of foreign government. 957. Possession of property in aid of foreign government. 958. Commission to serve against friendly nation. 959. Enlistment in foreign service. 960. Expedition against friendly nation. 961. Strengthening armed vessel of foreign nation. 962. Arming vessel against friendly nation. 963. Detention of armed vessel. 964. Delivering armed vessel to belligerent nation. 965. Verified statements as prerequisite to vessel's departure. 966. Departure of vessel forbidden for false statements. 967. Departure of vessel forbidden in aid of neutrality. (968, 969. Repealed.) 970. Protection of property occupied by foreign governments. AMENDMENTS 1990 - Pub. L. 101-647, title XII, Sec. 1207(a), title XXXV, Sec. 3530, Nov. 29, 1990, 104 Stat. 4832, 4924, struck out item 968 'Exportation of war materials to certain countries' and item 969 'Exportation of arms, liquors and narcotics to Pacific Islands'. 1972 - Pub. L. 92-539, title IV, Sec. 402, Oct. 24, 1972, 86 Stat. 1073, added item 970. ------DocID 24120 Document 362 of 1438------ -CITE- 18 USC Sec. 951 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 951. Agents of foreign governments -STATUTE- (a) Whoever, other than a diplomatic or consular officer or attache, acts in the United States as an agent of a foreign government without prior notification to the Attorney General if required in subsection (b), shall be fined not more than $75,000 or imprisoned not more than ten years, or both. (b) The Attorney General shall promulgate rules and regulations establishing requirements for notification. (c) The Attorney General shall, upon receipt, promptly transmit one copy of each notification statement filed under this section to the Secretary of State for such comment and use as the Secretary of State may determine to be appropriate from the point of view of the foreign relations of the United States. Failure of the Attorney General to do so shall not be a bar to prosecution under this section. (d) For purposes of this section, the term 'agent of a foreign government' means an individual who agrees to operate within the United States subject to the direction or control of a foreign government or official, except that such term does not include - (1) a duly accredited diplomatic or consular officer of a foreign government, who is so recognized by the Department of State; (2) any officially and publicly acknowledged and sponsored official or representative of a foreign government; (3) any officially and publicly acknowledged and sponsored member of the staff of, or employee of, an officer, official, or representative described in paragraph (1) or (2), who is not a United States citizen; or (4) any person engaged in a legal commercial transaction. (e) Notwithstanding paragraph (d)(4), any person engaged in a legal commercial transaction shall be considered to be an agent of a foreign government for purposes of this section if - (1) such person agrees to operate within the United States subject to the direction or control of a foreign government or official; and (2) such person - (A) is an agent of the Soviet Union, the German Democratic Republic, Hungary, Czechoslovakia, Poland, Bulgaria, Romania, or Cuba, unless the Attorney General, after consultation with the Secretary of State, determines and so reports to the Congress that the national security or foreign policy interests of the United States require that the provisions of this section do not apply in specific circumstances to agents of such country; or (B) has been convicted of, or has entered a plea of nolo contendere with respect to, any offense under section 792 through 799, 831, or 2381 of this title or under section 11 of the Export Administration Act of 1979, except that the provisions of this subsection shall not apply to a person described in this clause for a period of more than five years beginning on the date of the conviction or the date of entry of the plea of nolo contendere, as the case may be. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 743; Jan. 12, 1983, Pub. L. 97-462, Sec. 6, 96 Stat. 2530; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1209, 98 Stat. 2164; Oct. 27, 1986, Pub. L. 99-569, title VII, Sec. 703, 100 Stat. 3205.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 601 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title VIII, Sec. 3, 40 Stat. 226; Mar. 28, 1940, ch. 72, Sec. 6, 54 Stat. 80). Mandatory punishment provision was rephrased in the alternative. Minor changes in phraseology were made. -REFTEXT- REFERENCES IN TEXT Section 11 of the Export Administration Act of 1979, referred to in subsec. (e)(2)(B), is classified to section 2410 of Title 50, Appendix, War and National Defense. -MISC2- AMENDMENTS 1986 - Subsec. (e). Pub. L. 99-569 added subsec. (e). 1984 - Pub. L. 98-473 designated existing provisions as subsec. (a), substituted 'Attorney General if required in subsection (b)' for 'Secretary of State', and added subsecs. (b) to (d). 1983 - Pub. L. 97-462 increased limitation on fines to $75,000 from $5,000. EFFECTIVE DATE OF 1983 AMENDMENT Amendment by Pub. L. 97-462 effective 45 days after Jan. 12, 1983, see section 4 of Pub. L. 97-462, set out as a note under section 2071 of Title 28, Judiciary and Judicial Procedure. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES False representation as foreign diplomat, consul or officers, see section 915 of this title. Foreign government, definition of, see section 11 of this title. Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24121 Document 363 of 1438------ -CITE- 18 USC Sec. 952 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 952. Diplomatic codes and correspondence -STATUTE- Whoever, by virtue of his employment by the United States, obtains from another or has or has had custody of or access to, any official diplomatic code or any matter prepared in any such code, or which purports to have been prepared in any such code, and without authorization or competent authority, willfully publishes or furnishes to another any such code or matter, or any matter which was obtained while in the process of transmission between any foreign government and its diplomatic mission in the United States, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 743.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 135 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 10, 1933, ch. 57, 48 Stat. 122). Minor changes of phraseology were made. -CROSS- CROSS REFERENCES Classified information, disclosure by Government official, penalty for, see section 783 of Title 50, War and National Defense. Classified information, disclosure of, see section 798 of this title. ------DocID 24122 Document 364 of 1438------ -CITE- 18 USC Sec. 953 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 953. Private correspondence with foreign governments -STATUTE- Any citizen of the United States, wherever he may be, who, without authority of the United States, directly or indirectly commences or carries on any correspondence or intercourse with any foreign government or any officer or agent thereof, with intent to influence the measures or conduct of any foreign government or of any officer or agent thereof, in relation to any disputes or controversies with the United States, or to defeat the measures of the United States, shall be fined not more than $5,000 or imprisoned not more than three years, or both. This section shall not abridge the right of a citizen to apply, himself or his agent, to any foreign government or the agents thereof for redress of any injury which he may have sustained from such government or any of its agents or subjects. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 744.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 5 (Mar. 4, 1909, ch. 321, Sec. 5, 35 Stat. 1088; Apr. 22, 1932, ch. 126, 47 Stat. 132). The reference to any citizen or resident within the jurisdiction of the United States not duly authorized 'who counsels, advises or assists in such correspondence with such intent' was omitted as unnecessary in view of definition of principal in section 2. Mandatory punishment provision was rephrased in the alternative. Minor changes of arrangement and in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 50 App. section 34. ------DocID 24123 Document 365 of 1438------ -CITE- 18 USC Sec. 954 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 954. False statements influencing foreign government -STATUTE- Whoever, in relation to any dispute or controversy between a foreign government and the United States, willfully and knowingly makes any untrue statement, either orally or in writing, under oath before any person authorized and empowered to administer oaths, which the affiant has knowledge or reason to believe will, or may be used to influence the measures or conduct of any foreign government, or of any officer or agent of any foreign government, to the injury of the United States, or with a view or intent to influence any measure of or action by the United States or any department or agency thereof, to the injury of the United States, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 744.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 231 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title VIII, Sec. 1, 40 Stat. 226; Mar. 28, 1940, ch. 72, Sec. 6, 54 Stat. 80). Mandatory punishment provision was rephrased in the alternative. Words 'department or agency' were added to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 24124 Document 366 of 1438------ -CITE- 18 USC Sec. 955 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 955. Financial transactions with foreign governments -STATUTE- Whoever, within the United States, purchases or sells the bonds, securities, or other obligations of any foreign government or political subdivision thereof or any organization or association acting for or on behalf of a foreign government or political subdivision thereof, issued after April 13, 1934, or makes any loan to such foreign government, political subdivision, organization or association, except a renewal or adjustment of existing indebtedness, while such government, political subdivision, organization or association, is in default in the payment of its obligations, or any part thereof, to the United States, shall be fined not more than $10,000 or imprisoned for not more than five years, or both. This section is applicable to individuals, partnerships, corporations, or associations other than public corporations created by or pursuant to special authorizations of Congress, or corporations in which the United States has or exercises a controlling interest through stock ownership or otherwise. While any foreign government is a member both of the International Monetary Fund and of the International Bank for Reconstruction and Development, this section shall not apply to the sale or purchase of bonds, securities, or other obligations of such government or any political subdivision thereof or of any organization or association acting for or on behalf of such government or political subdivision, or to making of any loan to such government, political subdivision, organization, or association. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 744.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 804a of title 31, U.S.C., 1940 ed., Money and Finance (Apr. 13, 1934, ch. 112, Sec. 1, 2, 48 Stat. 574). Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. Words 'upon conviction thereof' were omitted from first paragraph as surplusage since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. SENATE REVISION AMENDMENT An additional paragraph was added to the text of this section by Senate amendment, which was taken from section 804b of Title 31, U.S.C., Money and Finance. Therefore, as finally enacted, such section 804b and the Acts from which it was derived (Act Apr. 13, 1934, ch. 112, Sec. 3, as added July 31, 1945, ch. 339, Sec. 9, 59 Stat. 516), were an additional source of this section. See Senate Report No. 1620, amendment No. 9, 80th Cong. -CROSS- CROSS REFERENCES Export-Import Bank of the United States as exempt from the provisions of this section, see section 635h of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 635h; title 22 section 2395. ------DocID 24125 Document 367 of 1438------ -CITE- 18 USC Sec. 956 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 956. Conspiracy to injure property of foreign government -STATUTE- (a) If two or more persons within the jurisdiction of the United States conspire to injure or destroy specific property situated within a foreign country and belonging to a foreign government or to any political subdivision thereof with which the United States is at peace, or any railroad, canal, bridge, or other public utility so situated, and if one or more such persons commits an act within the jurisdiction of the United States to effect the object of the conspiracy, each of the parties to the conspiracy shall be fined not more than $5,000 or imprisoned not more than three years, or both. (b) Any indictment or information under this section shall describe the specific property which it was the object of the conspiracy to injure or destroy. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 744.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 234 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title VIII, Sec. 5, 40 Stat. 226). -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 24126 Document 368 of 1438------ -CITE- 18 USC Sec. 957 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 957. Possession of property in aid of foreign government -STATUTE- Whoever, in aid of any foreign government, knowingly and willfully possesses or controls any property or papers used or designed or intended for use in violating any penal statute, or any of the rights or obligations of the United States under any treaty or the law of nations, shall be fined not more than $1,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 745.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed. Sec. 98 (June 15, 1917, ch. 30, title XI, Sec. 22, 40 Stat. 230; Mar. 28, 1940, ch. 72, Sec. 8, 54 Stat. 80). Definition of 'foreign government' was omitted and is incorporated in section 11 of this title. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Warrant to search for property used in violation of this section, see rule 41, Appendix to this title. CROSS REFERENCES Jurisdiction of offenses under this section, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 24127 Document 369 of 1438------ -CITE- 18 USC Sec. 958 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 958. Commission to serve against friendly nation -STATUTE- Any citizen of the United States who, within the jurisdiction thereof, accepts and exercises a commission to serve a foreign prince, state, colony, district, or people, in war, against any prince, state, colony, district, or people, with whom the United States is at peace, shall be fined not more than $2,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 745.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 21 (Mar. 4, 1909, ch. 321, Sec. 9, 35 Stat. 1089). Mandatory punishment provision was rephrased in the alternative. Minor changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Right of expatriation, generally, see section 1481 et seq. of Title 8, Aliens and Nationality. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 section 461. ------DocID 24128 Document 370 of 1438------ -CITE- 18 USC Sec. 959 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 959. Enlistment in foreign service -STATUTE- (a) Whoever, within the United States, enlists or enters himself, or hires or retains another to enlist or enter himself, or to go beyond the jurisdiction of the United States with intent to be enlisted or entered in the service of any foreign prince, state, colony, district, or people as a soldier or as a marine or seaman on board any vessel of war, letter of marque, or privateer, shall be fined not more than $1,000 or imprisoned not more than three years, or both. (b) This section shall not apply to citizens or subjects of any country engaged in war with a country with which the United States is at war, unless such citizen or subject of such foreign country shall hire or solicit a citizen of the United States to enlist or go beyond the jurisdiction of the United States with intent to enlist or enter the service of a foreign country. Enlistments under this subsection shall be under regulations prescribed by the Secretary of the Army. (c) This section and sections 960 and 961 of this title shall not apply to any subject or citizen of any foreign prince, state, colony, district, or people who is transiently within the United States and enlists or enters himself on board any vessel of war, letter of marque, or privateer, which at the time of its arrival within the United States was fitted and equipped as such, or hires or retains another subject or citizen of the same foreign prince, state, colony, district, or people who is transiently within the United States to enlist or enter himself to serve such foreign prince, state, colony, district, or people on board such vessel of war, letter of marque, or privateer, if the United States shall then be at peace with such foreign prince, state, colony, district, or people. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 745.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 22, 30 (Mar. 4, 1909, ch. 321, Sec. 10, 18, 35 Stat. 1089, 1091; May 7, 1917, ch. 11, 40 Stat. 39). Section consolidates said sections of title 18, U.S.C., 1940 ed. Last sentence of section 30 of title 18, U.S.C., 1940 ed., relating to piracy and treason, was omitted as unnecessary. Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. References in subsection (c) to sections 960 and 961 of this title are to the only other sections to which the subsection can apply. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 section 461. ------DocID 24129 Document 371 of 1438------ -CITE- 18 USC Sec. 960 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 960. Expedition against friendly nation -STATUTE- Whoever, within the United States, knowingly begins or sets on foot or provides or prepares a means for or furnishes the money for, or takes part in, any military or naval expedition or enterprise to be carried on from thence against the territory or dominion of any foreign prince or state, or of any colony, district, or people with whom the United States is at peace, shall be fined not more than $3,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 745.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 25 (Mar. 4, 1909, ch. 321, Sec. 13, 35 Stat. 1090; June 15, 1917, ch. 30, title V, Sec. 8, 40 Stat. 223). Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. Reference to territory or possessions of the United States was omitted as covered by definitive section 5 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Foreign transients, application of section to, see section 959 of this title. Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 959, 1717 of this title; title 8 section 1251; title 22 sections 461, 465. ------DocID 24130 Document 372 of 1438------ -CITE- 18 USC Sec. 961 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 961. Strengthening armed vessel of foreign nation -STATUTE- Whoever, within the United States, increases or augments the force of any ship of war, cruiser, or other armed vessel which, at the time of her arrival within the United States, was a ship of war, or cruiser, or armed vessel, in the service of any foreign prince or state, or of any colony, district, or people, or belonging to the subjects or citizens of any such prince or state, colony, district, or people, the same being at war with any foreign prince or state, or of any colony, district, or people, with whom the United States is at peace, by adding to the number of the guns of such vessel, or by changing those on board of her for guns of a larger caliber, or by adding thereto any equipment solely applicable to war, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 746.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 24 (Mar. 4, 1909, ch. 321, Sec. 12, 35 Stat. 1090). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Mandatory punishment was rephrased in the alternative. Words 'within the United States' were substituted for 'within the territory or jurisdiction' etc., in view of the definition of United States in section 5 of this title. Minor changes in phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Foreign transients, application of section to, see section 959 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 959 of this title; title 22 section 461. ------DocID 24131 Document 373 of 1438------ -CITE- 18 USC Sec. 962 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 962. Arming vessel against friendly nation -STATUTE- Whoever, within the United States, furnishes, fits out, arms, or attempts to furnish, fit out or arm, any vessel, with intent that such vessel shall be employed in the service of any foreign prince, or state, or of any colony, district, or people, to cruise, or commit hostilities against the subjects, citizens, or property of any foreign prince or state, or of any colony, district, or people with whom the United States is at peace; or Whoever issues or delivers a commission within the United States for any vessel, to the intent that she may be so employed - Shall be fined not more than $10,000 or imprisoned not more than three years, or both. Every such vessel, her tackle, apparel, and furniture, together with all materials, arms, ammunition, and stores which may have been procured for the building and equipment thereof, shall be forfeited, one half to the use of the informer and the other half to the use of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 746.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 23 (Mar. 4, 1909, ch. 321, Sec. 11, 35 Stat. 1090). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. Mandatory punishment provision was rephrased in the alternative. Minor change was made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Limitation on informer's right to recover, see section 3730 of Title 31, Money and Finance. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 section 461. ------DocID 24132 Document 374 of 1438------ -CITE- 18 USC Sec. 963 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 963. Detention of armed vessel -STATUTE- (a) During a war in which the United States is a neutral nation, the President, or any person authorized by him, may detain any armed vessel owned wholly or in part by citizens of the United States, or any vessel, domestic or foreign (other than one which has entered the ports of the United States as a public vessel), which is manifestly built for warlike purposes or has been converted or adapted from a private vessel to one suitable for warlike use, until the owner or master, or person having charge of such vessel, shall furnish proof satisfactory to the President, or to the person duly authorized by him, that the vessel will not be employed to cruise against or commit or attempt to commit hostilities upon the subjects, citizens, or property of any foreign prince or state, or of any colony, district, or people with which the United States is at peace, and that the said vessel will not be sold or delivered to any belligerent nation, or to an agent, officer, or citizen of such nation, by them or any of them, within the jurisdiction of the United States, or upon the high seas. (b) Whoever, in violation of this section takes, or attempts to take, or authorizes the taking of any such vessel, out of port or from the United States, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In addition, such vessel, her tackle, apparel, furniture, equipment, and her cargo shall be forfeited to the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 746.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 32, 36 (June 15, 1917, ch. 30, title V, Sec. 2, 6, 40 Stat. 221, 222; Mar. 28, 1940, ch. 72, Sec. 5, 54 Stat. 79). Section consolidates said sections of title 18, U.S.C., 1940 ed. Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. Mandatory punishment provision was rephrased in the alternative. The conspiracy provision of said section 36 was omitted as covered by section 371 of this title. See reviser's note under that section. Changes in phraseology were also made. -TRANS- DELEGATION OF FUNCTIONS For delegation to Secretary of the Treasury of authority vested in President by this section, see section 1(l) of Ex. Ord. No. 10637, Sept. 16, 1955, 20 F.R. 7025, set out as a note under section 301 of Title 3, The President. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 section 465. ------DocID 24133 Document 375 of 1438------ -CITE- 18 USC Sec. 964 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 964. Delivering armed vessel to belligerent nation -STATUTE- (a) During a war in which the United States is a neutral nation, it shall be unlawful to send out of the United States any vessel built, armed, or equipped as a vessel of war, or converted from a private vessel into a vessel of war, with any intent or under any agreement or contract that such vessel will be delivered to a belligerent nation, or to an agent, officer, or citizen of such nation, or with reasonable cause to believe that the said vessel will be employed in the service of any such belligerent nation after its departure from the jurisdiction of the United States. (b) Whoever, in violation of this section, takes or attempts to take, or authorizes the taking of any such vessel, out of port or from the United States, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In addition, such vessel, her tackle, apparel, furniture, equipment, and her cargo shall be forfeited to the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 747.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 33, 36 (June 15, 1917, ch. 30, title V, Sec. 3, 6, 40 Stat. 222; Mar. 28, 1940, ch. 72, Sec. 5, 54 Stat. 79). Section consolidates said sections of title 18, U.S.C., 1940 ed. Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. Mandatory punishment provision was rephrased in the alternative. The conspiracy provision of said section 36 was omitted as covered by section 371 of this title. See reviser's note under that section. Minor changes of phraseology were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title; title 22 section 465. ------DocID 24134 Document 376 of 1438------ -CITE- 18 USC Sec. 965 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 965. Verified statements as prerequisite to vessel's departure -STATUTE- (a) During a war in which the United States is a neutral nation, every master or person having charge or command of any vessel, domestic or foreign, whether requiring clearance or not, before departure of such vessel from port shall, in addition to the facts required by sections 91, 92, and 94 of Title 46 to be set out in the masters' and shippers' manifests before clearance will be issued to vessels bound to foreign ports, deliver to the collector of customs for the district wherein such vessel is then located a statement, duly verified by oath, that the cargo or any part of the cargo is or is not to be delivered to other vessels in port or to be transshipped on the high seas, and, if it is to be so delivered or transshipped, stating the kind and quantities and the value of the total quantity of each kind of article so to be delivered or transshipped, and the name of the person, corporation, vessel, or government to whom the delivery or transshipment is to be made; and the owners, shippers, or consignors of the cargo of such vessel shall in the same manner and under the same conditions deliver to the collector like statements under oath as to the cargo or the parts thereof laden or shipped by them, respectively. (b) Whoever, in violation of this section, takes or attempts to take, or authorizes the taking of any such vessel, out of port or from the United States, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In addition, such vessel, her tackle, apparel, furniture, equipment, and her cargo shall be forfeited to the United States. The Secretary of the Treasury is authorized to promulgate regulations upon compliance with which vessels engaged in the coastwise trade or fisheries or used solely for pleasure may be relieved from complying with this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 747.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 34, 36 (June 15, 1917, ch. 30, title V, Sec. 4, 6, 40 Stat. 222; Mar. 28, 1940, ch. 72, Sec. 5, 54 Stat. 79). Section consolidates said sections of title 18, U.S.C., 1940 ed. Words 'within the United States' were substituted for 'within the jurisdiction' etc., in view of the definition of United States in section 5 of this title. Mandatory punishment provision was rephrased in the alternative. Words in subsection (a), referring to title 46, sections 91, 92, and 94, 'each of which sections is hereby declared to be and is continued in full force and effect,' were omitted as surplusage. The conspiracy provision of said section 36 was omitted as covered by section 371 of this title. See reviser's note under that section. The final paragraph of the revised section was added on advice of the Treasury Department, to conform with administrative practice and because of the unnecessary burden upon domestic commerce had the provisions of this section been enforced against coastwise, fishing, and pleasure vessels. Minor changes of phraseology were made. -REFTEXT- REFERENCES IN TEXT Sections 91 and 94 of Title 46, referred to in subsec. (a), have been transferred to Title 46, Appendix, Shipping. Section 92 of Title 46, referred to in subsec. (a), was repealed by Pub. L. 87-826, Sec. 3, Oct. 15, 1962, 76 Stat. 953. -TRANS- TRANSFER OF FUNCTIONS All offices of collector of customs, comptroller of customs, surveyor of customs, and appraiser of merchandise in Bureau of Customs of Department of the Treasury to which appointments were required to be made by President with advice and consent of Senate ordered abolished, with such offices to be terminated not later than Dec. 31, 1966, by Reorg. Plan No. 1 of 1965, eff. May 25, 1965, 30 F.R. 7035, 79 Stat. 1317, set out in the Appendix to Title 5, Government Organization and Employees. All functions of offices eliminated were already vested in Secretary of the Treasury by Reorg. Plan No. 26 of 1950. eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Refusal of clearance for false statements, see section 966 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 966 of this title; title 22 section 465. ------DocID 24135 Document 377 of 1438------ -CITE- 18 USC Sec. 966 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 966. Departure of vessel forbidden for false statements -STATUTE- (a) Whenever it appears that the vessel is not entitled to clearance or whenever there is reasonable cause to believe that the additional statements under oath required in section 965 of this title are false, the collector of customs for the district in which the vessel is located may, subject to review by the head of the department or agency charged with the administration of laws relating to clearance of vessels, refuse clearance to any vessel, domestic or foreign, and by formal notice served upon the owners, master, or person or persons in command or charge of any domestic vessel for which clearance is not required by law, forbid the departure of the vessel from the port or from the United States. It shall thereupon be unlawful for the vessel to depart. (b) Whoever, in violation of this section, takes or attempts to take, or authorizes the taking of any such vessel, out of port or from the United States, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In addition, such vessel, her tackle, apparel, furniture, equipment, and her cargo shall be forfeited to the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 747.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 35, 36 (June 15, 1917, ch. 30, title V, Sec. 5, 6, 40 Stat. 222; Mar. 28, 1940, ch. 72, Sec. 5, 54 Stat. 79). Section consolidates said sections of title 18, U.S.C., 1940 ed. Mandatory punishment provision was rephrased in the alternative. The phrase 'by the head of the department or agency charged with the administration of laws relating to clearance of vessels,' was substituted for 'by the Secretary of Commerce' in view of Executive Order No. 9083 (F.R. 1609) transferring functions to the Commissioner of Customs. The conspiracy provision of said section 36 was omitted as covered by section 371 of this title. See reviser's note under that section. Minor changes of phraseology were made. -TRANS- TRANSFER OF FUNCTIONS All offices of collector of customs, comptroller of customs, surveyor of customs, and appraiser of merchandise in Bureau of Customs of Department of the Treasury to which appointments were required to be made by President with advice and consent of Senate ordered abolished, with such offices to be terminated not later than Dec. 31, 1966, by Reorg. Plan No. 1 of 1965, eff. May 25, 1965, 30 F.R. 7035, 79 Stat. 1317, set out in the Appendix to Title 5, Government Organization and Employees. All functions of offices eliminated were already vested in Secretary of the Treasury by Reorg. Plan No. 26 of 1950, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 section 465. ------DocID 24136 Document 378 of 1438------ -CITE- 18 USC Sec. 967 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 967. Departure of vessel forbidden in aid of neutrality -STATUTE- (a) During a war in which the United States is a neutral nation, the President, or any person authorized by him, may withhold clearance from or to any vessel, domestic or foreign, or, by service of formal notice upon the owner, master, or person in command or in charge of any domestic vessel not required to secure clearances, may forbid its departure from port or from the United States, whenever there is reasonable cause to believe that such vessel is about to carry fuel, arms, ammunition, men, supplies, dispatches, or information to any warship, tender, or supply ship of a foreign belligerent nation in violation of the laws, treaties, or obligations of the United States under the law of nations. It shall thereupon be unlawful for such vessel to depart. (b) Whoever, in violation of this section, takes or attempts to take, or authorizes the taking of any such vessel, out of port or from the United States, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In addition, such vessel, her tackle, apparel, furniture, equipment, and her cargo shall be forfeited to the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 748.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 31, 36 (June 15, 1917, ch. 30, title V, Sec. 1, 6, 40 Stat. 221, 222; Mar. 28, 1940, ch. 72, Sec. 5, 54 Stat. 79). Section consolidates said sections of title 18, U.S.C., 1940 ed., with minor changes in translations and phraseology. Mandatory punishment provision was rephrased in the alternative. The conspiracy provision of said section 36 was omitted as covered by section 371 of this title. See reviser's note under that section. Changes in phraseology were also made. -TRANS- DELEGATION OF FUNCTIONS For delegation to Secretary of the Treasury of authority vested in President by this section, see section 1(m) of Ex. Ord. No. 10637, Sept. 16, 1955, 20 F.R. 7025, set out as a note under section 301 of Title 3, The President. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Restrictions on use of American ports where evidence insufficient under this section, see section 450 of Title 22, Foreign Relations and Intercourse. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 22 sections 450, 465. ------DocID 24137 Document 379 of 1438------ -CITE- 18 USC Sec. 968 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- (Sec. 968. Repealed. Aug. 26, 1954, ch. 937, title V, Sec. 542(a)(14), 68 Stat. 861) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 748, related to exportation of war materials to certain countries. See section 1934 of Title 22, Foreign Relations and Intercourse. ------DocID 24138 Document 380 of 1438------ -CITE- 18 USC Sec. 969 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- (Sec. 969. Repealed. Pub. L. 101-647, title XII, Sec. 1207(a), Nov. 29, 1990, 104 Stat. 4832) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 748, related to penalties for exporting arms, liquor, and narcotics to Pacific Islands. ------DocID 24139 Document 381 of 1438------ -CITE- 18 USC Sec. 970 -EXPCITE- TITLE 18 PART I CHAPTER 45 -HEAD- Sec. 970. Protection of property occupied by foreign governments -STATUTE- (a) Whoever willfully injures, damages, or destroys, or attempts to injure, damage, or destroy, any property, real or personal, located within the United States and belonging to or utilized or occupied by any foreign government or international organization, by a foreign official or official guest, shall be fined not more than $10,000, or imprisoned not more than five years, or both. (b) Whoever, willfully with intent to intimidate, coerce, threaten, or harass - (1) forcibly thrusts any part of himself or any object within or upon that portion of any building or premises located within the United States, which portion is used or occupied for official business or for diplomatic, consular, or residential purposes by - (A) a foreign government, including such use as a mission to an international organization; (B) an international organization; (C) a foreign official; or (D) an official guest; or (2) refuses to depart from such portion of such building or premises after a request - (A) by an employee of a foreign government or of an international organization, if such employee is authorized to make such request by the senior official of the unit of such government or organization which occupies such portion of such building or premises; (B) by a foreign official or any member of the foreign official's staff who is authorized by the foreign official to make such request; (C) by an official guest or any member of the official guest's staff who is authorized by the official guest to make such request; or (D) by any person present having law enforcement powers; shall be fined not more than $500 or imprisoned not more than six months, or both. (c) For the purpose of this section 'foreign government', 'foreign official', 'international organization', and 'official guest' shall have the same meanings as those provided in section 1116(b) of this title. -SOURCE- (Added Pub. L. 92-539, title IV, Sec. 401, Oct. 24, 1972, 86 Stat. 1073, and amended Pub. L. 94-467, Sec. 7, Oct. 8, 1976, 90 Stat. 2000.) -MISC1- AMENDMENTS 1976 - Subsecs. (b), (c). Pub. L. 94-467 added subsec. (b), redesignated former subsec. (b) as (c), and struck out reference to section 1116(c) of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 2709. ------DocID 24140 Document 382 of 1438------ -CITE- 18 USC CHAPTER 46 -EXPCITE- TITLE 18 PART I CHAPTER 46 -HEAD- CHAPTER 46 - FORFEITURE -MISC1- Sec. 981. Civil forfeiture. 982. Criminal forfeiture. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7069, Nov. 18, 1988, 102 Stat. 4405, substituted 'forfeiture' for 'Forfeiture' in items 981 and 982. ------DocID 24141 Document 383 of 1438------ -CITE- 18 USC Sec. 981 -EXPCITE- TITLE 18 PART I CHAPTER 46 -HEAD- Sec. 981. Civil forfeiture -STATUTE- (a)(1) Except as provided in paragraph (2), the following property is subject to forfeiture to the United States: (A) Any property, real or personal, involved in a transaction or attempted transaction in violation of section 5313(a) or 5324 of title 31, or of section 1956 or 1957 of this title, or any property traceable to such property. However, no property shall be seized or forfeited in the case of a violation of section 5313(a) of title 31 by a domestic financial institution examined by a Federal bank supervisory agency or a financial institution regulated by the Securities and Exchange Commission or a partner, director, or employee thereof. (B) Any property, real or personal, within the jurisdiction of the United States, constituting, derived from, or traceable to, any proceeds obtained directly or indirectly from an offense against a foreign nation involving the manufacture, importation, sale, or distribution of a controlled substance (as such term is defined for the purposes of the Controlled Substances Act), within whose jurisdiction such offense would be punishable by death or imprisonment for a term exceeding one year and which would be punishable under the laws of the United States by imprisonment for a term exceeding one year if such act or activity constituting the offense against the foreign nation had occurred within the jurisdiction of the United States. (C) Any property, real or personal, which constitutes or is derived from proceeds traceable to a violation of section 215, 656, 657, 1005, 1006, 1007, 1014, 1032, or 1344 of this title or a violation of section 1341 or 1343 of such title affecting a financial institution. (D) Any property, real or personal, which represents or is traceable to the gross receipts obtained, directly or indirectly, from a violation of - (i) section 666(a)(1) (relating to Federal program fraud); (ii) section 1001 (relating to fraud and false statements); (iii) section 1031 (relating to major fraud against the United States); (iv) section 1032 (relating to concealment of assets from conservator or receiver of insured financial institution); (v) section 1341 (relating to mail fraud); or (vi) section 1343 (relating to wire fraud), if such violation relates to the sale of assets acquired or held by the Resolution Trust Corporation, the Federal Deposit Insurance Corporation, as conservator or receiver for a financial institution, or any other conservator for a financial institution appointed by the Office of the Comptroller of the Currency or the Office of Thrift Supervision or the National Credit Union Administration, as conservator or liquidating agent for a financial institution. (E) With respect to an offense listed in subsection (a)(1)(D) committed for the purpose of executing or attempting to execute any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent statements, pretenses, representations or promises, the gross receipts of such an offense shall include all property, real or personal, tangible or intangible, which thereby is obtained, directly or indirectly. (2) No property shall be forfeited under this section to the extent of the interest of an owner or lienholder by reason of any act or omission established by that owner or lienholder to have been committed without the knowledge of that owner or lienholder. (b)(1) Any property - (A) subject to forfeiture to the United States under subparagraph (A) or (B) of subsection (a)(1) of this section - (i) may be seized by the Attorney General; or (ii) in the case of property involved in a violation of section 5313(a) or 5324 of title 31, United States Code, or section 1956 or 1957 of this title investigated by the Secretary of the Treasury or the United States Postal Service, may be seized by the Secretary of the Treasury or the Postal Service; and (B) subject to forfeiture to the United States under subparagraph (C) of subsection (a)(1) of this section may be seized by the Attorney General, the Secretary of the Treasury, or the Postal Service. (2) Property shall be seized under paragraph (1) of this subsection upon process issued pursuant to the Supplemental Rules for certain Admiralty and Maritime Claims by any district court of the United States having jurisdiction over the property, except that seizure without such process may be made when - (A) the seizure is pursuant to a lawful arrest or search; or (B) the Attorney General, the Secretary of the Treasury, or the Postal Service, as the case may be, has obtained a warrant for such seizure pursuant to the Federal Rules of Criminal Procedure, in which event proceedings under subsection (d) of this section shall be instituted promptly. (c) Property taken or detained under this section shall not be repleviable, but shall be deemed to be in the custody of the Attorney General, the Secretary of the Treasury, or the Postal Service, as the case may be, subject only to the orders and decrees of the court or the official having jurisdiction thereof. Whenever property is seized under this subsection, the Attorney General, the Secretary of the Treasury, or the Postal Service, as the case may be, may - (1) place the property under seal; (2) remove the property to a place designated by him; or (3) require that the General Services Administration take custody of the property and remove it, if practicable, to an appropriate location for disposition in accordance with law. (d) For purposes of this section, the provisions of the customs laws relating to the seizure, summary and judicial forfeiture, condemnation of property for violation of the customs laws, the disposition of such property or the proceeds from the sale of this section, the remission or mitigation of such forfeitures, and the compromise of claims (19 U.S.C. 1602 et seq.), insofar as they are applicable and not inconsistent with the provisions of this section, shall apply to seizures and forfeitures incurred, or alleged to have been incurred, under this section, except that such duties as are imposed upon the customs officer or any other person with respect to the seizure and forfeiture of property under the customs laws shall be performed with respect to seizures and forfeitures of property under this section by such officers, agents, or other persons as may be authorized or designated for that purpose by the Attorney General, the Secretary of the Treasury, or the Postal Service, as the case may be. The Attorney General shall have sole responsibility for disposing of petitions for remission or mitigation with respect to property involved in a judicial forfeiture proceeding. (e) Notwithstanding any other provision of the law, except section 3 of the Anti Drug Abuse Act of 1986, the Attorney General, the Secretary of the Treasury, or the Postal Service, as the case may be, is authorized to retain property forfeited pursuant to this section, or to transfer such property on such terms and conditions as he may determine - (1) to any other Federal agency; (2) to any State or local law enforcement agency which participated directly in any of the acts which led to the seizure or forfeiture of the property; (3) in the case of property referred to in subsection (a)(1)(C), to any Federal financial institution regulatory agency - (A) to reimburse the agency for payments to claimants or creditors of the institution; and (B) to reimburse the insurance fund of the agency for losses suffered by the fund as a result of the receivership or liquidation; (4) in the case of property referred to in subsection (a)(1)(C), upon the order of the appropriate Federal financial institution regulatory agency, to the financial institution as restitution, with the value of the property so transferred to be set off against any amount later recovered by the financial institution as compensatory damages in any State or Federal proceeding; (5) in the case of property referred to in subsection (a)(1)(C), to any Federal financial institution regulatory agency, to the extent of the agency's contribution of resources to, or expenses involved in, the seizure and forfeiture, and the investigation leading directly to the seizure and forfeiture, of such property; (6) in the case of property referred to in subsection (a)(1)(C), restore forfeited property to any victim of an offense described in subsection (a)(1)(C); or (7) In (FOOTNOTE 1) the case of property referred to in subsection (a)(1)(D), to the Resolution Trust Corporation, the Federal Deposit Insurance Corporation, or any other Federal financial institution regulatory agency (as defined in section 8(e)(7)(D) of the Federal Deposit Insurance Act). (FOOTNOTE 1) So in original. Probably should not be capitalized. The Attorney General, the Secretary of the Treasury, or the Postal Service, as the case may be, shall ensure the equitable transfer pursuant to paragraph (2) of any forfeited property to the appropriate State or local law enforcement agency so as to reflect generally the contribution of any such agency participating directly in any of the acts which led to the seizure or forfeiture of such property. A decision by the Attorney General, the Secretary of the Treasury, or the Postal Service pursuant to paragraph (2) shall not be subject to review. The United States shall not be liable in any action arising out of the use of any property the custody of which was transferred pursuant to this section to any non-Federal agency. The Attorney General, the Secretary of the Treasury, or the Postal Service may order the discontinuance of any forfeiture proceedings under this section in favor of the institution of forfeiture proceedings by State or local authorities under an appropriate State or local statute. After the filing of a complaint for forfeiture under this section, the Attorney General may seek dismissal of the complaint in favor of forfeiture proceedings under State or local law. Whenever forfeiture proceedings are discontinued by the United States in favor of State or local proceedings, the United States may transfer custody and possession of the seized property to the appropriate State or local official immediately upon the initiation of the proper actions by such officials. Whenever forfeiture proceedings are discontinued by the United States in favor of State or local proceedings, notice shall be sent to all known interested parties advising them of the discontinuance or dismissal. The United States shall not be liable in any action arising out of the seizure, detention, and transfer of seized property to State or local officials. The authority granted to the Secretary of the Treasury and the Postal Service pursuant to this subsection shall apply only to property that has been administratively forfeited. The United States shall not be liable in any action arising out of a transfer under paragraph (3), (4), or (5) of this subsection. (f) All right, title, and interest in property described in subsection (a) of this section shall vest in the United States upon commission of the act giving rise to forfeiture under this section. (g) The filing of an indictment or information alleging a violation of law, Federal, State, or local, which is also related to a forfeiture proceeding under this section shall, upon motion of the United States and for good cause shown, stay the forfeiture proceeding. (h) In addition to the venue provided for in section 1395 of title 28 or any other provision of law, in the case of property of a defendant charged with a violation that is the basis for forfeiture of the property under this section, a proceeding for forfeiture under this section may be brought in the judicial district in which the defendant owning such property is found or in the judicial district in which the criminal prosecution is brought. (i)(1) Whenever property is civilly or criminally forfeited under this chapter, the Attorney General or the Secretary of the Treasury, as the case may be, may transfer the forfeited personal property or the proceeds of the sale of any forfeited personal or real property to any foreign country which participated directly or indirectly in the seizure or forfeiture of the property, if such a transfer - (A) has been agreed to by the Secretary of State; (B) is authorized in an international agreement between the United States and the foreign country; and (C) is made to a country which, if applicable, has been certified under section 481(h) of the Foreign Assistance Act of 1961. A decision by the Attorney General or the Secretary of the Treasury pursuant to this paragraph shall not be subject to review. The foreign country shall, in the event of a transfer of property or proceeds of sale of property under this subsection, bear all expenses incurred by the United States in the seizure, maintenance, inventory, storage, forfeiture, and disposition of the property, and all transfer costs. The payment of all such expenses, and the transfer of assets pursuant to this paragraph, shall be upon such terms and conditions as the Attorney General or the Secretary of the Treasury may, in his discretion, set. (2) The provisions of this section shall not be construed as limiting or superseding any other authority of the United States to provide assistance to a foreign country in obtaining property related to a crime committed in the foreign country, including property which is sought as evidence of a crime committed in the foreign country. (3) A certified order or judgment of forfeiture by a court of competent jurisdiction of a foreign country concerning property which is the subject of forfeiture under this section and was determined by such court to be the type of property described in subsection (a)(1)(B) of this section, and any certified recordings or transcripts of testimony taken in a foreign judicial proceeding concerning such order or judgment of forfeiture, shall be admissible in evidence in a proceeding brought pursuant to this section. Such certified order or judgment of forfeiture, when admitted into evidence, shall constitute probable cause that the property forfeited by such order or judgment of forfeiture is subject to forfeiture under this section and creates a rebuttable presumption of the forfeitability of such property under this section. (4) A certified order or judgment of conviction by a court of competent jurisdiction of a foreign country concerning an unlawful drug activity which gives rise to forfeiture under this section and any certified recordings or transcripts of testimony taken in a foreign judicial proceeding concerning such order or judgment of conviction shall be admissible in evidence in a proceeding brought pursuant to this section. Such certified order or judgment of conviction, when admitted into evidence, creates a rebuttable presumption that the unlawful drug activity giving rise to forfeiture under this section has occurred. (5) The provisions of paragraphs (3) and (4) of this subsection shall not be construed as limiting the admissibility of any evidence otherwise admissible, nor shall they limit the ability of the United States to establish probable cause that property is subject to forfeiture by any evidence otherwise admissible. (j) For purposes of this section - (1) the term 'Attorney General' means the Attorney General or his delegate; and (2) the term 'Secretary of the Treasury' means the Secretary of the Treasury or his delegate. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1366(a), Oct. 27, 1986, 100 Stat. 3207-35, and amended Pub. L. 100-690, title VI, Sec. 6463(a), (b), 6469(b), 6470(b), (e), (f), 6471(c), Nov. 18, 1988, 102 Stat. 4374, 4377, 4378; Pub. L. 101-73, title IX, Sec. 963(a), (b), Aug. 9, 1989, 103 Stat. 504; Pub. L. 101-647, title I, Sec. 103, title XXV, Sec. 2508, 2524, 2525(a), title XXXV, Sec. 3531, Nov. 29, 1990, 104 Stat. 4791, 4862, 4873, 4874, 4924.) -REFTEXT- REFERENCES IN TEXT The Controlled Substances Act, referred to in subsec. (a)(1)(B), is title II of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1242, as amended, which is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. The Supplemental Rules for certain Admiralty and Maritime Claims, referred to in subsec. (b)(2), are set out as part of the Federal Rules of Civil Procedure in the Appendix to Title 28, Judiciary and Judicial Procedure. The Federal Rules of Criminal Procedure, referred to in subsec. (b)(2)(B), are set out in the Appendix to this title. The customs laws, referred to in subsec. (d), are classified generally to Title 19, Customs Duties. See, particularly, sections 1902 to 1919 of Title 19. Section 3 of the Anti Drug Abuse Act of 1986, referred to in subsec. (e), is section 3 of Pub. L. 99-570, which is set out as a note under section 801 of Title 21, Food and Drugs. Section 8(e)(7)(D) of the Federal Deposit Insurance Act, referred to in subsec. (e)(7), is classified to section 1818(e)(7)(D) of Title 12, Banks and Banking. Section 481(h) of the Foreign Assistance Act of 1961, referred to in subsec. (i)(1)(C), is classified to section 2291(h) of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1990 - Subsec. (a)(1)(C). Pub. L. 101-647, Sec. 2524(1), inserted '1032,' after '1014,' and 'or a violation of section 1341 or 1343 of such title affecting a financial institution' before period at end. Subsec. (a)(1)(D), (E). Pub. L. 101-647, Sec. 2525(a)(1), added subpars. (D) and (E). Subsec. (b). Pub. L. 101-647, Sec. 2524(2), added par. (1) and par. (2) introductory provisions, redesignated former pars. (1) and (2) as subpars. (A) and (B) of par. (2), and struck out former introductory provisions which read as follows: 'Any property subject to forfeiture to the United States under subsection (a)(1)(A) or (a)(1)(B) of this section may be seized by the Attorney General or, with respect to property involved in a violation of section 5313(a) or 5324 of title 31 or of section 1956 or 1957 of this title investigated by the Secretary of the Treasury or the Postal Service may be seized by the Secretary of the Treasury or the Postal Service, in each case upon process issued pursuant to the Supplemental Rules for certain Admiralty and Maritime Claims by any district court of the United States having jurisdiction over the property, except that seizure without such process may be made when - '. Subsec. (d). Pub. L. 101-647, Sec. 3531, inserted a period at end. Subsec. (e)(3), (4). Pub. L. 101-647, Sec. 2524(3), (4), struck out '(if the affected financial institution is in receivership or liquidation)' after 'subsection (a)(1)(C)'. Subsec. (e)(6). Pub. L. 101-647, Sec. 2508, added par. (6). Subsec. (e)(7). Pub. L. 101-647, Sec. 2525(a)(2), added par. (7). Subsec. (i). Pub. L. 101-647, Sec. 103(1), struck out introductory provisions which read as follows: 'In the case of property subject to forfeiture under subsection (a)(1)(B), the following additional provisions shall, to the extent provided by treaty, apply:'. Subsec. (i)(1). Pub. L. 101-647, Sec. 103(3), substituted first sentence for 'Notwithstanding any other provision of law, except section 3 of the Anti Drug Abuse Act of 1986, whenever property is civilly or criminally forfeited under the Controlled Substances Act, the Attorney General may, with the concurrence of the Secretary of State, equitably transfer any conveyance, currency, and any other type of personal property which the Attorney General may designate by regulation for equitable transfer, or any amounts realized by the United States from the sale of any real or personal property forfeited under the Controlled Substances Act to an appropriate foreign country to reflect generally the contribution of any such foreign country participating directly or indirectly in any acts which led to the seizure or forfeiture of such property. Such property when forfeited pursuant to subsection (a)(1)(B) of this section may also be transferred to a foreign country pursuant to a treaty providing for the transfer of forfeited property to such foreign country.' Pub. L. 101-647, Sec. 103(2), (4), (5), inserted 'or the Secretary of the Treasury' after 'Attorney General' in two places, realigned margin, and struck out at end 'Transfers may be made under this subsection during a fiscal year to a country that is subject to paragraph (1)(A) of section 481(h) of the Foreign Assistance Act of 1961 (relating to restrictions on United States assistance) only if there is a certification in effect with respect to that country for that fiscal year under paragraph (2) of that section.' Subsec. (i)(2) to (5). Pub. L. 101-647, Sec. 103(2), realigned margins. 1989 - Subsec. (a)(1)(C). Pub. L. 101-73, Sec. 963(a), added subpar. (C). Subsec. (e). Pub. L. 101-73, Sec. 963(b), substituted 'determine - ' for 'determine to - ' in introductory provisions, inserted 'The United States shall not be liable in any action arising out of a transfer under paragraph (3), (4), or (5) of this subsection.' in closing provisions, added pars. (1) to (5), and struck out former pars. (1) and (2) which read as follows: '(1) any other Federal agency; or '(2) any State or local law enforcement agency which participated directly in any of the acts which led to the seizure or forfeiture of the property.' 1988 - Subsec. (a)(1)(A). Pub. L. 100-690, Sec. 6463(a)(1), added subpar. (A) and struck out former subpar. (A) which read as follows: 'Any property, real or personal, which represents the gross receipts a person obtains, directly or indirectly, as a result of a violation of section 1956 or 1957 of this title, or which is traceable to such gross receipts.' Subsec. (a)(1)(B). Pub. L. 100-690, Sec. 6470(b), inserted ', real or personal,' after 'property', substituted 'constituting, derived from, or traceable to, any proceeds obtained directly or indirectly from' for 'which represents the proceeds of', 'such offense would' for 'such offense or activity would', and 'punishable under the laws of the United States by imprisonment' for 'punishable by imprisonment', and inserted 'constituting the offense against the foreign nation' after 'such act or activity'. Subsec. (a)(1)(C). Pub. L. 100-690, Sec. 6463(a)(2), struck out subpar. (C) which read as follows: 'Any coin and currency (or other monetary instrument as the Secretary of the Treasury may prescribe) or any interest in other property, including any deposit in a financial institution, traceable to such coin or currency involved in a transaction or attempted transaction in violation of section 5313(a) or 5324 of title 31 may be seized and forfeited to the United States Government. No property or interest in property shall be seized or forfeited if the violation is by a domestic financial institution examined by a Federal bank supervisory agency or a financial institution regulated by the Securities and Exchange Commission or a partner, director, officer, or employee thereof.' Subsec. (a)(2). Pub. L. 100-690, Sec. 6470(e), substituted 'omission' for 'emission'. Subsec. (b). Pub. L. 100-690, Sec. 6463(b), which directed amendment of subsec. (b) by substituting 'involved in a violation of section 5313(a) or 5324 of title 31 or of section 1956 or 1957 of this title investigated by the Secretary of the Treasury' for 'involved in a violation of section 1956 or 1957 of this title investigated by the Secretary of the Treasury, and any property subject to forfeiture under subsection (a)(1)(C) of this section' was executed by substituting the new language for 'involved in a violation of section 1956 or 1957 of this title investigated by the Secretary of the Treasury, may be seized by the Secretary of the Treasury, and any property subject to forfeiture under subsection (a)(1)(C) of this section' in introductory provisions, to reflect the probable intent of Congress. Pub. L. 100-690, Sec. 6469(b)(1), inserted 'or the Postal Service' after 'Secretary of the Treasury' in two places in introductory provisions. Subsec. (b)(2). Pub. L. 100-690, Sec. 6469(b)(2), substituted 'the Attorney General, the Secretary of the Treasury, or the Postal Service' for 'the Attorney General or the Secretary of the Treasury'. Subsec. (c). Pub. L. 100-690, Sec. 6469(b)(2), substituted 'the Attorney General, the Secretary of the Treasury, or the Postal Service' for 'the Attorney General or the Secretary of the Treasury' in two places. Subsec. (d). Pub. L. 100-690, Sec. 6469(b)(2), (3), substituted 'the Attorney General, the Secretary of the Treasury, or the Postal Service' for 'the Attorney General or the Secretary of the Treasury' and inserted provision that Attorney General have sole responsibility for disposing of petitions for remission or mitigation with respect to property involved in a judicial forfeiture proceeding. Subsec. (e). Pub. L. 100-690, Sec. 6469(b)(2), which directed the substitution of 'the Attorney General, the Secretary of the Treasury, or the Postal Service' for 'the Attorney General or the Secretary of the Treasury' was executed to reflect the probable intent of Congress by making the substitution in four places without regard as to whether or not the initial article 'the' was capitalized. Pub. L. 100-690, Sec. 6469(b)(4), inserted provision that the authority granted to the Secretary of the Treasury and the Postal Service apply only to property that has been administratively forfeited. Subsec. (g). Pub. L. 100-690, Sec. 6471(c), inserted ', Federal, State or local,' after 'law'. Subsec. (i)(1). Pub. L. 100-690, Sec. 6470(f), substituted 'subsection' for 'subchapter' in fourth sentence. SHORT TITLE OF 1988 AMENDMENT Section 6181 of Pub. L. 100-690 provided that: 'This subtitle (subtitle E (Sec. 6181-6187) of title VI of Pub. L. 100-690, enacting sections 5325 and 5326 of Title 31, Money and Finance, amending sections 1956 and 1957 of this title, sections 1730d, 1829b, 1953, 1955, 3403, 3412, 3413, 3417, and 3420 of Title 12, Banks and Banking, and sections 5312, 5318, and 5321 of Title 31) may be cited as the 'Money Laundering Prosecution Improvements Act of 1988'.' SHORT TITLE OF 1986 AMENDMENT Section 1351 of Pub. L. 99-570 provided that: 'This subtitle (subtitle H (Sec.1351-1367) of title I of Pub. L. 99-570, enacting this section, sections 982, 1956, and 1957 of this title and section 5324 of Title 31, Money and Finance, amending sections 1952, 1961, and 2516 of this title, sections 1464, 1730, 1786, 1817, 1818, 3403, and 3413 of Title 12, Banks and Banking, and sections 5312, 5316 to 5318, 5321, and 5322 of Title 31, and enacting provisions set out as notes under this section, sections 1464 and 1730 of Title 12, and sections 5315 to 5317, 5321, and 5324 of Title 31) may be cited as the 'Money Laundering Control Act of 1986'.' SEVERABILITY Section 1367 of Pub. L. 99-570 provided that: 'If any provision of this subtitle (see Short Title of 1986 Amendment note above) or any amendment made by this Act (see Short Title of 1986 Amendment note set out under section 801 of Title 21, Food and Drugs), or the application thereof to any person or circumstances is held invalid, the provisions of every other part, and their application, shall not be affected thereby.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3322 of this title; title 12 section 1831k; title 19 section 1613b; title 28 section 524. ------DocID 24142 Document 384 of 1438------ -CITE- 18 USC Sec. 982 -EXPCITE- TITLE 18 PART I CHAPTER 46 -HEAD- Sec. 982. Criminal forfeiture -STATUTE- (a)(1) The court, in imposing sentence on a person convicted of an offense in violation of section 5313(a), 5316 or 5324 of title 31, or of section 1956 or 1957 of this title, shall order that the person forfeit to the United States any property, real or personal, involved in such offense, or any property traceable to such property. However, no property shall be seized or forfeited in the case of a violation of section 5313(a) of title 31 by a domestic financial institution examined by a Federal bank supervisory agency or a financial institution regulated by the Securities and Exchange Commission or a partner, director, or employee thereof. (2) The court, in imposing sentence on a person convicted of a violation of, or a conspiracy to violate, section 215, 656, 657, 1005, 1006, 1007, 1014, 1341, 1343, or 1344 of this title, affecting a financial institution, shall order that the person forfeit to the United States any property constituting, or derived from, proceeds the person obtained directly or indirectly, as the result of such violation. (3) The court, in imposing a sentence on a person convicted of an offense under - (A) section 666(a)(1) (relating to Federal program fraud); (B) section 1001 (relating to fraud and false statements); (C) section 1031 (relating to major fraud against the United States); (D) section 1032 (relating to concealment of assets from conservator, receiver, or liquidating agent of insured financial institution); (E) section 1341 (relating to mail fraud); or (F) section 1343 (relating to wire fraud), involving the sale of assets acquired or held by the Resolution Trust Corporation, the Federal Deposit Insurance Corporation, as conservator or receiver for a financial institution or any other conservator for a financial institution appointed by the Office of the Comptroller of the Currency or the Office of Thrift Supervision, or the National Credit Union Administration, as conservator or liquidating agent for a financial institution, shall order that the person forfeit to the United States any property, real or personal, which represents or is traceable to the gross receipts obtained, directly or indirectly, as a result of such violation. (4) With respect to an offense listed in subsection (a)(3) committed for the purpose of executing or attempting to execute any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent statements, pretenses, representations, or promises, the gross receipts of such an offense shall include any property, real or personal, tangible or intangible, which is obtained, directly or indirectly, as a result of such offense. (b)(1) Property subject to forfeiture under this section, any seizure and disposition thereof, and any administrative or judicial proceeding in relation thereto, shall be governed - (A) in the case of a forfeiture under subsection (a)(1) of this section, by subsections (c) and (e) through (p) of section 413 of the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 853); and (B) in the case of a forfeiture under subsection (a)(2) of this section, by subsections (b), (c), (e), and (g) through (p) of section 413 of such Act. (2) The substitution of assets provisions of subsection 413(p) shall not be used to order a defendant to forfeit assets in place of the actual property laundered where such defendant acted merely as an intermediary who handled but did not retain the property in the course of the money laundering offense unless the defendant, in committing the offense or offenses giving rise to the forfeiture, conducted three or more separate transactions involving a total of $100,000 or more in any twelve month period. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1366(a), Oct. 27, 1986, 100 Stat. 3207-39, and amended Pub. L. 100-690, title VI, Sec. 6463(c), 6464, Nov. 18, 1988, 102 Stat. 4374, 4375; Pub. L. 101-73, title IX, Sec. 963(c), Aug. 9, 1989, 103 Stat. 504; Pub. L. 101-647, title XIV, Sec. 1401, 1403, title XXV, Sec. 2525(b), Nov. 29, 1990, 104 Stat. 4835, 4874.) -MISC1- AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-647, Sec. 1401, which directed the insertion of ', 5316' after '5313(a)' was executed by making the insertion after first reference to '5313(a)' to reflect the probable intent of Congress. Subsec. (a)(3), (4). Pub. L. 101-647, Sec. 2525(b), added pars. (3) and (4). Subsec. (b)(2). Pub. L. 101-647, Sec. 1403, inserted before period at end 'unless the defendant, in committing the offense or offenses giving rise to the forfeiture, conducted three or more separate transactions involving a total of $100,000 or more in any twelve month period'. 1989 - Subsec. (a). Pub. L. 101-73, Sec. 963(c)(1), designated existing provisions as par. (1) and added par. (2). Subsec. (b). Pub. L. 101-73, Sec. 963(c)(2), struck out 'The provisions of subsections 413(c) and (e) through (p) of the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 853(c) and (e)-(p)) shall apply to property subject to forfeiture under this section, to any seizure or disposition thereof, and to any administrative or judicial proceeding in relation thereto, if not inconsistent with this section. However, the', added par. (1), and inserted '(2) The' before 'substitution of assets'. 1988 - Subsec. (a). Pub. L. 100-690, Sec. 6463(c), amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: 'The court, in imposing sentence on a person convicted of an offense under section 1956 or 1957 of this title shall order that the person forfeit to the United States any property, real or personal, which represents the gross receipts the person obtained, directly or indirectly, as a result of such offense, or which is traceable to such gross receipts.' Subsec. (b). Pub. L. 100-690, Sec. 6464, substituted '(p)' for '(o)' in two places and inserted at end 'However, the substitution of assets provisions of subsection 413(p) not be used to order a defendant to forfeit assets in place of the actual property laundered where such defendant acted merely as an intermediary who handled but did not retain the property in the course of the money laundering offense.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 1831k; title 28 section 524. ------DocID 24143 Document 385 of 1438------ -CITE- 18 USC CHAPTER 47 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- CHAPTER 47 - FRAUD AND FALSE STATEMENTS -MISC1- Sec. 1001. Statements or entries generally. 1002. Possession of false papers to defraud United States. 1003. Demands against the United States. 1004. Certification of checks. 1005. Bank entries, reports and transactions. 1006. Federal credit institution entries, reports and transactions. 1007. Federal Deposit Insurance Corporation transactions. (1008, 1009. Repealed). 1010. Department of Housing and Urban Development and Federal Housing Administration transactions. 1011. Federal land bank mortgage transactions. 1012. Department of Housing and Urban Development transactions. 1013. Farm loan bonds and credit bank debentures. 1014. Loan and credit applications generally; renewals and discounts; crop insurance. 1015. Naturalization, citizenship or alien registry. 1016. Acknowledgment of appearance or oath. 1017. Government seals wrongfully used and instruments wrongfully sealed. 1018. Official certificates or writings. 1019. Certificates by consular officers. 1020. Highway projects. 1021. Title records. 1022. Delivery of certificate, voucher, receipt for military or naval property. 1023. Insufficient delivery of money or property for military or naval service. 1024. Purchase or receipt of military, naval, or veterans' facilities property. 1025. False pretenses on high seas and other waters. 1026. Compromise, adjustment, or cancellation of farm indebtedness. 1027. False statements and concealment of facts in relation to documents required by the Employee Retirement Income Security Act of 1974. 1028. Fraud and related activity in connection with identification documents. 1029. Fraud and related activity in connection with access devices. 1030. Fraud and related activity in connection with computers. 1031. Major fraud against the United States. 1032. Concealment of assets from conservator, receiver, or liquidating agent of financial institution. AMENDMENTS 1990 - Pub. L. 101-647, title XXV, Sec. 2501(b), title XXXV, Sec. 3532, Nov. 29, 1990, 104 Stat. 4860, 4925, inserted a period after '1031' and added item 1032. 1989 - Pub. L. 101-73, title IX, Sec. 961(g)(2), 962(a)(4), Aug. 9, 1989, 103 Stat. 500, 502, struck out item 1008 'Federal Savings and Loan Insurance Corporation transactions' and item 1009 'Rumors regarding Federal Savings and Loan Insurance Corporation'. 1988 - Pub. L. 100-700, Sec. 2(c), Nov. 19, 1988, 102 Stat. 4632, added item 1031. 1984 - Pub. L. 98-473, title II, Sec. 1602(b), 2102(b), Oct. 12, 1984, 98 Stat. 2184, 2192, added items 1029 and 1030. 1982 - Pub. L. 97-398, Sec. 3, Dec. 31, 1982, 96 Stat. 2010, added item 1028. 1974 - Pub. L. 93-406, title I, Sec. 111(a)(2)(B)(iii), Sept. 2, 1974, 88 Stat. 852, substituted 'Employee Retirement Income Security Act of 1974' for 'Welfare and Pension Plans Disclosure Act' in item 1027. 1967 - Pub. L. 90-19, Sec. 24(e), May 25, 1967, 81 Stat. 28, included 'Department of Housing and Urban Development' in item 1010, and substituted the same for 'Public Housing Administration' in item 1012. 1962 - Pub. L. 87-420, Sec. 17(d), Mar. 20, 1962, 76 Stat. 42, added item 1027. 1951 - Act Oct. 31, 1951, ch. 655, Sec. 25, 65 Stat. 720, substituted 'Public Housing Administration' for 'United States Housing Authority' in item 1012. 1949 - Act May 24, 1949, ch. 139, Sec. 18, 19, 63 Stat. 92, corrected spelling in item 1012 and substituted 'officers' for 'offices' in item 1019. -CROSS- CROSS REFERENCES Alien registration, fraud and false statements, see section 1306 of Title 8, Aliens and Nationality. Carriers' reports to Interstate Commerce Commission, false entries, see section 11909 of Title 49, Transportation. China Trade, false or fraudulent statements prohibited, see section 158 of Title 15, Commerce and Trade. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 7 section 12a; title 15 sections 78o, 80b-3; title 29 section 1031. ------DocID 24144 Document 386 of 1438------ -CITE- 18 USC Sec. 1001 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1001. Statements or entries generally -STATUTE- Whoever, in any matter within the jurisdiction of any department or agency of the United States knowingly and willfully falsifies, conceals or covers up by any trick, scheme, or device a material fact, or makes any false, fictitious or fraudulent statements or representations, or makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry, shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 749.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 80 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197). Section 80 of title 18, U.S.C., 1940 ed., was divided into two parts. The provision relating to false claims was incorporated in section 287 of this title. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'or any corporation in which the United States of America is a stockholder' in said section 80 were omitted as unnecessary in view of definition of 'agency' in section 6 of this title. In addition to minor changes of phraseology, the maximum term of imprisonment was changed from 10 to 5 years to be consistent with comparable sections. (See reviser's note under section 287 of this title.) SHORT TITLE OF 1990 AMENDMENT Pub. L. 101-647, title XXV, Sec. 2500, Nov. 29, 1990, 104 Stat. 4859, provided that: 'This title (see Tables for classification) may be cited as the 'Comprehensive Thrift and Bank Fraud Prosecution and Taxpayer Recovery Act of 1990'.' SHORT TITLE OF 1989 AMENDMENT Pub. L. 101-123, Sec. 1, Oct. 23, 1989, 103 Stat. 759, provided that: 'This Act (amending section 1031 of this title, repealing section 293 of this title, enacting provisions set out as notes under sections 293 and 1031 of this title, and repealing provisions set out as a note under section 293 of this title) may be cited as the 'Major Fraud Act Amendments of 1989'.' SHORT TITLE OF 1988 AMENDMENT Pub. L. 100-700, Sec. 1, Nov. 19, 1988, 102 Stat. 4631, provided that: 'This Act (enacting sections 293 and 1031 of this title and section 256 of Title 41, Public Contracts, amending section 2324 of Title 10, Armed Forces, and section 3730 of Title 31, Money and Finance, enacting provisions set out as notes under sections 293 and 1031 of this title, section 2324 of Title 10, and section 522 of Title 28, Judiciary and Judicial Procedure, and repealing provisions set out as a note under section 2324 of Title 10) may be cited as the 'Major Fraud Act of 1988'.' SHORT TITLE OF 1986 AMENDMENT Pub. L. 99-474, Sec. 1, Oct. 16, 1986, 100 Stat. 1213, provided that: 'This Act (amending section 1030 of this title) may be cited as the 'Computer Fraud and Abuse Act of 1986'.' SHORT TITLE OF 1984 AMENDMENT Pub. L. 98-473, title II, Sec. 1601, Oct. 12, 1984, 98 Stat. 2183, provided that: 'This chapter (chapter XVI (Sec. 1601-1603) of title II of Pub. L. 98-473, enacting section 1029 of this title and provisions set out as a note under section 1029 of this title) may be cited as the 'Credit Card Fraud Act of 1984'.' Pub. L. 98-473, title II, Sec. 2101, Oct. 12, 1984, 98 Stat. 2190, provided that: 'This chapter (chapter XXI (Sec. 2101-2103) of title II of Pub. L. 98-473, enacting section 1030 of this title and provisions set out as a note under section 1030 of this title) may be cited as the 'Counterfeit Access Device and Computer Fraud and Abuse Act of 1984'.' SHORT TITLE OF 1982 AMENDMENT Section 1 of Pub. L. 97-398 provided: 'That this Act (enacting sections 1028 and 1738 of this title and amending section 3001 of Title 39, Postal Service) may be cited as the 'False Identification Crime Control Act of 1982'.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Conspiracy to defraud Government in regard to false claims, see section 286 of this title. Conspiracy to defraud United States, see section 371 of this title. False claims for pensions, see section 289 of this title. False claims for postal losses, see section 288 of this title. False entry or certificate by revenue officer or agent, see section 7214 of Title 26, Internal Revenue Code. Falsification of postal returns to increase compensation, see section 1712 of this title. Fraudulent claims, generally, see section 287 of this title. National Science Foundation scholarships or fellowships, applicability of section to loyalty affidavits, see section 1874 of Title 42, The Public Health and Welfare. Passports, false statements in application, see section 1542 of this title. Patent declaration in lieu of oath; warning in document of punishment for willful false statements and the like under this section, see section 25 of Title 35, Patents. Public buildings, section as applicable to statements by contractors, see section 276c of Title 40, Public Buildings, Property, and Works. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 981, 982, 1345, 3059A of this title; title 7 sections 136h, 509, 511r, 5662, 6519; title 8 section 1324a; title 12 section 1833a; title 15 section 3413; title 19 section 2515; title 22 sections 1623, 3622; title 35 section 25; title 40 section 276c; title 41 section 423; title 42 sections 2000b-3, 2000c-6, 3426, 3795a; title 43 sections 1212, 1812; title 49 App. section 1607a. ------DocID 24145 Document 387 of 1438------ -CITE- 18 USC Sec. 1002 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1002. Possession of false papers to defraud United States -STATUTE- Whoever, knowingly and with intent to defraud the United States, or any agency thereof, possesses any false, altered, forged, or counterfeited writing or document for the purpose of enabling another to obtain from the United States, or from any agency, officer or agent thereof, any sum of money, shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 749.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 74 (Mar. 4, 1909, ch. 321, Sec. 30, 35 Stat. 1094). Words 'or any agency thereof' after 'United States' and word 'agency' after 'any' and before 'officer,' were inserted to eliminate any possible ambiguity as to scope of section. (See definition of 'agency' in section 6 of this title.) The maximum fine of '$10,000' was substituted for '$500' in order to conform punishment provisions to those of comparable sections. (See section 1001 of this title.) Minor verbal change was made. -CROSS- CROSS REFERENCES Contracts, deeds, and powers of attorney, see section 495 of this title. ------DocID 24146 Document 388 of 1438------ -CITE- 18 USC Sec. 1003 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1003. Demands against the United States -STATUTE- Whoever knowingly and fraudulently demands or endeavors to obtain any share or sum in the public stocks of the United States, or to have any part thereof transferred, assigned, sold, or conveyed, or to have any annuity, dividend, pension, wages, gratuity, or other debt due from the United States, or any part thereof, received, or paid by virtue of any false, forged, or counterfeited power of attorney, authority, or instrument, shall be fined not more than $10,000 or imprisoned not more than five years, or both; but if the sum or value so obtained or attempted to be obtained does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 749.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 79 (Mar. 4, 1909, ch. 321, Sec. 34, 35 Stat. 1095). Words 'prize money' were deleted on the ground that they are an anachronism and were so before 1909. (See reviser's note under section 915 of this title.) Mandatory punishment provision was rephrased in the alternative. The smaller punishment for an offense involving $100 or less was added. (See reviser's note to sections 641 and 645 of this title.) The maximum term of 'five years' was substituted for 'ten years' and '$10,000' was substituted for '$5,000' as being more in harmony with punishment provision of similar sections. (See reviser's note under section 1001 of this title.) Minor changes in phraseology were made. ------DocID 24147 Document 389 of 1438------ -CITE- 18 USC Sec. 1004 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1004. Certification of checks -STATUTE- Whoever, being an officer, director, agent, or employee of any Federal Reserve bank, member bank of the Federal Reserve System, insured bank (as defined in section 3(h) of the Federal Deposit Insurance Act), branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or organization operating under section 25 or section 25(a) of the Federal Reserve Act, certifies a check before the amount thereof has been regularly deposited in the bank, branch, agency, or organization, by the drawer thereof, or resorts to any device, or receives any fictitious obligation, directly or collaterally, in order to evade any of the provisions of law relating to certification of checks, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 749; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(g), 104 Stat. 4910.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 591 of title 12, U.S.C., 1940 ed., Banks and Banking (R.S. Sec. 5208; July 12, 1882, ch. 290, Sec. 13, 22 Stat. 166; Sept. 26, 1918, ch. 177, Sec. 7, 40 Stat. 972; Feb. 25, 1927, ch. 191, Sec. 12, 44 Stat. 1231). Words 'be deemed guilty of a misdemeanor and shall' were omitted as unnecessary in view of definition of misdemeanor in section 1 of this title. Words 'on conviction thereof' were omitted as surplusage, because punishment cannot be imposed until after conviction. Words 'in any district court of the United States' were omitted as unnecessary, because section 3231 of this title confers jurisdiction on Federal district courts of all crimes and offenses defined in this title. Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 3(h) of the Federal Deposit Insurance Act, referred to in text, is classified to section 1813(h) of Title 12, Banks and Banking. Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12. Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647 substituted a comma for 'or' after 'Federal Reserve bank' and inserted 'insured bank (as defined in section 3(h) of the Federal Deposit Insurance Act), branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or organization operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'Federal Reserve System,' and ', branch, agency, or organization,' after 'has been regularly deposited in the bank'. -CROSS- CROSS REFERENCES Liability of Federal Reserve or member bank for certifying check when amount of deposit was inadequate, see section 501 of Title 12, Banks and Banking. ------DocID 24148 Document 390 of 1438------ -CITE- 18 USC Sec. 1005 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1005. Bank entries, reports and transactions -STATUTE- Whoever, being an officer, director, agent or employee of any Federal Reserve bank, member bank, depository institution holding company, national bank, insured bank, branch or agency of a foreign bank, or organization operating under section 25 or section 25(a) of the Federal Reserve Act,, (FOOTNOTE 1) without authority from the directors of such bank, branch, agency, or organization or company, issues or puts in circulation any notes of such bank, branch, agency, or organization or company; or (FOOTNOTE 1) So in original. Whoever, without such authority, makes, draws, issues, puts forth, or assigns any certificate of deposit, draft, order, bill of exchange, acceptance, note, debenture, bond, or other obligation, or mortgage, judgment or decree; or Whoever makes any false entry in any book, report, or statement of such bank, company, branch, agency, or organization with intent to injure or defraud such bank, company, branch, agency, or organization, or any other company, body politic or corporate, or any individual person, or to deceive any officer of such bank, company, branch, agency, or organization, or the Comptroller of the Currency, or the Federal Deposit Insurance Corporation, or any agent or examiner appointed to examine the affairs of such bank, company, branch, agency, or organization, or the Board of Governors of the Federal Reserve System; (FOOTNOTE 2) (FOOTNOTE 2) So in original. Probably should be followed by 'or'. Whoever with intent to defraud the United States or any agency thereof, or any financial institution referred to in this section, participates or shares in or receives (directly or indirectly) any money, profit, property, or benefits through any transaction, loan, commission, contract, or any other act of any such financial institution - Shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. As used in this section, the term 'national bank' is synonymous with 'national banking association'; 'member bank' means and includes any national bank, state bank, or bank or trust company, which has become a member of one of the Federal Reserve banks; 'insured bank' includes any state bank, banking association, trust company, savings bank, or other banking institution, the deposits of which are insured by the Federal Deposit Insurance Corporation; and the term 'branch or agency of a foreign bank' means a branch or agency described in section 20(9) of this title. For purposes of this section, the term 'depository institution holding company' has the meaning given such term in section 3(w)(1) of the Federal Deposit Insurance Act. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 750; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(d), 103 Stat. 499; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(d), 2595(a)(3), 2597(h), 104 Stat. 4861, 4907, 4910.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 592, 597 of title 12, U.S.C., 1940 ed., Banks and Banking (R.S. Sec. 5209; Dec. 23, 1913, ch. 6, Sec. 22(i) as added June 19, 1934, ch. 653, Sec. 3, 48 Stat. 1107; Sept. 26, 1918, ch. 177, Sec. 7, 40 Stat. 972; Aug. 23, 1935, ch. 614, Sec. 316, 49 Stat. 712). (See reviser's note under section 656 of this title for comprehensive statement of reasons for separating section 592 of title 12, U.S.C., 1940 ed., Banks and Banking, into three revised sections, and section 597 thereof into two revised sections, with the consequent extensive changes in phraseology, style, and arrangement.) In this section, national bank receivers and Federal reserve agents were not included in the initial enumeration of persons at whom the act is directed, since the provisions of this section, unlike section 656 of this title, are not directed at such receivers and agents. No changes of meaning or substance were made, except that, like said section 656 of this title, the different punishment provisions were reconciled, and one uniform punishment provision was adopted. The words 'shall be deemed guilty of a misdemeanor' were omitted as unnecessary in view of the definition of a misdemeanor in section 1 of this title. The words 'and upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Since section 3231 of this title gives the district court jurisdiction of criminal prosecutions, the words 'in any district court of the United States' were omitted as unnecessary. -REFTEXT- REFERENCES IN TEXT Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12, Banks and Banking. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. Section 3(w)(1) of the Federal Deposit Insurance Act, referred to in text, is classified to section 1813(w)(1) of Title 12. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 2504(d), 2595(a)(3)(A), (B), 2597(h), in first undesignated par. substituted 'depository institution' for 'bank or savings and loan', 'national bank, insured bank, branch or agency of a foreign bank, or organization operating under section 25 or section 25(a) of the Federal Reserve Act,' for 'national bank or insured bank', and 'of such bank, branch, agency, or organization or company' for 'of such bank' in two places, in third undesignated par. substituted 'bank, company, branch, agency, or organization' for 'bank or company' in four places, and in fifth undesignated par. substituted '30' for '20' before 'years'. Pub. L. 101-647, Sec. 2597(h)(3)(A), in sixth undesignated par. struck out 'and' after 'one of the Federal Reserve Banks;'. Pub. L. 101-647, Sec. 2597(h)(3)(B), which, in sixth undesignated par., directed insertion of '; and the term 'branch or agency of a foreign bank' means a branch or agency described in section 20(9) of this title' before the period, was inserted before period at end of first sentence to reflect the probable intent of Congress and intervening amendment by Pub. L. 101-647, Sec. 2595(a)(3)(C). See below. Pub. L. 101-647, Sec. 2595(a)(3)(C), inserted 'For purposes of this section, the term 'depository institution holding company' has the meaning given such term in section 3(w)(1) of the Federal Deposit Insurance Act.' at end of sixth undesignated par. 1989 - Pub. L. 101-73 in first undesignated par. inserted 'bank or savings and loan holding company,' after 'member bank,', in third undesignated paragraph inserted 'or company' after 'bank' wherever appearing and substituted a semicolon for the dash after 'Federal Reserve System', added fourth undesignated paragraph reading: 'Whoever with intent to defraud the United States or any agency thereof, or any financial institution referred to in this section, participates or shares in or receives (directly or indirectly) any money, profit, property, or benefits through any transaction, loan, commission, contract, or any other act of any such financial institution - ', and, in fifth undesignated paragraph substituted '$1,000,000' for '$5,000' and '20 years' for 'five years'. -TRANS- EXCEPTION AS TO TRANSFER OF FUNCTIONS Functions vested by any provision of law in Comptroller of the Currency, referred to in this section, were not included in transfer of functions of officers, agencies and employees of Department of the Treasury to Secretary of the Treasury, made by Reorg. Plan No. 26 of 1950, Sec. 1, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Bank examinations, see section 481 et seq. of Title 12, Banks and Banking. Federal Reserve System, laws applicable on becoming member bank, see section 324 of Title 12. Liability of directors and officers of member banks, see section 503 of Title 12. Officers and employees of government, false entries and reports of moneys or securities, see section 2073 of this title. Reports to Comptroller of the Currency, see section 161 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 3059A, 3293, 3322 of this title; title 12 sections 324, 503, 1786, 1821, 1828, 1829, 1831k, 1833a, 1847. ------DocID 24149 Document 391 of 1438------ -CITE- 18 USC Sec. 1006 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1006. Federal credit institution entries, reports and transactions -STATUTE- Whoever, being an officer, agent or employee of or connected in any capacity with the Reconstruction Finance Corporation, Federal Deposit Insurance Corporation, National Credit Union Administration, Office of Thrift Supervision, any Federal home loan bank, the Federal Housing Finance Board, the Resolution Trust Corporation, Farm Credit Administration, Department of Housing and Urban Development, Federal Crop Insurance Corporation, Farmers' Home Corporation, the Secretary of Agriculture acting through the Farmers Home Administration, the Rural Development Administration, or the Farm Credit System Insurance Corporation, a Farm Credit Bank, a bank for cooperatives or any lending, mortgage, insurance, credit or savings and loan corporation or association authorized or acting under the laws of the United States or any institution, other than an insured bank (as defined in section 656), the accounts of which are insured by the Federal Deposit Insurance Corporation, or by the National Credit Union Administration Board or any small business investment company, with intent to defraud any such institution or any other company, body politic or corporate, or any individual, or to deceive any officer, auditor, examiner or agent of any such institution or of department or agency of the United States, makes any false entry in any book, report or statement of or to any such institution, or without being duly authorized, draws any order or bill of exchange, makes any acceptance, or issues, puts forth or assigns any note, debenture, bond or other obligation, or draft, bill of exchange, mortgage, judgment, or decree, or, with intent to defraud the United States or any agency thereof, or any corporation, institution, or association referred to in this section, participates or shares in or receives directly or indirectly any money, profit, property, or benefits through any transaction, loan, commission, contract, or any other act of any such corporation, institution, or association, shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 750; May 24, 1949, ch. 139, Sec. 20, 63 Stat. 92; July 28, 1956, ch. 773, Sec. 2, 70 Stat. 714; Aug. 21, 1958, Pub. L. 85-699, title VII, Sec. 704, 72 Stat. 698; Oct. 4, 1961, Pub. L. 87-353, Sec. 3(s), 75 Stat. 774; May 25, 1967, Pub. L. 90-19, Sec. 24(a), 81 Stat. 27; Oct. 19, 1970, Pub. L. 91-468, Sec. 6, 84 Stat. 1016; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(e), 962(a)(7), (8)(A), 103 Stat. 500, 502; Nov. 28, 1990, Pub. L. 101-624, title XXIII, Sec. 2303(e), 104 Stat. 3981; Nov. 29, 1990, Pub. L. 101-647, title XVI, Sec. 1603, title XXV, Sec. 2504(e), 2595(a)(4), 104 Stat. 4843, 4861, 4907.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 1026(b) and 1514(c) of title 7, U.S.C., 1940 ed., Agriculture, sections 264(u), 984, 1121, 1138d(c), 1311, 1441(c), 1467(c) and 1731(c) of title 12, U.S.C., 1940 ed., Banks and Banking, and section 616(c) of title 15, U.S.C., 1940 ed., Commerce and Trade (Dec. 23, 1913, ch. 6, Sec. 12B(u), as added June 16, 1933, ch. 89, Sec. 8, 48 Stat. 178; July 17, 1916, ch. 245, Sec. 31, fourth par., 39 Stat. 383; July 17, 1916, ch. 245, Sec. 211(a), as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1459; Mar. 4, 1923, ch. 252, title II, Sec. 216(a), 42 Stat. 1471; Jan. 22, 1932, ch. 8, Sec. 16(c), 47 Stat. 11; July 22, 1932, ch. 522, Sec. 21(c), 47 Stat. 738; Ex. Ord. No. 6084, Mar. 27, 1933; June 13, 1933, ch. 64, Sec. 8(c), 48 Stat. 135; June 16, 1933, ch. 98, Sec. 64(c), 48 Stat. 268; Jan. 31, 1934, ch. 7, Sec. 13, 48 Stat. 347; June 27, 1934, ch. 847, Sec. 512(c), 48 Stat. 1265; Aug. 23, 1935, ch. 614, Sec. 101, 49 Stat. 701; July 22, 1937, ch. 517, title IV, Sec. 52(b), 50 Stat. 532; Feb. 16, 1938, ch. 30, title V, Sec. 514(c), 52 Stat. 76; Aug. 14, 1946, ch. 964, Sec. 3, 60 Stat. 1064). Each of the eleven sections from which this section was derived contained similar provisions relating to embezzlement, false entries, and fraudulent issuance or assignment of obligations with respect to one or more named agencies or corporations. These were divided and the false entry and fraudulent issuance or assignment of obligation provisions of all, form the basis of this section. The remaining provisions of each section, relating to embezzlement and misapplication, form the basis for section 657 of this title. That portion of said section 616(c) of title 15, relating to disclosure of information, forms the basis for section 1904 of this title. Each revised section condenses and simplifies the constituent provisions without change of substance except as herein indicated. The punishment provisions in each section were the same except that in section 1026(b) of title 7, U.S.C., 1940 ed., and sections 984, 1121, and 1311 of title 12, U.S.C., 1940 ed., the maximum fine was $5,000. This consolidated section adopts the $10,000 maximum fine provided by the seven other sections. References to persons aiding or abetting contained in sections 984, 1121, and 1311 of title 12, U.S.C., 1940 ed., were omitted as unnecessary, as such persons are made principals by section 2 of this title. The term 'receiver,' used in sections 1121 and 1311 of title 12, U.S.C., 1940 ed., with reference to Federal intermediate credit banks and agricultural credit corporations, was omitted as this term is undoubtedly embraced in the phrase 'or connected in any capacity with.' The term 'or of any department or agency of the United States' was inserted in order to clarify the sweeping provisions against fraudulent acts and to eliminate any possible ambiguity as to scope of section. (See definitions of 'department' and 'agency' in section 6 of this title.) Words 'shall be deemed guilty of a misdemeanor', contained in section 1311 of title 12, U.S.C., 1940 ed., were omitted as unnecessary, in view of definition of misdemeanor in section 1 of this title. Words 'and upon conviction', contained in section 1311 of title 12, U.S.C., 1940 ed., were omitted as surplusage, because punishment cannot be imposed until after conviction. Words 'in any district court of the United States', contained in section 1311 of title 12, U.S.C., 1940 ed., were omitted as unnecessary, because section 3231 of this title confers jurisdiction on the Federal district courts of all crimes and offenses defined in this title. The conspiracy provisions of section 1138d(f) of title 12, U.S.C., 1940 ed., Banks and Banking, were not added to this consolidated section for reasons stated in reviser's note under section 493 of this title. (See also reviser's note under section 371 of this title.) 1949 ACT (Section 20) conforms section 1006 of title 18, U.S.C., to administrative practice which in turn was modified to comply with congressional policy. (See note to sec. 11 (of 1949 Act, set out in Historical and Revision Notes under section 657 of this title)). AMENDMENTS 1990 - Pub. L. 101-647, Sec. 2595(a)(4), substituted 'Office of Thrift Supervision, any Federal home loan bank, the Federal Housing Finance Board, the Resolution Trust Corporation,' for 'Home Owners' Loan Corporation,', and directed substitution of 'institution, other than an insured bank (as defined in section 656), the accounts of which are insured by the Federal Deposit Insurance Corporation', for 'institution the accounts of which are insured by the Federal Savings and Loan Insurance Corporation' which was executed by making the substitution for 'institution the accounts of which are insured by the Federal Deposit Insurance Corporation' to reflect the probable intent of Congress and intervening amendment by Pub. L. 101-647, Sec. 1603, see below. Pub. L. 101-647, Sec. 2504(e), substituted '30' for '20' before 'years'. Pub. L. 101-647, Sec. 1603, substituted 'Federal Deposit Insurance Corporation' for 'Federal Savings and Loan Insurance Corporation'. Pub. L. 101-624 substituted 'Farmers Home Administration, the Rural Development Administration' for 'Farmers' Home Administration'. 1989 - Pub. L. 101-73, Sec. 962(a)(8)(A), substituted 'the Farm Credit System Insurance Corporation, a Farm Credit Bank, a' for 'any land bank, intermediate credit bank,'. Pub. L. 101-73, Sec. 962(a)(7), substituted 'National Credit Union Administration Board' for 'Administrator of the National Credit Union Administration'. Pub. L. 101-73, Sec. 961(e), substituted '$1,000,000' for '$10,000' and '20 years' for 'five years'. 1970 - Pub. L. 91-468 added National Credit Union Administration and its Administrator to the enumeration of Federal Credit institutions and personnel. 1967 - Pub. L. 90-19 substituted 'Department of Housing and Urban Development' for 'Federal Housing Administration'. 1961 - Pub. L. 87-353 struck out reference to Federal Farm Mortgage Corporation. 1958 - Pub. L. 85-699 included officers, agents or employees of or connected in any capacity with small business investment companies. 1956 - Act July 28, 1956, included officers, agents or employees of or connected in any capacity with any institution the accounts of which are insured by the Federal Savings and Loan Insurance Corporation. 1949 - Act May 24, 1949, inserted reference Secretary of Agriculture acting through the Farmers' Home Administration. -TRANS- EXCEPTIONS FROM TRANSFER OF FUNCTIONS Functions of Corporations of Department of Agriculture, boards of directors and officers of such corporations, Advisory Board of Commodity Credit Corporation, and Farm Credit Administration or any agency, officer or entity of, under, or subject to supervision of said Administration excepted from functions of officers, agencies, and employees transferred to Secretary of Agriculture by Reorg. Plan No. 2 of 1953, Sec. 1, eff. June 4, 1953, 18 F.R. 3219, 67 Stat. 633, set out in the Appendix to Title 5, Government Organization and Employees. ABOLITION OF RECONSTRUCTION FINANCE CORPORATION Section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees, abolished Reconstruction Finance Corporation. NATIONAL CREDIT UNION ADMINISTRATION Establishment as independent agency, membership etc., see section 1752 et seq. of Title 12, Banks and Banking. FARM CREDIT ADMINISTRATION Establishment of Farm Credit Administration as independent agency, and other changes in status, function, etc., see Ex. Ord. No. 6084, set out prec. section 2241 of Title 12, Banks and Banking. See also section 2001 et seq. of Title 12. ABOLITION OF FARMERS' HOME CORPORATION Farmers' Home Corporation, created as an agency within Department of Agriculture by section 1014 of Title 7, Agriculture, abolished as a result of repeal of such section by Pub. L. 87-128, title III, Sec. 341(a), Aug. 8, 1961, 75 Stat. 318. -CROSS- CROSS REFERENCES Financial control of government corporations, see section 9101 et seq. of Title 31, Money and Finance. Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal Deposit Insurance Corporation, Federal land banks, joint-stock land banks and national farm loan associations are concerned, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 3056, 3059A, 3293, 3322 of this title; title 12 sections 1786, 1787, 1821, 1828, 1829, 1831k, 1833a. ------DocID 24150 Document 392 of 1438------ -CITE- 18 USC Sec. 1007 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1007. Federal Deposit Insurance Corporation Transactions (FOOTNOTE 1) -STATUTE- (FOOTNOTE 1) So in original. Probably should not be capitalized. Whoever, for the purpose of influencing in any way the action of the Federal Deposit Insurance Corporation, knowingly makes or invites reliance on a false, forged, or counterfeit statement, document, or thing shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 750; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(f), 103 Stat. 500; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(f), 104 Stat. 4861.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 264(s) of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 12B(s), as added June 16, 1933, ch. 89, Sec. 8, 48 Stat. 177; Aug. 23, 1935, ch. 614, Sec. 101, 49 Stat. 700). Words 'Federal Deposit Insurance' were inserted before 'Corporation' in three places, so as to identify said Corporation, and phrase 'under this section' was omitted as no longer applicable, considering transfer of this section to this title. Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-647 substituted '30' for '20' before 'years'. 1989 - Pub. L. 101-73 substituted 'Transactions' for 'transactions' in section catchline and amended text generally. Prior to amendment, text read as follows: 'Whoever, for the purpose of obtaining any loan from the Federal Deposit Insurance Corporation, or any extension or renewals thereof, or the acceptance, release, or substitution of security therefor, or for the purpose of inducing the Federal Deposit Insurance Corporation to purchase any assets, or for the purpose of obtaining the payment of any insured deposit or transferred deposit or the allowance, approval, or payment of any claim, or for the purpose of influencing in any way the action of the Federal Deposit Insurance Corporation, makes any statement, knowing it to be false, or willfully overvalues any security, shall be fined not more than $5,000 or imprisoned not more than two years, or both.' -CROSS- CROSS REFERENCES Secret Service, detection, arrest and delivery into custody of any person violating this section, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 3056, 3059A, 3293, 3322 of this title; title 12 sections 1786, 1821, 1828, 1829, 1831k, 1833a. ------DocID 24151 Document 393 of 1438------ -CITE- 18 USC Sec. 1008, 1009 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- (Sec. 1008, 1009. Repealed. Pub. L. 101-73, title IX, Sec. 961(g)(1), 962(a)(3), Aug. 9, 1989, 103 Stat. 500, 502) -MISC1- Section 1008, act June 25, 1948, ch. 645, 62 Stat. 751, provided for fine or imprisonment for certain prohibited actions taken to obtain insurance from, or to influence in any way, the Federal Savings and Loan Insurance Corporation. Section 1009, act June 25, 1948, ch. 645, 62 Stat. 751, provided for fine or imprisonment for making certain statements or rumors, untrue in fact, which were derogatory or affected solvency or financial condition of the Federal Savings and Loan Insurance Corporation. ------DocID 24152 Document 394 of 1438------ -CITE- 18 USC Sec. 1010 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1010. Department of Housing and Urban Development and Federal Housing Administration transactions -STATUTE- Whoever, for the purpose of obtaining any loan or advance of credit from any person, partnership, association, or corporation with the intent that such loan or advance of credit shall be offered to or accepted by the Department of Housing and Urban Development for insurance, or for the purpose of obtaining any extension or renewal of any loan, advance of credit, or mortgage insured by such Department, or the acceptance, release, or substitution of any security on such a loan, advance of credit, or for the purpose of influencing in any way the action of such Department, makes, passes, utters, or publishes any statement, knowing the same to be false, or alters, forges, or counterfeits any instrument, paper, or document, or utters, publishes, or passes as true any instrument, paper, or document, knowing it to have been altered, forged, or counterfeited, or willfully overvalues any security, asset, or income, shall be fined not more than $5,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 751; May 25, 1967, Pub. L. 90-19, Sec. 24(c), 81 Stat. 28.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1731(a) of title 12, U.S.C., 1940 ed., Banks and Banking (June 27, 1934, ch. 847, Sec. 512(a), 48 Stat. 1265; Feb. 3, 1938, ch. 13, Sec. 9, 52 Stat. 24). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. '$5,000' was substituted for '$3,000' to make this section more consistent in its punishment provisions with comparable sections. (See section 1008 of this title.) Minor changes in phraseology were made. AMENDMENTS 1967 - Pub. L. 90-19 included reference to Department of Housing and Urban Development in section catchline and substituted in text 'Department of Housing and Urban Development' for 'Federal Housing Administration' and 'Department' for 'Administration' in two places, respectively. ------DocID 24153 Document 395 of 1438------ -CITE- 18 USC Sec. 1011 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1011. Federal land bank mortgage transactions -STATUTE- Whoever, being a mortgagee, knowingly makes any false statement in any paper, proposal, or letter, relating to the sale of any mortgage, to any Federal land bank; or Whoever, being an appraiser, willfully over-values any land securing such mortgage - Shall be fined not more than $5,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 751.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 987 of title 12, U.S.C., 1940 ed., Banks and Banking (July 17, 1916, ch. 245, Sec. 31, seventh paragraph, as added June 16, 1933, ch. 98, Sec. 78, 48 Stat. 272). Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Secret Service, detection, arrest and delivery into custody of any person violating this section, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 24154 Document 396 of 1438------ -CITE- 18 USC Sec. 1012 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1012. Department of Housing and Urban Development transactions -STATUTE- Whoever, with intent to defraud, makes any false entry in any book of the Department of Housing and Urban Development or makes any false report or statement to or for such Department; or Whoever receives any compensation, rebate, or reward, with intent to defraud such Department or with intent unlawfully to defeat its purposes; or Whoever induces or influences such Department to purchase or acquire any property or to enter into any contract and willfully fails to disclose any interest which he has in such property or in the property to which such contract relates, or any special benefit which he expects to receive as a result of such contract - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 752; Oct. 31, 1951, ch. 655, Sec. 26, 65 Stat. 720; May 25, 1967, Pub. L. 90-19, Sec. 24(d), 81 Stat. 28.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 1423-1425 of title 42, U.S.C., 1940 ed., The Public Health and Welfare (Sept. 1, 1937, ch. 896, Sec. 23-25, 50 Stat. 899). Three sections were consolidated with changes of phraseology and arrangement necessary to effect consolidation. Words 'upon conviction thereof', in each section were omitted as surplusage since punishment cannot be imposed until after conviction. The provisions of section 1424 of title 42, U.S.C., 1940 ed., The Public Health and Welfare, relating to conspiracy were omitted as inconsistent with the general conspiracy statute, section 371 of this title, both as to punishment and allegation and proof of an overt act. (See reviser's note under section 493 of this title.) AMENDMENTS 1967 - Pub. L. 90-19 substituted 'Department of Housing and Urban Development' for 'Public Housing Administration' in section catchline and text, and 'Department' for 'Administration' wherever appearing in text. 1951 - Act Oct. 31, 1951, substituted 'Public Housing Administration' for 'United States Housing Authority' in section catchline and text, and 'Administration' for 'Authority', wherever appearing in text. -CROSS- CROSS REFERENCES Low-rent housing, see section 1437 et seq. of Title 42, The Public Health and Welfare. ------DocID 24155 Document 397 of 1438------ -CITE- 18 USC Sec. 1013 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1013. Farm loan bonds and credit bank debentures -STATUTE- Whoever deceives, defrauds, or imposes upon, or attempts to deceive, defraud, or impose upon any person, partnership, corporation, or association by making any false pretense or representation concerning the character, issue, security, contents, conditions, or terms of any farm loan bond, or coupon, issued by any Federal land bank or banks; or of any debenture, coupon, or other obligation, issued by any Federal intermediate credit bank or banks, or by any National Agricultural Credit Corporation; or by falsely pretending or representing that any farm loan bond, or coupon, is anything other than, or different from, what it purports to be on the face of said bond or coupon, shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 752; Oct. 12, 1982, Pub. L. 97-297, Sec. 4(a), 96 Stat. 1318.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 985, 1127, and 1317 of title 12, U.S.C., 1940 ed., Banks and Banking (July 17, 1916, ch. 245, Sec. 31, fifth paragraph, 39 Stat. 384; July 17, 1916, ch. 245, Sec. 211(g), as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1461; Mar. 4, 1923, ch. 252, title II, Sec. 216(g), 42 Stat. 1473). This section condenses and simplifies sections 985, 1127, and 1317 of title 12, U.S.C., 1940 ed., Banks and Banking, each of which contained similar provisions and similar language. The punishment provisions of all three sections were the same. References to 'chapter' and 'subchapter' were omitted and words describing the various types of banks or organizations to which said sections 985, 1127, and 1317 of title 12, U.S.C., 1940 ed., Banks and Banking, related, were inserted in lieu. This necessitated some rephrasing and transposition of phrases, but without change of meaning or substance. Words 'upon conviction' which were contained in sections 1127 and 1317 of title 12, U.S.C., 1940 ed., Banks and Banking, were omitted as surplusage, because punishment cannot be imposed until after conviction. Changes were made in phraseology. AMENDMENTS 1982 - Pub. L. 97-297 struck out ', or by any joint-stock land bank or banks' after 'issued by any Federal land bank or banks'. NATIONAL AGRICULTURAL CREDIT CORPORATION Title II of the Agricultural Credits Act, act Mar. 4, 1923, ch. 252, title II, Sec. 201-217, 42 Stat. 1461, which authorized the creation of national agricultural credit corporations, was repealed by Pub. L. 86-230, Sept. 8, 1959, Sec. 24, 73 Stat. 466. Prior to such repeal, act June 16, 1933, ch. 101, Sec. 77, 48 Stat. 292, had prohibited the creation, after June 16, 1933, of national agricultural credit corporations authorized to be formed under the Agricultural Credits Act. -CROSS- CROSS REFERENCES Compromise, adjustment or cancellation of farm indebtedness, false statements, see section 1026 of this title. Secret Service, arrest, detection and delivery into custody of any person violating this section in so far as Federal land banks and joint-stock land banks are concerned, see section 3056 of this title. Spurious advertising or representations as to Federal farm loans and bonds, see section 709 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 24156 Document 398 of 1438------ -CITE- 18 USC Sec. 1014 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1014. Loan and credit applications generally; renewals and discounts; crop insurance -STATUTE- Whoever knowingly makes any false statement or report, or willfully overvalues any land, property or security, for the purpose of influencing in any way the action of the Reconstruction Finance Corporation, Farm Credit Administration, Federal Crop Insurance Corporation, Farmers' Home Corporation, the Secretary of Agriculture acting through the Farmers Home Administration, the Rural Development Administration, any Farm Credit Bank, production credit association, agricultural credit association, bank for cooperatives, or any division, officer, or employee thereof, or of any regional agricultural credit corporation established pursuant to law, or of the National Agricultural Credit Corporation,, (FOOTNOTE 1) a Federal land bank, a Federal land bank association, a Federal Reserve bank, a small business investment company, a Federal credit union, an insured State-chartered credit union, any institution the accounts of which are insured by the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, any Federal home loan bank, the Federal Housing Finance Board, the Federal Deposit Insurance Corporation, the Resolution Trust Corporation, the Farm Credit System Insurance Corporation, or the National Credit Union Administration Board (FOOTNOTE 2) a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or an organization operating under section 25 or section 25(a) of the Federal Reserve Act,, (FOOTNOTE 1) upon any application, advance, discount, purchase, purchase agreement, repurchase agreement, commitment, or loan, or any change or extension of any of the same, by renewal, deferment of action or otherwise, or the acceptance, release, or substitution of security therefor, shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. (FOOTNOTE 1) So in original. (FOOTNOTE 2) So in original. Probably should be followed by a comma. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 752; May 24, 1949, ch. 139, Sec. 21, 63 Stat. 92; July 26, 1956, ch. 741, title I, Sec. 109, 70 Stat. 667; Aug. 21, 1958, Pub. L. 85-699, title VII, Sec. 705, 72 Stat. 699; Aug. 18, 1959, Pub. L. 86-168, title I, Sec. 104(h), 73 Stat. 387; Oct. 4, 1961, Pub. L. 87-353, Sec. 3(t), 75 Stat. 774; July 2, 1964, Pub. L. 88-353, Sec. 5, 78 Stat. 269; Oct. 19, 1970, Pub. L. 91-468, Sec. 7, 84 Stat. 1017; Dec. 31, 1970, Pub. L. 91-609, title IX, Sec. 915, 84 Stat. 1815; Oct. 12, 1982, Pub. L. 97-297, Sec. 4(b), 96 Stat. 1318; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(h), 962(a)(7), (8)(B), 103 Stat. 500, 502; Nov. 28, 1990, Pub. L. 101-624, title XXIII, Sec. 2303(e), 104 Stat. 3981; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(g), 2595(a)(5), 2597(i), 104 Stat. 4861, 4907, 4910.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 1026(a) and 1514(a) of title 7, U.S.C., 1940 ed., Agriculture, sections 596, 981, 1122, 1123, 1138d(a), 1248, 1312, 1313, 1441(a), and 1467(a), of title 12, U.S.C., 1940 ed., Banks and Banking, and section 616(a) of title 15, U.S.C., 1940 ed., Commerce and Trade (Dec. 23, 1913, ch. 6, Sec. 22(h), as added June 19, 1934, ch. 653, Sec. 3, 48 Stat. 1107; July 17, 1916, ch. 245, Sec. 31, first paragraph, 39 Stat. 382; July 17, 1916, ch. 245, Sec. 211(b), (c), as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1460; Mar. 4, 1923, ch. 252, title II, Sec. 209(h), 216(b), (c), 42 Stat. 1468, 1472; Jan. 22, 1932, ch. 8, Sec. 16 (a), 47 Stat. 11; July 22, 1932, ch. 522, Sec. 21(a), 47 Stat. 738; June 13, 1933, ch. 64, Sec. 8(a), 48 Stat. 134; June 16, 1933, ch. 98, Sec. 64(a), 48 Stat. 267; Jan. 31, 1934, ch. 7, Sec. 13, 48 Stat. 347; June 3, 1935, ch. 164, Sec. 21, 49 Stat. 319; July 22, 1937, ch. 517, title IV, Sec. 52(a); 50 Stat. 531; Feb. 16, 1938, ch. 30, title V, Sec. 514(a), 52 Stat. 76; Aug. 14, 1946, ch. 964, Sec. 3, 60 Stat. 1064). Each of the 13 sections from which this section was derived contained similar provisions either relating to false representations and statements, or overvaluation of security, with respect to one or more of the named banks, agencies, or corporations. These were consolidated and the false statement and security overvaluation provisions of all, form the basis of this section. The provisions of section 981 of title 12, U.S.C., 1940 ed., Banks and Banking, relating to acceptance of loans or gratuities by examiners, were consolidated with similar provisions from other sections to form section 218 (now section 213) of this title. The provisions of said section 981 of title 12, U.S.C., 1940 ed., Banks and Banking, prohibiting land bank and national farm loan association examiners from performing 'any other service for compensation for any bank or banking or loan association, or for any person connected therewith in any capacity' were consolidated with similar provisions from other sections to form section 1909 of this title. Eight of the consolidated sections contained identical punishment, each providing for a maximum fine of $5,000 and maximum imprisonment of 2 years. Two sections provided for a maximum fine of $10,000 and maximum imprisonment of 5 years. One section provided for maximum fine of $5,000 and maximum imprisonment of 5 years, one section provided for maximum fine of $2,000 and maximum imprisonment of 2 years, and one section provided for maximum fine of $5,000 and maximum imprisonment of 1 year. The punishment by maximum fine of $5,000 or maximum imprisonment of 2 years, or both, provided in this consolidated section was adopted as most consistent with the greater number of comparable sections. (See sections 1008 and 1010 of this title.) This is a reasonable reconciliation of the conflicting punishment provisions and adequate for the offenses described. The enumeration of 'application, advance, discount, purchase, purchase agreement, repurchase agreement, commitment, or loan' and the wording 'or any change or extension of any of the same, by renewal, deferment of action or otherwise, or the acceptance, release, or substitution of security therefor' does not occur in any one of the original sections, but such enumeration and such wording are adequate, and they represent a composite of terms and transactions mentioned in each. In addition, changes were made in phraseology to secure uniformity of style, and some rephrasing was necessary, but the consolidation was without change of substance except as above indicated. Section 1138d(f) of Title 12, U.S.C., 1940 ed., Banks and Banking, relating to conspiracy, was not added to this consolidated section for reasons given in reviser's note under section 493 of this title. 1949 ACT (Section 21) conforms section 1014 of Title 18 U.S.C., to administrative practice which in turn was modified to comply with congressional policy. (See note to sec. 11 (of 1949 Act, set out in Historical and Revision note under section 657 of this title)). -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12, Banks and Banking. Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 2597(i), inserted 'a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or an organization operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'or the National Credit Union Administration Board'. Pub. L. 101-647, Sec. 2595(a)(5), substituted 'the Office of Thrift Supervision, any Federal home loan bank, the Federal Housing Finance Board,' for 'the Federal Home Loan Bank System,' and inserted a comma after 'Resolution Trust Corporation'. Pub. L. 101-647, Sec. 2504(g), substituted '30' for '20' before 'years'. Pub. L. 101-624 substituted 'Farmers Home Administration, the Rural Development Administration' for 'Farmers' Home Administration'. 1989 - Pub. L. 101-73, Sec. 962(a)(8)(B)(i), substituted 'any Farm Credit Bank, production credit association, agricultural credit association, bank for cooperatives, or any division, officer, or employee thereof' for 'any Federal intermediate credit bank, or any division, officer, or employee thereof, or of any corporation organized under sections 1131-1134m of Title 12'. Pub. L. 101-73, Sec. 962(a)(8)(B)(ii), substituted 'Farm Credit System Insurance Corporation' for 'Federal Savings and Loan Insurance Corporation'. Pub. L. 101-73, Sec. 962(a)(7), substituted 'National Credit Union Administration Board' for 'Administrator of the National Credit Union Administration'. Pub. L. 101-73, Sec. 961(h)(1)-(3), (5), (6), struck out 'a Federal Home Loan Bank, the Federal Home Loan Bank Board, the Home Owners' Loan Corporation, a Federal Savings and Loan Association' after 'National Agricultural Credit Corporation,', struck out 'the Federal Savings and Loan Insurance Corporation, any bank the deposits of which are insured by' after 'the accounts of which are insured by', struck out 'any member of' before 'the Federal Home Loan Bank System', and substituted '$1,000,000' for '$5,000' and '20 years' for 'two years'. Pub. L. 101-73, Sec. 961(h)(4), which directed the insertion of 'the Resolution Trust Corporation' after 'Federal Deposit Insurance Corporation,' was executed by making the insertion after the second appearance of 'Federal Deposit Insurance Corporation,' as the probable intent of Congress. 1982 - Pub. L. 97-297 struck out 'a joint-stock land bank,' after 'a Federal land bank,'. 1970 - Pub. L. 91-609 extended criminal penalty for fraud or false statements to influence any institution the accounts of which are insured by the Federal Savings and Loan Insurance Corporation, any bank the deposits of which are insured by the Federal Deposit Insurance Corporation, any member of the Federal Home Loan Bank System, the Federal Deposit Insurance Corporation, the Federal Savings and Loan Insurance Corporation, or the Administrator of the National Credit Union Administration. Pub. L. 91-468 substituted 'a Federal credit union, or an insured State-chartered credit union' for 'or a Federal credit union'. 1964 - Pub. L. 88-353 inserted reference to Federal credit unions. 1961 - Pub. L. 87-353 struck out reference to Federal Farm Mortgage Corporation. 1959 - Pub. L. 86-168 substituted 'Federal land bank association' for 'National farm loan association'. 1958 - Pub. L. 85-699 inserted reference to small business investment companies. 1956 - Act July 26, 1956, struck out reference to corporations in which a Production Credit Corporation holds stock. 1949 - Act May 24, 1949, inserted reference to Secretary of Agriculture acting through the Farmers' Home Administration. EFFECTIVE DATE OF 1959 AMENDMENT Amendment by Pub. L. 86-168 effective Dec. 31, 1959, see section 104(k) of Pub. L. 86-168. EFFECTIVE DATE OF 1956 AMENDMENT Amendment by act July 26, 1956, effective Jan. 1, 1957, see section 202(a) of that act, set out as an Effective Date note under section 1027 of Title 12, Banks and Banking. -TRANS- ABOLITION OF RECONSTRUCTION FINANCE CORPORATION Section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees. FARM CREDIT ADMINISTRATION Establishment of Farm Credit Administration as independent agency, and other changes in status, function, etc., see Ex. Ord. No. 6084 set out prec. section 2241 of Title 12, Banks and Banking. See also section 2001 et seq. of Title 12. ABOLITION OF FARMERS' HOME CORPORATION Farmers' Home Corporation, created as an agency within the Department of Agriculture by section 1014 of Title 7, Agriculture, abolished as a result of repeal of such section by Pub. L. 87-128, title III, Sec. 341(a), Aug. 8, 1961, 75 Stat. 318. NATIONAL CREDIT UNION ADMINISTRATION Establishment as independent agency, membership, etc., see section 1752 et seq. of Title 12, Banks and Banking. -CROSS- CROSS REFERENCES Compromise, adjustment or cancellation of farm indebtedness, false statements, see section 1026 of this title. Liability of directors and officers of member banks, see section 503 of Title 12, Banks and Banking. Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal land banks, joint-stock land banks and national farm loan associations are concerned, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 3056, 3059A, 3293, 3322 of this title; title 12 sections 503, 1786, 1787, 1821, 1828, 1829, 1831k, 1833a. ------DocID 24157 Document 399 of 1438------ -CITE- 18 USC Sec. 1015 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1015. Naturalization, citizenship or alien registry -STATUTE- (a) Whoever knowingly makes any false statement under oath, in any case, proceeding, or matter relating to, or under, or by virtue of any law of the United States relating to naturalization, citizenship, or registry of aliens; or (b) Whoever knowingly, with intent to avoid any duty or liability imposed or required by law, denies that he has been naturalized or admitted to be a citizen, after having been so naturalized or admitted; or (c) Whoever uses or attempts to use any cer-tificate of arrival, declaration of intention, certificate of naturalization, certificate of citizenship or other documentary evidence of naturalization or of citizenship, or any duplicate or copy thereof, knowing the same to have been procured by fraud or false evidence or without required appearance or hearing of the applicant in court or otherwise unlawfully obtained; or (d) Whoever knowingly makes any false cer-tificate, acknowledgment or statement concerning the appearance before him or the taking of an oath or affirmation or the signature, attestation or execution by any person with respect to any application, declaration, petition, affidavit, deposition, certificate of naturalization, certificate of citizenship or other paper or writing required or authorized by the laws relating to immigration, naturalization, citizenship, or registry of aliens - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 752.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a), paragraphs (1), (16), (17), (19), (32), (b), (d), and (l) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a), pars. (1), (16), (17), (19), (32), (b), (d), and (l), 45 Stat. 1163, 1165, 1167). Section consolidates, with minor changes, subsection (a), paragraphs (1), (16), (17), (19), (32), and subsections (b), (d), and (l), of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality. Such changes of arrangement and phraseology were made as were appropriate and necessary. -CROSS- CROSS REFERENCES Immigration and Nationality, see section 1101 et seq. of Title 8, Aliens and Nationality. ------DocID 24158 Document 400 of 1438------ -CITE- 18 USC Sec. 1016 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1016. Acknowledgment of appearance or oath -STATUTE- Whoever, being an officer authorized to administer oaths or to take and certify acknowledgments, knowingly makes any false acknowledgment, certificate, or statement concerning the appearance before him or the taking of an oath or affirmation by any person with respect to any proposal, contract, bond, undertaking, or other matter submitted to, made with, or taken on behalf of the United States or any department or agency thereof, concerning which an oath or affirmation is required by law or lawful regulation, or with respect to the financial standing of any principal, surety, or other party to any such proposal, contract, bond, undertaking, or other instrument, shall be fined not more than $2,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 753.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 75 (Mar. 4, 1909, ch. 321, Sec. 31, 35 Stat. 1094). Words 'or of any department or agency thereof' were inserted after 'United States' so as to remove any ambiguity as to scope of section. (See definitions of 'department' and 'agency' in section 6 of this title.) ------DocID 24159 Document 401 of 1438------ -CITE- 18 USC Sec. 1017 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1017. Government seals wrongfully used and instruments wrongfully sealed -STATUTE- Whoever fraudulently or wrongfully affixes or impresses the seal of any department or agency of the United States, to or upon any certificate, instrument, commission, document, or paper or with knowledge of its fraudulent character, with wrongful or fraudulent intent, uses, buys, procures, sells, or transfers to another any such certificate, instrument, commission, document, or paper, to which or upon which said seal has been so fraudulently affixed or impressed, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 753.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 130 (June 15, 1917, ch. 30, title X, Sec. 1, 40 Stat. 227). To clarify scope of section and in view of definition of department or agency in section 6 of this title, words 'department or agency' were substituted for 'executive department, or of any bureau, commission, or office'. Slight verbal changes were also made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses under this section, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717 of this title. ------DocID 24160 Document 402 of 1438------ -CITE- 18 USC Sec. 1018 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1018. Official certificates or writings -STATUTE- Whoever, being a public officer or other person authorized by any law of the United States to make or give a certificate or other writing, knowingly makes and delivers as true such a certificate or writing, containing any statement which he knows to be false, in a case where the punishment thereof is not elsewhere expressly provided by law, shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 753.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 195 (Mar. 4, 1909, ch. 321, Sec. 106, 35 Stat. 1107). Minor changes were made in phraseology. -CROSS- CROSS REFERENCES False certificate by revenue officer or agent, see section 7214 of Title 26, Internal Revenue Code. ------DocID 24161 Document 403 of 1438------ -CITE- 18 USC Sec. 1019 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1019. Certificates by consular officers -STATUTE- Whoever, being a consul, or vice consul, or other person employed in the consular service of the United States, knowingly certifies falsely to any invoice, or other paper, to which his certificate is authorized or required by law, shall be fined not more than $10,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 753.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 127 (Mar. 4, 1909, ch. 321, Sec. 70, 35 Stat. 1101). Mandatory punishment provision was rephrased in the alternative. Changes were made in phraseology. -CROSS- CROSS REFERENCES Certification of invoices and related matters, see sections 1481, 1482 of Title 19, Customs Duties, and section 4200 et seq. of Title 22, Foreign Relations and Intercourse. ------DocID 24162 Document 404 of 1438------ -CITE- 18 USC Sec. 1020 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1020. Highway projects -STATUTE- Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the costs thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction of any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false representation, false report, or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoever knowingly makes any false statement or false representation as to a material fact in any statement, certificate, or report submitted pursuant to the provisions of the Federal-Aid Road Act approved July 11, 1916 (39 Stat. 355), as amended and supplemented, Shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 753; Oct. 31, 1951, ch. 655, Sec. 27, 65 Stat. 721; May 6, 1954, ch. 181, Sec. 18, 68 Stat. 76; Oct. 15, 1966, Pub. L. 89-670, Sec. 10(f), 80 Stat. 948.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 46 of title 23, U.S.C., 1940 ed., Highways (June 19, 1922, ch. 227, Sec. 4, par. 6, 42 Stat. 661). Words 'highway, or related,' were inserted before 'project' in two places for the purpose of description, in view of transfer from title 23. Words 'upon conviction thereof' were omitted as surplusage, because punishment cannot be imposed until a conviction is secured. Changes in phraseology were made. -REFTEXT- REFERENCES IN TEXT The Federal-Aid Road Act approved July 11, 1916 (39 Stat. 355), referred to in text, is act July 11, 1916, ch. 241, 39 Stat. 355, as amended, which was repealed by Pub. L. 85-767, Sec. 2(1), Aug. 27, 1958, 72 Stat. 919. See section 101 et seq. of Title 23, Highways. -MISC2- AMENDMENTS 1966 - Pub. L. 89-670 substituted 'Secretary of Transportation' for 'Secretary of Commerce' wherever appearing. 1954 - Act May 6, 1954, substituted in second par. 'with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction' for 'for work or materials for the construction'; and in third par. substituted 'as to a material fact in any statement, certificate, or report submitted pursuant to the provisions of the Federal-Aid Road Act approved July 11, 1916 (39 Stat. 355), as amended and supplemented' for 'in any report required under Title 23, with intent to defraud the United States'. 1951 - Act Oct. 31, 1951, substituted 'Secretary of Commerce' for 'Secretary of Agriculture' in first and second pars. EFFECTIVE DATE OF 1966 AMENDMENT Amendment by Pub. L. 89-670 effective Apr. 1, 1967, as prescribed by President and published in Federal Register, see section 16(a), formerly Sec. 15(a), of Pub. L. 89-670 and Ex. Ord. No. 11340, Mar. 30, 1967, 32 F.R. 5453, set out as notes under section 1651 of Title 49, Appendix, Transportation. -TRANS- TRANSFER OF FUNCTIONS The Bureau of Public Roads, which is the principal road building agency of the Federal Government, and which was formerly under the Department of Agriculture, was redesignated the Public Roads Administration and, with its functions, transferred to the Federal Works Agency, and the functions of the Secretary of Agriculture, with respect thereto, were transferred to the Federal Works Administrator, by Reorg. Plan No. 1 of 1939, Sec. 301, 302, eff. July 1, 1939, 4 F.R. 2727, 53 Stat. 1426, set out in the Appendix to Title 5, Government Organization and Employees. Act June 30, 1949, ch. 288, title I, Sec. 103, 63 Stat. 380, set out as section 753 of Title 40, Public Buildings, Property, and Works, abolished the Federal Works Agency, transferred its functions, the functions of all agencies thereof, the functions of the Federal Works Administrator, and the functions of the Commissioner of Public Roads, to the Administrator of General Services, and transferred the Public Roads Administration, which it redesignated the Bureau of Public Roads, to the General Services Administration. Reorg. Plan No. 7 of 1949, eff. Aug. 19, 1949, 14 F.R. 5228, 63 Stat. 1070, set out in the Appendix to Title 5, Government Organization and Employees, transferred such bureau and its functions and personnel to the Department of Commerce, and transferred the functions of the Administrator of General Services, with respect thereto, to the Secretary of Commerce, to be performed by him or, subject to his direction and control, by such officers, employees and agencies of the Department of Commerce as he should designate. Reorg. Plan No. 5 of 1950, eff. May 24, 1950, 15 F.R. 3174, 64 Stat. 1263, set out in the Appendix to Title 5, Government Organization and Employees, transferred, with certain exceptions not applicable to this section, all functions of all other officers of the Department of Commerce, and all functions of all agencies and employees of such Department, to the Secretary of Commerce, with power vested in him to authorize their performance, or the performance of any of his functions, by any of such other officers, or by any agency or employee of the Department of Commerce. ------DocID 24163 Document 405 of 1438------ -CITE- 18 USC Sec. 1021 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1021. Title records -STATUTE- Whoever, being an officer or other person authorized by any law of the United States to record a conveyance of real property or any other instrument which by such law may be recorded, knowingly certifies falsely that such conveyance or instrument has or has not been recorded, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 754.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 194 (Mar. 4, 1909, ch. 321, Sec. 105, 35 Stat. 1107). Words 'five years' were substituted for 'seven years' as more in conformity with comparable sections of this chapter. Minor change was made in phraseology. ------DocID 24164 Document 406 of 1438------ -CITE- 18 USC Sec. 1022 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1022. Delivery of certificate, voucher, receipt for military or naval property -STATUTE- Whoever, being authorized to make or deliver any certificate, voucher, receipt, or other paper certifying the receipt of arms, ammunition, provisions, clothing, or other property used or to be used in the military or naval service, makes or delivers the same to any other person without a full knowledge of the truth of the facts stated therein and with intent to defraud the United States, or any agency thereof, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 754.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 84 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197). Word 'agency' was substituted for 'department' so as to eliminate any possible ambiguity as to scope of section. (See definitions of 'department' and 'agency' in section 6 of this title.) Words 'or any corporation in which the United States of America is a stockholder' were omitted as unnecessary in view of definition of 'agency' in section 6 of this title. Minor changes were made in phraseology. ------DocID 24165 Document 407 of 1438------ -CITE- 18 USC Sec. 1023 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1023. Insufficient delivery of money or property for military or naval service -STATUTE- Whoever, having charge, possession, custody, or control of any money or other public property used or to be used in the military or naval service, with intent to defraud the United States, or any agency thereof, or any corporation in which the United States has a proprietary interest, or intending to conceal such money or other property, delivers to any person having authority to receive the same any amount of such money or other property less than that for which he received a certificate or took a receipt, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 754.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 85 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197). Word 'agency' was substituted for 'department' so as to eliminate any possible ambiguity as to scope of section. (See definitions of 'department' and 'agency' in section 6 of this title.) Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in phraseology. ------DocID 24166 Document 408 of 1438------ -CITE- 18 USC Sec. 1024 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1024. Purchase or receipt of military, naval, or veteran's facilities property -STATUTE- Whoever purchases, or receives in pledge from any person any arms, equipment, ammunition, clothing, military stores, or other property furnished by the United States under a clothing allowance or otherwise, to any member of the Armed Forces of the United States or of the National Guard or Naval Militia, or to any person accompanying, serving, or retained with the land or naval forces and subject to military or naval law, or to any former member of such Armed Forces at or by any hospital, home, or facility maintained by the United States, having knowledge or reason to believe that the property has been taken from the possession of or furnished by the United States under such allowance, or otherwise, shall be fined not more than $500 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 754.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 86 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197; Apr. 30, 1940, ch. 164, 54 Stat. 171). Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24167 Document 409 of 1438------ -CITE- 18 USC Sec. 1025 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1025. False pretenses on high seas and other waters -STATUTE- Whoever, upon any waters or vessel within the special maritime and territorial jurisdiction of the United States, by any fraud, or false pretense, obtains from any person anything of value, or procures the execution and delivery of any instrument of writing or conveyance of real or personal property, or the signature of any person, as maker, endorser, or guarantor, to or upon any bond, bill, receipt, promissory note, draft, or check, or any other evidence of indebtedness, or fraudulently sells, barters, or disposes of any bond, bill, receipt, promissory note, draft, or check, or other evidence of indebtedness, for value, knowing the same to be worthless, or knowing the signature of the maker, endorser, or guarantor thereof to have been obtained by any false pretenses, shall be fined not more than $5,000 or imprisoned not more than five years, or both; but if the amount, value or the face value of anything so obtained does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 755; May 24, 1949, ch. 139, Sec. 22, 63 Stat. 92.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 467a (Mar. 4, 1909, ch. 321, Sec. 288A, as added Aug. 5, 1939, ch. 434, 53 Stat. 1205). Words 'upon any waters or vessel within the special maritime and territorial jurisdiction of the United States' were substituted for 'upon the high seas or on any waters within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State, or within the admiralty and maritime jurisdiction of the United States and out of the jurisdiction of any particular State on board any vessel belonging in whole or in part to the United States or any citizen thereof or to any corporation created by or under the laws of the United States, or of any State, Territory, or District thereof', near beginning of section. The deleted words are not necessary in view of definitive section 7 of this title. Words 'whatsoever with intent to defraud' were omitted as being included in the preceding term 'false pretenses'. The punishment provision was revised to include a misdemeanor punishment (not more than $1,000 or one year, or both) where the offense involves $100 or less. (See reviser's notes under sections 641 and 645 of this title.) 1949 ACT This section (section 22) corrects a typographical error in section 1025 of title 18, U.S.C. AMENDMENTS 1949 - Act May 24, 1949, corrected spelling of 'pretense'. ------DocID 24168 Document 410 of 1438------ -CITE- 18 USC Sec. 1026 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1026. Compromise, adjustment, or cancellation of farm indebtedness -STATUTE- Whoever knowingly makes any false statement for the purpose of influencing in any way the action of the Secretary of Agriculture, or of any person acting under his authority, in connection with any compromise, adjustment, or cancellation of any farm indebtedness as provided by sections 1150, 1150a, and 1150b of Title 12, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 755.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1150c(a) of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 20, 1944, ch. 623, Sec. 4(a), 58 Stat. 837). Words 'of Agriculture' were inserted after 'Secretary' for reasons of identification. Words 'upon conviction thereof' were omitted as surplusage, since punishment can not be imposed until after conviction. Other changes were made in phraseology without change of substance. ------DocID 24169 Document 411 of 1438------ -CITE- 18 USC Sec. 1027 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1027. False statements and concealment of facts in relation to documents required by the Employee Retirement Income Security Act of 1974 -STATUTE- Whoever, in any document required by title I of the Employee Retirement Income Security Act of 1974 (as amended from time to time) to be published, or kept as part of the records of any employee welfare benefit plan or employee pension benefit plan, or certified to the administrator of any such plan, makes any false statement or representation of fact, knowing it to be false, or knowingly conceals, covers up, or fails to disclose any fact the disclosure of which is required by such title or is necessary to verify, explain, clarify or check for accuracy and completeness any report required by such title to be published or any information required by such title to be certified, shall be fined not more than $10,000, or imprisoned not more than five years, or both. -SOURCE- (Added Pub. L. 87-420, Sec. 17(c), Mar. 20, 1962, 76 Stat. 42, and amended Pub. L. 93-406, title I, Sec. 111(a)(2)(B)(i), (ii), Sept. 2, 1974, 88 Stat. 851.) -REFTEXT- REFERENCES IN TEXT The Employee Retirement Income Security Act of 1974, referred to in text, is Pub. L. 93-406, Sept. 2, 1974, 88 Stat. 832, as amended. Title I of the Employee Retirement Income Security Act of 1974 is classified generally to subchapter I (Sec. 1001 et seq.) of chapter 18 of Title 29, Labor. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of Title 29 and Tables. -MISC2- AMENDMENTS 1974 - Pub. L. 93-406 substituted 'Employee Retirement Income Security Act of 1974' for 'Welfare and Pension Plans Disclosure Act' in section catchline, and 'title I of the Employee Retirement Income Security Act of 1974' and 'title' for 'the Welfare and Pension Plans Disclosure Act' and 'Act', respectively, in text. EFFECTIVE DATE OF 1974 AMENDMENT Amendment by Pub. L. 93-406 effective Jan. 1, 1975, except as provided in section 1031(b)(2) of Title 29, Labor, see section 1031(b)(1) of Title 29. EFFECTIVE DATE Section effective 90 days after Mar. 20, 1962, see section 19 of Pub. L. 87-420, set out as a note under section 664 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 29 sections 1031, 1111. ------DocID 24170 Document 412 of 1438------ -CITE- 18 USC Sec. 1028 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1028. Fraud and related activity in connection with identification documents -STATUTE- (a) Whoever, in a circumstance described in subsection (c) of this section - (1) knowingly and without lawful authority produces an identification document or a false identification document; (2) knowingly transfers an identification document or a false identification document knowing that such document was stolen or produced without lawful authority; (3) knowingly possesses with intent to use unlawfully or transfer unlawfully five or more identification documents (other than those issued lawfully for the use of the possessor) or false identification documents; (4) knowingly possesses an identification document (other than one issued lawfully for the use of the possessor) or a false identification document, with the intent such document be used to defraud the United States; or (5) knowingly produces, transfers, or possesses a document-making implement with the intent such document-making implement will be used in the production of a false identification document or another document-making implement which will be so used; (6) knowingly possesses an identification document that is or appears to be an identification document of the United States which is stolen or produced without lawful authority knowing that such document was stolen or produced without such authority; or attempts to do so, shall be punished as provided in subsection (b) of this section. (b) The punishment for an offense under subsection (a) of this section is - (1) a fine of not more than $25,000 or imprisonment for not more than five years, or both, if the offense is - (A) the production or transfer of an identification document or false identification document that is or appears to be - (i) an identification document issued by or under the authority of the United States; or (ii) a birth certificate, or a driver's license or personal identification card; (B) the production or transfer of more than five identification documents or false identification documents; or (C) an offense under paragraph (5) of such subsection; (2) a fine of not more than $15,000 or imprisonment for not more than three years, or both, if the offense is - (A) any other production or transfer of an identification document or false identification document; or (B) an offense under paragraph (3) of such subsection; and (3) a fine of not more than $5,000 or imprisonment for not more than one year, or both, in any other case. (c) The circumstance referred to in subsection (a) of this section is that - (1) the identification document or false identification document is or appears to be issued by or under the authority of the United States or the document-making implement is designed or suited for making such an identification document or false identification document; (2) the offense is an offense under subsection (a)(4) of this section; or (3) the production, transfer, or possession prohibited by this section is in or affects interstate or foreign commerce, or the identification document, false identification document, or document-making implement is transported in the mail in the course of the production, transfer, or possession prohibited by this section. (d) As used in this section - (1) the term 'identification document' means a document made or issued by or under the authority of the United States Government, a State, political subdivision of a State, a foreign government, political subdivision of a foreign government, an international governmental or an international quasi-governmental organization which, when completed with information concerning a particular individual, is of a type intended or commonly accepted for the purpose of identification of individuals; (2) the term 'produce' includes alter, authenticate, or assemble; (3) the term 'document-making implement' means any implement or impression specially designed or primarily used for making an identification document, a false identification document, or another document-making implement; (4) the term 'personal identification card' means an identification document issued by a State or local government solely for the purpose of identification; and (5) the term 'State' includes any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any other commonwealth, possession or territory of the United States. (e) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a political subdivision of a State, or of an intelligence agency of the United States, or any activity authorized under chapter 224 of this title. -SOURCE- (Added Pub. L. 97-398, Sec. 2, Dec. 31, 1982, 96 Stat. 2009, and amended Pub. L. 99-646, Sec. 44(a), Nov. 10, 1986, 100 Stat. 3601; Pub. L. 100-690, title VII, Sec. 7023, Nov. 18, 1988, 102 Stat. 4397; Pub. L. 101-647, title XII, Sec. 1205(e), Nov. 29, 1990, 104 Stat. 4831.) -MISC1- AMENDMENTS 1990 - Subsec. (d)(5). Pub. L. 101-647 inserted 'commonwealth,' before 'possession or territory of the United States'. 1988 - Subsec. (a)(6). Pub. L. 100-690 inserted 'knowingly' before 'possesses', 'lawful' before first reference to 'authority', and 'such' before second reference to 'authority'. 1986 - Subsec. (e). Pub. L. 99-646 substituted 'chapter 224 of this title' for 'title V of the Organized Crime Control Act of 1970 (18 U.S.C. note prec. 3481)'. FRAUD AND RELATED ACTIVITY IN CONNECTION WITH IDENTIFICATION DOCUMENTS Pub. L. 98-473, title II, Sec. 609L, Oct. 12, 1984, 98 Stat. 2103, provided that: '(a) For purposes of section 1028 of title 18, United States Code, to the maximum extent feasible, personal descriptors or identifiers utilized in identification documents, as defined in such section, shall utilize common descriptive terms and formats designed to - '(1) reduce the redundancy and duplication of identification systems by providing information which can be utilized by the maximum number of authorities, and '(2) facilitate positive identification of bona fide holders of identification documents. '(b) The President shall, no later than 3 years after the date of enactment of this Act (Oct. 12, 1984), and after consultation with Federal, State, local, and international issuing authorities, and concerned groups make recommnedations (recommendations) to the Congress for the enactment of comprehensive legislation on Federal identification systems. Such legislation shall - '(1) give due consideration to protecting the privacy of persons who are the subject of any identification system, '(2) recommend appropriate civil and criminal sanctions for the misuse or unauthorized disclosure of personal identification information, and '(3) make recommendations providing for the exchange of personal identification information as authorized by Federal or State law or Executive order of the President or the chief executive officer of any of the several States.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2257 of this title; title 8 section 1324a; title 22 section 2709. ------DocID 24171 Document 413 of 1438------ -CITE- 18 USC Sec. 1029 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1029. Fraud and related activity in connection with access devices -STATUTE- (a) Whoever - (1) knowingly and with intent to defraud produces, uses, or traffics in one or more counterfeit access devices; (2) knowingly and with intent to defraud traffics in or uses one or more unauthorized access devices during any one-year period, and by such conduct obtains anything of value aggregating $1,000 or more during that period; (3) knowingly and with intent to defraud possesses fifteen or more devices which are counterfeit or unauthorized access devices; or (4) knowingly, and with intent to defraud, produces, traffics in, has control or custody of, or possesses device-making equipment; shall, if the offense affects interstate or foreign commerce, be punished as provided in subsection (c) of this section. (b)(1) Whoever attempts to commit an offense under subsection (a) of this section shall be punished as provided in subsection (c) of this section. (2) Whoever is a party to a conspiracy of two or more persons to commit an offense under subsection (a) of this section, if any of the parties engages in any conduct in furtherance of such offense, shall be fined an amount not greater than the amount provided as the maximum fine for such offense under subsection (c) of this section or imprisoned not longer than one-half the period provided as the maximum imprisonment for such offense under subsection (c) of this section, or both. (c) The punishment for an offense under subsection (a) or (b)(1) of this section is - (1) a fine of not more than the greater of $10,000 or twice the value obtained by the offense or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(2) or (a)(3) of this section which does not occur after a conviction for another offense under either such subsection, or an attempt to commit an offense punishable under this paragraph; (2) a fine of not more than the greater of $50,000 or twice the value obtained by the offense or imprisonment for not more than fifteen years, or both, in the case of an offense under subsection (a)(1) or (a)(4) of this section which does not occur after a conviction for another offense under either such subsection, or an attempt to commit an offense punishable under this paragraph; and (3) a fine of not more than the greater of $100,000 or twice the value obtained by the offense or imprisonment for not more than twenty years, or both, in the case of an offense under subsection (a) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this paragraph. (d) The United States Secret Service shall, in addition to any other agency having such authority, have the authority to investigate offenses under this section. Such authority of the United States Secret Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury and the Attorney General. (e) As used in this section - (1) the term 'access device' means any card, plate, code, account number, or other means of account access that can be used, alone or in conjunction with another access device, to obtain money, goods, services, or any other thing of value, or that can be used to initiate a transfer of funds (other than a transfer originated solely by paper instrument); (2) the term 'counterfeit access device' means any access device that is counterfeit, fictitious, altered, or forged, or an identifiable component of an access device or a counterfeit access device; (3) the term 'unauthorized access device' means any access device that is lost, stolen, expired, revoked, canceled, or obtained with intent to defraud; (4) the term 'produce' includes design, alter, authenticate, duplicate, or assemble; (5) the term 'traffic' means transfer, or otherwise dispose of, to another, or obtain control of with intent to transfer or dispose of; and (6) the term 'device-making equipment' means any equipment, mechanism, or impression designed or primarily used for making an access device or a counterfeit access device. (f) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a political subdivision of a State, or of an intelligence agency of the United States, or any activity authorized under chapter 224 of this title. For purposes of this subsection, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1602(a), Oct. 12, 1984, 98 Stat. 2183, and amended Pub. L. 99-646, Sec. 44(b), Nov. 10, 1986, 100 Stat. 3601; Pub. L. 101-647, title XII, Sec. 1205(f), Nov. 29, 1990, 104 Stat. 4831.) -MISC1- AMENDMENTS 1990 - Subsec. (f). Pub. L. 101-647 inserted at end 'For purposes of this subsection, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States.' 1986 - Subsec. (f). Pub. L. 99-646 which directed that subsec. (f) be amended by substituting 'chapter 224 of this title' for 'title V of the Organized Crime Control Act of 1970 (18 U.S.C. note prec. 3481)' was executed by making the substitution for 'title V of the Organized Crime Control Act of 1970) 18 U.S.C. note prec. 3481)' to reflect the probable intent of Congress. REPORT TO CONGRESS Section 1603 of Pub. L. 98-473 required Attorney General to report to Congress annually, during first three years following Oct. 12, 1984, concerning prosecutions under this section. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1030, 1961, 2516 of this title. ------DocID 24172 Document 414 of 1438------ -CITE- 18 USC Sec. 1030 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1030. Fraud and related activity in connection with computers -STATUTE- (a) Whoever - (1) knowingly accesses a computer without authorization or exceeds authorized access, and by means of such conduct obtains information that has been determined by the United States Government pursuant to an Executive order or statute to require protection against unauthorized disclosure for reasons of national defense or foreign relations, or any restricted data, as defined in paragraph y. of section 11 of the Atomic Energy Act of 1954, with the intent or reason to believe that such information so obtained is to be used to the injury of the United States, or to the advantage of any foreign nation; (2) intentionally accesses a computer without authorization or exceeds authorized access, and thereby obtains information contained in a financial record of a financial institution, or of a card issuer as defined in section 1602(n) of title 15, or contained in a file of a consumer reporting agency on a consumer, as such terms are defined in the Fair Credit Reporting Act (15 U.S.C. 1681 et seq.); (3) intentionally, without authorization to access any computer of a department or agency of the United States, accesses such a computer of that department or agency that is exclusively for the use of the Government of the United States or, in the case of a computer not exclusively for such use, is used by or for the Government of the United States and such conduct affects the use of the Government's operation of such computer; (4) knowingly and with intent to defraud, accesses a Federal interest computer without authorization, or exceeds authorized access, and by means of such conduct furthers the intended fraud and obtains anything of value, unless the object of the fraud and the thing obtained consists only of the use of the computer; (5) intentionally accesses a Federal interest computer without authorization, and by means of one or more instances of such conduct alters, damages, or destroys information in any such Federal interest computer, or prevents authorized use of any such computer or information, and thereby - (A) causes loss to one or more others of a value aggregating $1,000 or more during any one year period; or (B) modifies or impairs, or potentially modifies or impairs, the medical examination, medical diagnosis, medical treatment, or medical care of one or more individuals; or (6) knowingly and with intent to defraud traffics (as defined in section 1029) in any password or similar information through which a computer may be accessed without authorization, if - (A) such trafficking affects interstate or foreign commerce; or (B) such computer is used by or for the Government of the United States; shall be punished as provided in subsection (c) of this section. (b) Whoever attempts to commit an offense under subsection (a) of this section shall be punished as provided in subsection (c) of this section. (c) The punishment for an offense under subsection (a) or (b) of this section is - (1)(A) a fine under this title or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(1) of this section which does not occur after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and (B) a fine under this title or imprisonment for not more than twenty years, or both, in the case of an offense under subsection (a)(1) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and (2)(A) a fine under this title or imprisonment for not more than one year, or both, in the case of an offense under subsection (a)(2), (a)(3) or (a)(6) of this section which does not occur after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and (B) a fine under this title or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(2), (a)(3) or (a)(6) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and (3)(A) a fine under this title or imprisonment for not more than five years, or both, in the case of an offense under subsection (a)(4) or (a)(5) of this section which does not occur after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph; and (B) a fine under this title or imprisonment for not more than ten years, or both, in the case of an offense under subsection (a)(4) or (a)(5) of this section which occurs after a conviction for another offense under such subsection, or an attempt to commit an offense punishable under this subparagraph. (d) The United States Secret Service shall, in addition to any other agency having such authority, have the authority to investigate offenses under this section. Such authority of the United States Secret Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury and the Attorney General. (e) As used in this section - (1) the term 'computer' means an electronic, magnetic, optical, electrochemical, or other high speed data processing device performing logical, arithmetic, or storage functions, and includes any data storage facility or communications facility directly related to or operating in conjunction with such device, but such term does not include an automated typewriter or typesetter, a portable hand held calculator, or other similar device; (2) the term 'Federal interest computer' means a computer - (A) exclusively for the use of a financial institution or the United States Government, or, in the case of a computer not exclusively for such use, used by or for a financial institution or the United States Government and the conduct constituting the offense affects the use of the financial institution's operation or the Government's operation of such computer; or (B) which is one of two or more computers used in committing the offense, not all of which are located in the same State; (3) the term 'State' includes the District of Columbia, the Commonwealth of Puerto Rico, and any other commonwealth, possession or territory of the United States; (4) the term 'financial institution' means - (A) an institution, with deposits insured by the Federal Deposit Insurance Corporation; (B) the Federal Reserve or a member of the Federal Reserve including any Federal Reserve Bank; (C) a credit union with accounts insured by the National Credit Union Administration; (D) a member of the Federal home loan bank system and any home loan bank; (E) any institution of the Farm Credit System under the Farm Credit Act of 1971; (F) a broker-dealer registered with the Securities and Exchange Commission pursuant to section 15 of the Securities Exchange Act of 1934; (G) the Securities Investor Protection Corporation; (H) a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978); and (I) an organization operating under section 25 or section 25(a) of the Federal Reserve Act. (FOOTNOTE 1) (FOOTNOTE 1) So in original. The period probably should be a semicolon. (5) the term 'financial record' means information derived from any record held by a financial institution pertaining to a customer's relationship with the financial institution; (6) the term 'exceeds authorized access' means to access a computer with authorization and to use such access to obtain or alter information in the computer that the accesser is not entitled so to obtain or alter; and (7) the term 'department of the United States' means the legislative or judicial branch of the Government or one of the executive departments enumerated in section 101 of title 5. (f) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a political subdivision of a State, or of an intelligence agency of the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 2102(a), Oct. 12, 1984, 98 Stat. 2190, and amended Pub. L. 99-474, Sec. 2, Oct. 16, 1986, 100 Stat. 1213; Pub. L. 100-690, title VII, Sec. 7065, Nov. 18, 1988, 102 Stat. 4404; Pub. L. 101-73, title IX, Sec. 962(a)(5), Aug. 9, 1989, 103 Stat. 502; Pub. L. 101-647, title XII, Sec. 1205(e), title XXV, Sec. 2597(j), title XXXV, Sec. 3533, Nov. 29, 1990, 104 Stat. 4831, 4910, 4925.) -REFTEXT- REFERENCES IN TEXT Section 11 of the Atomic Energy Act of 1954, referred to in subsec. (a)(1), is classified to section 2014 of Title 42, The Public Health and Welfare. The Fair Credit Reporting Act, referred to in subsec. (a)(2), is title VI of Pub. L. 90-321, as added by Pub. L. 91-508, title VI, Sec. 601, Oct. 26, 1970, 84 Stat. 1127, as amended, which is classified generally to subchapter III (Sec. 1681 et seq.) of chapter 41 of Title 15, Commerce and Trade. For complete classification of this Act to the Code, see Short Title of 1970 Amendment note set out under section 1601 of Title 15 and Tables. The Farm Credit Act of 1971, referred to in subsec. (e)(4)(E), is Pub. L. 92-181, Dec. 10, 1971, 85 Stat. 583, as amended, which is classified generally to chapter 23 (Sec. 2001 et seq.) of Title 12, Banks and Banking. For complete classification of this Act to the Code, see Short Title note set out under section 2001 of Title 12 and Tables. Section 15 of the Securities Exchange Act of 1934, referred to in subsec. (e)(4)(F), is classified to section 78o of Title 15, Commerce and Trade. Section 1(b) of the International Banking Act of 1978, referred to in subsec. (e)(4)(H), is classified to section 3101 of Title 12, Banks and Banking. Section 25 of the Federal Reserve Act, referred to in subsec. (e)(4)(I), is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. -MISC2- AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-647, Sec. 3533, substituted 'paragraph y' for 'paragraph r'. Subsec. (e)(3). Pub. L. 101-647, Sec. 1205(e), inserted 'commonwealth,' before 'possession or territory of the United States'. Subsec. (e)(4)(G). Pub. L. 101-647, Sec. 2597(j)(2), which directed substitution of a semicolon for a period at end of subpar. (G), could not be executed because it ended with a semicolon. Subsec. (e)(4)(H), (I). Pub. L. 101-647, Sec. 2597(j), added subpars. (H) and (I). 1989 - Subsec. (e)(4)(A). Pub. L. 101-73, Sec. 962(a)(5)(A), substituted 'an institution,' for 'a bank'. Subsec. (e)(4)(C) to (H). Pub. L. 101-73, Sec. 962(a)(5)(B), (C), redesignated subpars. (D) to (H) as (C) to (G), respectively, and struck out former subpar. (C) which read as follows: 'an institution with accounts insured by the Federal Savings and Loan Insurance Corporation;'. 1988 - Subsec. (a)(2). Pub. L. 100-690 inserted a comma after 'financial institution' and struck out the comma that followed a comma after 'title 15'. 1986 - Subsec. (a). Pub. L. 99-474, Sec. 2(b)(2), struck out last sentence which read as follows: 'It is not an offense under paragraph (2) or (3) of this subsection in the case of a person having accessed a computer with authorization and using the opportunity such access provides for purposes to which such access does not extend, if the using of such opportunity consists only of the use of the computer.' Subsec. (a)(1). Pub. L. 99-474, Sec. 2(c), substituted 'or exceeds authorized access' for ', or having accessed a computer with authorization, uses the opportunity such access provides for purposes to which such authorization does not extend'. Subsec. (a)(2). Pub. L. 99-474, Sec. 2(a), (c), substituted 'intentionally' for 'knowingly', substituted 'or exceeds authorized access' for ', or having accessed a computer with authorization, uses the opportunity such access provides for purposes to which such authorization does not extend', struck out 'as such terms are defined in the Right to Financial Privacy Act of 1978 (12 U.S.C. 3401 et seq.),' after 'financial institution,', inserted 'or of a card issuer as defined in section 1602(n) of title 15,' and struck out 'or' appearing at end. Subsec. (a)(3). Pub. L. 99-474, Sec. 2(b)(1), amended par. (3) generally. Prior to amendment, par. (3) read as follows: 'knowingly accesses a computer without authorization, or having accessed a computer with authorization, uses the opportunity such access provides for purposes to which such authorization does not extend, and by means of such conduct knowingly uses, modifies, destroys, or discloses information in, or prevents authorized use of, such computer, if such computer is operated for or on behalf of the Government of the United States and such conduct affects such operation;'. Subsec. (a)(4) to (6). Pub. L. 99-474, Sec. 2(d), added pars. (4) to (6). Subsec. (b). Pub. L. 99-474, Sec. 2(e), struck out par. (1) designation and par. (2) which provided a penalty for persons conspiring to commit an offense under subsec. (a). Subsec. (c). Pub. L. 99-474, Sec. 2(f)(9), substituted '(b)' for '(b)(1)' in introductory text. Subsec. (c)(1)(A). Pub. L. 99-474, Sec. 2(f)(1), substituted 'under this title' for 'of not more than the greater of $10,000 or twice the value obtained by the offense'. Subsec. (c)(1)(B). Pub. L. 99-474, Sec. 2(f)(2), substituted 'under this title' for 'of not more than the greater of $100,000 or twice the value obtained by the offense'. Subsec. (c)(2)(A). Pub. L. 99-474, Sec. 2(f)(3), (4), substituted 'under this title' for 'of not more than the greater of $5,000 or twice the value obtained or loss created by the offense' and inserted reference to subsec. (a)(6). Subsec. (c)(2)(B). Pub. L. 99-474, Sec. 2(f)(3), (5)-(7), substituted 'under this title' for 'of not more than the greater of $10,000 or twice the value obtained or loss created by the offense', 'not more than' for 'not than', inserted reference to subsec. (a)(6), and substituted '; and' for the period at end of subpar. (B). Subsec. (c)(3). Pub. L. 99-474, Sec. 2(f)(8), added par. (3). Subsec. (e). Pub. L. 99-474, Sec. 2(g), substituted a dash for the comma after 'As used in this section', realigned remaining portion of subsection, inserted '(1)' before 'the term', substituted a semicolon for the period at the end, and added pars. (2) to (7). Subsec. (f). Pub. L. 99-474, Sec. 2(h), added subsec. (f). REPORTS TO CONGRESS Section 2103 of Pub. L. 98-473 directed Attorney General to report to Congress annually, during first three years following Oct. 12, 1984, concerning prosecutions under this section. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2256 of this title. ------DocID 24173 Document 415 of 1438------ -CITE- 18 USC Sec. 1031 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1031. Major fraud against the United States -STATUTE- (a) Whoever knowingly executes, or attempts to execute, any scheme or artifice with the intent - (1) to defraud the United States; or (2) to obtain money or property by means of false or fraudulent pretenses, representations, or promises, in any procurement of property or services as a prime contractor with the United States or as a subcontractor or supplier on a contract in which there is a prime contract with the United States, if the value of the contract, subcontract, or any constituent part thereof, for such property or services is $1,000,000 or more shall, subject to the applicability of subsection (c) of this section, be fined not more than $1,000,000, or imprisoned not more than 10 years, or both. (b) The fine imposed for an offense under this section may exceed the maximum otherwise provided by law, if such fine does not exceed $5,000,000 and - (1) the gross loss to the Government or the gross gain to a defendant is $500,000 or greater; or (2) the offense involves a conscious or reckless risk of serious personal injury. (c) The maximum fine imposed upon a defendant for a prosecution including a prosecution with multiple counts under this section shall not exceed $10,000,000. (d) Nothing in this section shall preclude a court from imposing any other sentences available under this title, including without limitation a fine up to twice the amount of the gross loss or gross gain involved in the offense pursuant to 18 U.S.C. section 3571(d). (e) In determining the amount of the fine, the court shall consider the factors set forth in 18 U.S.C. sections 3553 and 3572, and the factors set forth in the guidelines and policy statements of the United States Sentencing Commission, including - (1) the need to reflect the seriousness of the offense, including the harm or loss to the victim and the gain to the defendant; (2) whether the defendant previously has been fined for a similar offense; and (3) any other pertinent equitable considerations. (f) A prosecution of an offense under this section may be commenced any time not later than 7 years after the offense is committed, plus any additional time otherwise allowed by law. (g)(1) (FOOTNOTE 1) In special circumstances and in his or her sole discretion, the Attorney General is authorized to make payments from funds appropriated to the Department of Justice to persons who furnish information relating to a possible prosecution under this section. The amount of such payment shall not exceed $250,000. Upon application by the Attorney General, the court may order that the Department shall be reimbursed for a payment from a criminal fine imposed under this section. (FOOTNOTE 1) So in original. Two subsecs. (g) have been enacted. (2) An individual is not eligible for such a payment if - (A) that individual is an officer or employee of a government (FOOTNOTE 2) agency who furnishes information or renders service in the performance of official duties; (FOOTNOTE 2) So in original. Probably should be capitalized. (B) that individual failed to furnish the information to the individual's employer prior to furnishing it to law enforcement authorities, unless the court determines the individual has justifiable reasons for that failure; (C) the furnished information is based upon public disclosure of allegations or transactions in a criminal, civil, or administrative hearing, in a congressional, administrative, or GAO report, hearing, audit or investigation, or from the news media unless the person is the original source of the information. For the purposes of this subsection, 'original source' means an individual who has direct and independent knowledge of the information on which the allegations are based and has voluntarily provided the information to the Government; or (D) that individual participated in the violation of this section with respect to which such payment would be made. (3) The failure of the Attorney General to authorize a payment shall not be subject to judicial review. (g) (FOOTNOTE 1) Any individual who - (1) is discharged, demoted, suspended, threatened, harassed, or in any other manner discriminated against in the terms and conditions of employment by an employer because of lawful acts done by the employee on behalf of the employee or others in furtherance of a prosecution under this section (including investigation for, initiation of, testimony for, or assistance in such prosecution), and (2) was not a participant in the unlawful activity that is the subject of said prosecution, may, in a civil action, obtain all relief necessary to make such individual whole. Such relief shall include reinstatement with the same seniority status such individual would have had but for the discrimination, 2 times the amount of back pay, interest on the back pay, and compensation for any special damages sustained as a result of the discrimination, including litigation costs and reasonable attorney's fees. -SOURCE- (Added Pub. L. 100-700, Sec. 2(a), Nov. 19, 1988, 102 Stat. 4631, and amended Pub. L. 101-123, Sec. 2(a), Oct. 23, 1989, 103 Stat. 759.) -MISC1- AMENDMENTS 1989 - Subsec. (g). Pub. L. 101-123 added, after subsec. (f), subsec. (g) relating to payments by the Attorney General. EFFECTIVE DATE OF 1989 AMENDMENT Section 2(b) of Pub. L. 101-123 provided that: 'The amendment made by this section (amending this section) shall apply to contracts entered into on or after the date of the enactment of this Act (Oct. 23, 1989).' SENTENCING GUIDELINES Section 2(b) of Pub. L. 100-700 provided that: 'Pursuant to its authority under section 994(p) of title 28, United States Code and section 21 of the Sentencing Act of 1987 (section 21 of Pub. L. 100-182, set out as a note under section 994 of Title 28, Judiciary and Judicial Procedure), the United States Sentencing Commission shall promulgate guidelines, or shall amend existing guidelines, to provide for appropriate penalty enhancements, where conscious or reckless risk of serious personal injury resulting from the fraud has occurred. The Commission shall consider the appropriateness of assigning to such a defendant an offense level under Chapter Two of the sentencing guidelines that is at least two levels greater than the level that would have been assigned had conscious or reckless risk of serious personal injury not resulted from the fraud.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 981, 982 of this title. ------DocID 24174 Document 416 of 1438------ -CITE- 18 USC Sec. 1032 -EXPCITE- TITLE 18 PART I CHAPTER 47 -HEAD- Sec. 1032. Concealment of assets from conservator, receiver, or liquidating agent of financial institution -STATUTE- Whoever - (1) knowingly conceals or endeavors to conceal an asset or property from the Federal Deposit Insurance Corporation, acting as conservator or receiver or in the Corporation's corporate capacity with respect to any asset acquired or liability assumed by the Corporation under section 11, 12, or 13, (FOOTNOTE 1) of the Federal Deposit Insurance Act, the Resolution Trust Corporation, any conservator appointed by the Comptroller of the Currency or the Director of the Office of Thrift Supervision, or the National Credit Union Administration Board, acting as conservator or liquidating agent; (FOOTNOTE 1) So in original. The comma probably should not appear. (2) corruptly impedes or endeavors to impede the functions of such Corporation, Board, or conservator; or (3) corruptly places or endeavors to place an asset or property beyond the reach of such Corporation, Board, or conservator, shall be fined under this title or imprisoned not more than 5 years, or both. -SOURCE- (Added Pub. L. 101-647, title XXV, Sec. 2501(a), Nov. 29, 1990, 104 Stat. 4859.) -REFTEXT- REFERENCES IN TEXT Sections 11, 12, and 13 of the Federal Deposit Insurance Act, referred to in par. (1), are classified to sections 1821, 1822, and 1823, respectively, of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1956, 3059A of this title; title 12 sections 1786, 1787, 1821, 1828, 1829, 1833a. ------DocID 24175 Document 417 of 1438------ -CITE- 18 USC CHAPTER 49 -EXPCITE- TITLE 18 PART I CHAPTER 49 -HEAD- CHAPTER 49 - FUGITIVES FROM JUSTICE -MISC1- Sec. 1071. Concealing person from arrest. 1072. Concealing escaped prisoner. 1073. Flight to avoid prosecution or giving testimony. 1074. Flight to avoid prosecution for damaging or destroying any building or other real or personal property. AMENDMENTS 1960 - Pub. L. 86-449, title II, Sec. 202, May 6, 1960, 74 Stat. 87, added item 1074. ------DocID 24176 Document 418 of 1438------ -CITE- 18 USC Sec. 1071 -EXPCITE- TITLE 18 PART I CHAPTER 49 -HEAD- Sec. 1071. Concealing person from arrest -STATUTE- Whoever harbors or conceals any person for whose arrest a warrant or process has been issued under the provisions of any law of the United States, so as to prevent his discovery and arrest, after notice or knowledge of the fact that a warrant or process has been issued for the apprehension of such person, shall be fined not more than $1,000 or imprisoned not more than one year, or both; except that if the warrant or process issued on a charge of felony, or after conviction of such person of any offense, the punishment shall be a fine of not more than $5,000, or imprisonment for not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 755; Aug. 20, 1954, ch. 771, 68 Stat. 747.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 246 (Mar. 4, 1909, ch. 321, Sec. 141, 35 Stat. 1114). Section 246 of title 18, U.S.C., 1940 ed., was divided. Part is in this section and the remainder is incorporated in section 752 of this title. Minor changes were made in phraseology. AMENDMENTS 1954 - Act Aug. 20, 1954, increased the penalty from 6 months to 1 year where the violator harbored a person for whom process has been issued on a misdemeanor charge and inserted the penalty provision where the violation occurred after a person has been convicted of any offense or where a process has been issued for a felony. -CROSS- CROSS REFERENCES Harboring or concealing person violating espionage laws, see section 792 of this title. Misprision of felony, see section 4 of this title. ------DocID 24177 Document 419 of 1438------ -CITE- 18 USC Sec. 1072 -EXPCITE- TITLE 18 PART I CHAPTER 49 -HEAD- Sec. 1072. Concealing escaped prisoner -STATUTE- Whoever willfully harbors or conceals any prisoner after his escape from the custody of the Attorney General or from a Federal penal or correctional institution, shall be imprisoned not more than three years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 755.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753i, 910 (May 14, 1930, ch. 274, Sec. 10, 46 Stat. 327; May 27, 1930, ch. 339, Sec. 10, 46 Stat. 390). Section consolidates similar language of said sections of title 18, U.S.C., 1940 ed. Remaining provisions are in section 752 of this title. Words 'willfully harbors' were added in conformity with section 1071 of this title. Punishment for harboring violators of the Espionage laws is provided in section 792 of this title. Punishment for harboring deserters from the armed forces is provided in section 1381 of this title. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Misprision of felony, see section 4 of this title. ------DocID 24178 Document 420 of 1438------ -CITE- 18 USC Sec. 1073 -EXPCITE- TITLE 18 PART I CHAPTER 49 -HEAD- Sec. 1073. Flight to avoid prosecution or giving testimony -STATUTE- Whoever moves or travels in interstate or foreign commerce with intent either (1) to avoid prosecution, or custody or confinement after conviction, under the laws of the place from which he flees, for a crime, or an attempt to commit a crime, punishable by death or which is a felony under the laws of the place from which the fugitive flees, or which, in the case of New Jersey, is a high misdemeanor under the laws of said State, or (2) to avoid giving testimony in any criminal proceedings in such place in which the commission of an offense punishable by death or which is a felony under the laws of such place, or which in the case of New Jersey, is a high misdemeanor under the laws of said State, is charged, or (3) to avoid service of, or contempt proceedings for alleged disobedience of, lawful process requiring attendance and the giving of testimony or the production of documentary evidence before an agency of a State empowered by the law of such State to conduct investigations of alleged criminal activities, shall be fined not more than $5,000 or imprisoned not more than five years, or both. Violations of this section may be prosecuted only in the Federal judicial district in which the original crime was alleged to have been committed, or in which the person was held in custody or confinement, or in which an avoidance of service of process or a contempt referred to in clause (3) of the first paragraph of this section is alleged to have been committed, and only upon formal approval in writing by the Attorney General, the Deputy Attorney General, the Associate Attorney General, or an Assistant Attorney General of the United States, which function of approving prosecutions may not be delegated. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 755; Apr. 6, 1956, ch. 177, Sec. 1, 70 Stat. 100; Oct. 4, 1961, Pub. L. 87-368, 75 Stat. 795; Oct. 15, 1970, Pub. L. 91-452, title III, Sec. 302, 84 Stat. 932; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7020(b), 102 Stat. 4396.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408e (May 18, 1934, ch. 302, 48 Stat. 782; Aug. 2, 1946, ch. 735, 60 Stat. 789). Said section 408e was rewritten and the phrase 'offenses as they are defined either at common law or by the laws of the place from which the fugitive flees' were inserted to remove the ambiguity discussed in the opinion of the Circuit Court of Appeals, Third Circuit, in Brandenburg v. U.S., decided September 6, 1944, not yet reported (144 F2d 656), reversing the conviction of the appellant. The court held that Congress intended the enumerated offenses to mean those as defined at common law. The effect of the rewritten section is to make the statute applicable whether the offense committed is one defined at common law or by the law of the state from which the fugitive flees. The words 'offense punishable by imprisonment in a penitentiary' were substituted for 'felony' to make the statute uniformly applicable and to include crimes of the grade of felony even where, as in New Jersey, they are denominated as misdemeanor, high misdemeanor or otherwise. Words 'from any State, Territory, or possession of the United States or the District of Columbia' were omitted in view of definitive section 10 of this title. Words 'upon conviction thereof' were deleted as surplusage since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. AMENDMENTS 1988 - Pub. L. 100-690 inserted ', the Deputy Attorney General, the Associate Attorney General,' after 'the Attorney General'. 1970 - Pub. L. 91-452 inserted cl. (3) and ', or in which an avoidance of service of process or a contempt referred to in clause (3) of the first paragraph of this section is alleged to have been committed,' after 'in custody or confinement'. 1961 - Pub. L. 87-368 substituted 'a crime, or an attempt to commit a crime, punishable by death or which is a felony under the laws of the place from which the fugitive flees, or which, in the case of New Jersey, is a high misdemeanor under the laws of said State' for 'murder, kidnaping, burglary, robbery, mayhem, rape, assault with a dangerous weapon, arson punishable as a felony, or extortion accompanied by threats of violence, or attempt to commit any of the foregoing offenses as they are defined either at common law or by the laws of the place from which the fugitive flees', 'death or which is a felony under the laws of such place, or which in the case of New Jersey, is a high misdemeanor under the laws of said State,' for 'imprisonment in a penitentiary', and required that prosecutions must be upon the formal written approval of the Attorney General or an Assistant Attorney General, which function may not be delegated. 1956 - Act Apr. 6, 1956, inserted ', arson punishable as a felony' after 'assault with a dangerous weapon'. EFFECTIVE DATE OF 1956 AMENDMENT Section 2 of act Apr. 6, 1956, provided that: 'The amendment made by the first section of this Act (amending this section) shall take effect on the thirtieth day after the date of enactment of this Act (April 6, 1956).' PARENTAL KIDNAPING AND INTERSTATE OR INTERNATIONAL FLIGHT TO AVOID PROSECUTION UNDER APPLICABLE STATE FELONY STATUTES Pub. L. 96-611, Sec. 10, Dec. 28, 1980, 94 Stat. 3573, provided that: '(a) In view of the findings of the Congress and the purposes of sections 6 to 10 of this Act set forth in section 302 (probably means section 7 of Pub. L. 96-611, set out as a note under section 1738A of Title 28, Judiciary and Judicial Procedure), the Congress hereby expressly declares its intent that section 1073 of title 18, United States Code, apply to cases involving parental kidnaping and interstate or international flight to avoid prosecution under applicable State felony statutes. '(b) The Attorney General of the United States, not later than 120 days after the date of the enactment of this section (Dec. 28, 1980) (and once every 6 months during the 3-year period following such 120-day period), shall submit a report to the Congress with respect to steps taken to comply with the intent of the Congress set forth in subsection (a). Each such report shall include - '(1) data relating to the number of applications for complaints under section 1073 of title 18, United States Code in cases involving parental kidnaping; '(2) data relating to the number of complaints issued in such cases; and '(3) such other information as may assist in describing the activities of the Department of Justice in conformance with such intent.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Venue, generally, see rules 18 to 22, Appendix to this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24179 Document 421 of 1438------ -CITE- 18 USC Sec. 1074 -EXPCITE- TITLE 18 PART I CHAPTER 49 -HEAD- Sec. 1074. Flight to avoid prosecution for damaging or destroying any building or other real or personal property -STATUTE- (a) Whoever moves or travels in interstate or foreign commerce with intent either (1) to avoid prosecution, or custody, or confinement after conviction, under the laws of the place from which he flees, for willfully attempting to or damaging or destroying by fire or explosive any building, structure, facility, vehicle, dwelling house, synagogue, church, religious center or educational institution, public or private, or (2) to avoid giving testimony in any criminal proceeding relating to any such offense shall be fined not more than $5,000 or imprisoned not more than five years, or both. (b) Violations of this section may be prosecuted in the Federal judicial district in which the original crime was alleged to have been committed or in which the person was held in custody or confinement: Provided, however, That this section shall not be construed as indicating an intent on the part of Congress to prevent any State, Territory, Commonwealth, or possession of the United States of any jurisdiction over any offense over which they would have jurisdiction in the absence of such section. -SOURCE- (Added Pub. L. 86-449, title II, Sec. 201, May 6, 1960, 74 Stat. 86.) ------DocID 24180 Document 422 of 1438------ -CITE- 18 USC CHAPTER 50 -EXPCITE- TITLE 18 PART I CHAPTER 50 -HEAD- CHAPTER 50 - GAMBLING -MISC1- Sec. 1081. Definitions. 1082. Gambling ships. 1083. Transportation between shore and ship; penalties. 1084. Transmission of wagering information; penalties. HISTORICAL AND REVISION NOTES This section (section 23 of act May 24, 1949) inserts a new chapter 50 (secs. 1081-1083) in title 18, U.S.C., incorporating, with slight changes in phraseology, most of the provisions of act of April 27, 1948 (ch. 235, 62 Stat. 200), which was not incorporated in title 18 when the revision was enacted. Subsection (e) of section 1 of such act, defining 'United States', when used in a geographical sense, was omitted as covered by section 5 of such title 18. Section 4 of such act, which provided that nothing in such act 'shall be held to take away or impair the jurisdiction of the courts of the several States under the laws thereof, or to preclude action, otherwise valid, by any State or Territory with respect to the navigable waters within the boundaries of such State or Territory', was omitted as surplusage and unnecessary. AMENDMENTS 1961 - Pub. L. 87-216, Sec. 3, Sept. 13, 1961, 75 Stat. 491, added item 1084. 1949 - Act May 24, 1949, ch. 139, Sec. 23, 63 Stat. 92, added chapter 50 and items 1081 to 1083. ------DocID 24181 Document 423 of 1438------ -CITE- 18 USC Sec. 1081 -EXPCITE- TITLE 18 PART I CHAPTER 50 -HEAD- Sec. 1081. Definitions -STATUTE- As used in this chapter: The term 'gambling ship' means a vessel used principally for the operation of one or more gambling establishments. The term 'gambling establishment' means any common gaming or gambling establishment operated for the purpose of gaming or gambling, including accepting, recording, or registering bets, or carrying on a policy game or any other lottery, or playing any game of chance, for money or other thing of value. The term 'vessel' includes every kind of water and air craft or other contrivance used or capable of being used as a means of transportation on water, or on water and in the air, as well as any ship, boat, barge, or other water craft or any structure capable of floating on the water. The term 'American vessel' means any vessel documented or numbered under the laws of the United States; and includes any vessel which is neither documented or numbered under the laws of the United States nor documented under the laws of any foreign country, if such vessel is owned by, chartered to, or otherwise controlled by one or more citizens or residents of the United States or corporations organized under the laws of the United States or of any State. The term 'wire communication facility' means any and all instrumentalities, personnel, and services (among other things, the receipt, forwarding, or delivery of communications) used or useful in the transmission of writings, signs, pictures, and sounds of all kinds by aid of wire, cable, or other like connection between the points of origin and reception of such transmission. -SOURCE- (Added May 24, 1949, ch. 139, Sec. 23, 63 Stat. 92, and amended Sept. 13, 1961, Pub. L. 87-216, Sec. 1, 75 Stat. 491.) -MISC1- AMENDMENTS 1961 - Pub. L. 87-216 inserted definition of 'wire communication facility'. ------DocID 24182 Document 424 of 1438------ -CITE- 18 USC Sec. 1082 -EXPCITE- TITLE 18 PART I CHAPTER 50 -HEAD- Sec. 1082. Gambling ships -STATUTE- (a) It shall be unlawful for any citizen or resident of the United States, or any other person who is on an American vessel or is otherwise under or within the jurisdiction of the United States, directly or indirectly - (1) to set up, operate, or own or hold any interest in any gambling ship or any gambling establishment on any gambling ship; or (2) in pursuance of the operation of any gambling establishment on any gambling ship, to conduct or deal any gambling game, or to conduct or operate any gambling device, or to induce, entice, solicit, or permit any person to bet or play at any such establishment, if such gambling ship is on the high seas, or is an American vessel or otherwise under or within the jurisdiction of the United States, and is not within the jurisdiction of any State. (b) Whoever violates the provisions of subsection (a) of this section shall be fined not more than $10,000 or imprisoned not more than two years, or both. (c) Whoever, being (1) the owner of an American vessel, or (2) the owner of any vessel under or within the jurisdiction of the United States, or (3) the owner of any vessel and being an American citizen, shall use, or knowingly permit the use of, such vessel in violation of any provision of this section shall, in addition to any other penalties provided by this chapter, forfeit such vessel, together with her tackle, apparel, and furniture, to the United States. -SOURCE- (Added May 24, 1949, ch. 139, Sec. 23, 63 Stat. 92.) ------DocID 24183 Document 425 of 1438------ -CITE- 18 USC Sec. 1083 -EXPCITE- TITLE 18 PART I CHAPTER 50 -HEAD- Sec. 1083. Transportation between shore and ship; penalties -STATUTE- (a) It shall be unlawful to operate or use, or to permit the operation or use of, a vessel for the carriage or transportation, or for any part of the carriage or transportation, either directly or indirectly, of any passengers, for hire or otherwise, between a point or place within the United States and a gambling ship which is not within the jurisdiction of any State. This section does not apply to any carriage or transportation to or from a vessel in case of emergency involving the safety or protection of life or property. (b) The Secretary of the Treasury shall prescribe necessary and reasonable rules and regulations to enforce this section and to prevent violations of its provisions. For the operation or use of any vessel in violation of this section or of any rule or regulation issued hereunder, the owner or charterer of such vessel shall be subject to a civil penalty of $200 for each passenger carried or transported in violation of such provisions, and the master or other person in charge of such vessel shall be subject to a civil penalty of $300. Such penalty shall constitute a lien on such vessel, and proceedings to enforce such lien may be brought summarily by way of libel in any court of the United States having jurisdiction thereof. The Secretary of the Treasury may mitigate or remit any of the penalties provided by this section on such terms as he deems proper. -SOURCE- (Added May 24, 1949, ch. 139, Sec. 23, 63 Stat. 92.) -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Admiralty and maritime rules of practice (which included libel procedures) were superseded, and civil and admiralty procedures in United States district courts were unified, effective July 1, 1966, see rule 1 and Supplemental Rules for Certain Admiralty and Maritime Claims, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Forfeitures and seizures - Jurisdiction, see sections 1333, 1355, and 1356 of Title 28, Judiciary and Judicial Procedure. Proceedings, see section 2461 of Title 28. ------DocID 24184 Document 426 of 1438------ -CITE- 18 USC Sec. 1084 -EXPCITE- TITLE 18 PART I CHAPTER 50 -HEAD- Sec. 1084. Transmission of wagering information; penalties -STATUTE- (a) Whoever being engaged in the business of betting or wagering knowingly uses a wire communication facility for the transmission in interstate or foreign commerce of bets or wagers or information assisting in the placing of bets or wagers on any sporting event or contest, or for the transmission of a wire communication which entitles the recipient to receive money or credit as a result of bets or wagers, or for information assisting in the placing of bets or wagers, shall be fined not more than $10,000 or imprisoned not more than two years, or both. (b) Nothing in this section shall be construed to prevent the transmission in interstate or foreign commerce of information for use in news reporting of sporting events or contests, or for the transmission of information assisting in the placing of bets or wagers on a sporting event or contest from a State or foreign country where betting on that sporting event or contest is legal into a State or foreign country in which such betting is legal. (c) Nothing contained in this section shall create immunity from criminal prosecution under any laws of any State. (d) When any common carrier, subject to the jurisdiction of the Federal Communications Commission, is notified in writing by a Federal, State, or local law enforcement agency, acting within its jurisdiction, that any facility furnished by it is being used or will be used for the purpose of transmitting or receiving gambling information in interstate or foreign commerce in violation of Federal, State or local law, it shall discontinue or refuse, the leasing, furnishing, or maintaining of such facility, after reasonable notice to the subscriber, but no damages, penalty or forfeiture, civil or criminal, shall be found against any common carrier for any act done in compliance with any notice received from a law enforcement agency. Nothing in this section shall be deemed to prejudice the right of any person affected thereby to secure an appropriate determination, as otherwise provided by law, in a Federal court or in a State or local tribunal or agency, that such facility should not be discontinued or removed, or should be restored. (e) As used in this section, the term 'State' means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or a commonwealth, territory or possession of the United States. -SOURCE- (Added Pub. L. 87-216, Sec. 2, Sept. 13, 1961, 75 Stat. 491, and amended Pub. L. 100-690, title VII, Sec. 7024, Nov. 18, 1988, 102 Stat. 4397; Pub. L. 101-647, title XII, Sec. 1205(g), Nov. 29, 1990, 104 Stat. 4831.) -MISC1- AMENDMENTS 1990 - Subsec. (e). Pub. L. 101-647 inserted 'commonwealth,' before 'territory or possession of the United States'. 1988 - Subsec. (b). Pub. L. 100-690, Sec. 7024(a), inserted 'or foreign country' after 'State' in two places. Subsec. (c). Pub. L. 100-690, Sec. 7024(b)(2), struck out ', Commonwealth of Puerto Rico, territory, possession, or the District of Columbia' after 'State'. Subsec. (e). Pub. L. 100-690, Sec. 7024(b)(1), added subsec. (e). -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24185 Document 427 of 1438------ -CITE- 18 USC CHAPTER 50A -EXPCITE- TITLE 18 PART I CHAPTER 50A -HEAD- CHAPTER 50A - GENOCIDE -MISC1- Sec. 1091. Genocide. 1092. Exclusive remedies. 1093. Definitions. ------DocID 24186 Document 428 of 1438------ -CITE- 18 USC Sec. 1091 -EXPCITE- TITLE 18 PART I CHAPTER 50A -HEAD- Sec. 1091. Genocide -STATUTE- (a) Basic Offense. - Whoever, whether in time of peace or in time of war, in a circumstance described in subsection (d) and with the specific intent to destroy, in whole or in substantial part, a national, ethnic, racial, or religious group as such - (1) kills members of that group; (2) causes serious bodily injury to members of that group; (3) causes the permanent impairment of the mental faculties of members of the group through drugs, torture, or similar techniques; (4) subjects the group to conditions of life that are intended to cause the physical destruction of the group in whole or in part; (5) imposes measures intended to prevent births within the group; or (6) transfers by force children of the group to another group; or attempts to do so, shall be punished as provided in subsection (b). (b) Punishment for Basic Offense. - The punishment for an offense under subsection (a) is - (1) in the case of an offense under subsection (a)(1), a fine of not more than $1,000,000 and imprisonment for life; and (2) a fine of not more than $1,000,000 or imprisonment for not more than twenty years, or both, in any other case. (c) Incitement Offense. - Whoever in a circumstance described in subsection (d) directly and publicly incites another to violate subsection (a) shall be fined not more than $500,000 or imprisoned not more than five years, or both. (d) Required Circumstance for Offenses. - The circumstance referred to in subsections (a) and (c) is that - (1) the offense is committed within the United States; or (2) the alleged offender is a national of the United States (as defined in section 101 of the Immigration and Nationality Act (8 U.S.C. 1101)). (e) Nonapplicability of Certain Limitations. - Notwithstanding section 3282 of this title, in the case of an offense under subsection (a)(1), an indictment may be found, or information instituted, at any time without limitation. -SOURCE- (Added Pub. L. 100-606, Sec. 2(a), Nov. 4, 1988, 102 Stat. 3045.) -MISC1- SHORT TITLE Section 1 of Pub. L. 100-606 provided that: 'This Act (enacting this chapter) may be cited as the 'Genocide Convention Implementation Act of 1987 (the Proxmire Act)'.' ------DocID 24187 Document 429 of 1438------ -CITE- 18 USC Sec. 1092 -EXPCITE- TITLE 18 PART I CHAPTER 50A -HEAD- Sec. 1092. Exclusive remedies -STATUTE- Nothing in this chapter shall be construed as precluding the application of State or local laws to the conduct proscribed by this chapter, nor shall anything in this chapter be construed as creating any substantive or procedural right enforceable by law by any party in any proceeding. -SOURCE- (Added Pub. L. 100-606, Sec. 2(a), Nov. 4, 1988, 102 Stat. 3046.) ------DocID 24188 Document 430 of 1438------ -CITE- 18 USC Sec. 1093 -EXPCITE- TITLE 18 PART I CHAPTER 50A -HEAD- Sec. 1093. Definitions -STATUTE- As used in this chapter - (1) the term 'children' means the plural and means individuals who have not attained the age of eighteen years; (2) the term 'ethnic group' means a set of individuals whose identity as such is distinctive in terms of common cultural traditions or heritage; (3) the term 'incites' means urges another to engage imminently in conduct in circumstances under which there is a substantial likelihood of imminently causing such conduct; (4) the term 'members' means the plural; (5) the term 'national group' means a set of individuals whose identity as such is distinctive in terms of nationality or national origins; (6) the term 'racial group' means a set of individuals whose identity as such is distinctive in terms of physical characteristics or biological descent; (7) the term 'religious group' means a set of individuals whose identity as such is distinctive in terms of common religious creed, beliefs, doctrines, practices, or rituals; and (8) the term 'substantial part' means a part of a group of such numerical significance that the destruction or loss of that part would cause the destruction of the group as a viable entity within the nation of which such group is a part. -SOURCE- (Added Pub. L. 100-606, Sec. 2(a), Nov. 4, 1988, 102 Stat. 3046.) ------DocID 24189 Document 431 of 1438------ -CITE- 18 USC CHAPTER 51 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- CHAPTER 51 - HOMICIDE -MISC1- Sec. 1111. Murder. 1112. Manslaughter. 1113. Attempt to commit murder or manslaughter. 1114. Protection of officers and employees of the United States. 1115. Misconduct or neglect of ship officers. 1116. Murder or manslaughter of foreign officials, official guests, or internationally protected persons. 1117. Conspiracy to murder. AMENDMENTS 1976 - Pub. L. 94-467, Sec. 3, Oct. 8, 1976, 90 Stat. 1998, substituted 'official guests, or internationally protected persons' for 'or official guests' in item 1116. 1972 - Pub. L. 92-539, title I, Sec. 102, Oct. 24, 1972, 86 Stat. 1071, added items 1116 and 1117. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of murder, see section 2516 of this title. ------DocID 24190 Document 432 of 1438------ -CITE- 18 USC Sec. 1111 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1111. Murder -STATUTE- (a) Murder is the unlawful killing of a human being with malice aforethought. Every murder perpetrated by poison, lying in wait, or any other kind of willful, deliberate, malicious, and premeditated killing; or committed in the perpetration of, or attempt to perpetrate, any arson, escape, murder, kidnapping, treason, espionage, sabotage, aggravated sexual abuse or sexual abuse, burglary, or robbery; or perpetrated from a premeditated design unlawfully and maliciously to effect the death of any human being other than him who is killed, is murder in the first degree. Any other murder is murder in the second degree. (b) Within the special maritime and territorial jurisdiction of the United States, Whoever is guilty of murder in the first degree, shall suffer death unless the jury qualifies its verdict by adding thereto 'without capital punishment', in which event he shall be sentenced to imprisonment for life; Whoever is guilty of murder in the second degree, shall be imprisoned for any term of years or for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 756; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1004, 98 Stat. 2138; Nov. 10, 1986, Pub. L. 99-646, Sec. 87(c)(4), 100 Stat. 3623; Nov. 14, 1986, Pub. L. 99-654, Sec. 3(a)(4), 100 Stat. 3663; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7025, 102 Stat. 4397.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 452, 454, 567 (Mar. 4, 1909, ch. 321, Sec. 273, 275, 330, 35 Stat. 1143, 1152). Section consolidates the punishment provision of sections 454 and 567 of title 18, U.S.C., 1940 ed., with section 452 of title 18, U.S.C., 1940 ed. The provision of said section 454 for the death penalty for first degree murder was consolidated with section 567 of said title 18, by adding the words 'unless the jury qualifies its verdict by adding thereto 'without capital punishment' in which event he shall be sentenced to imprisonment for life'. The punishment for second degree murder was changed and the phrase 'for any term of years or for life' was substituted for the words 'not less than ten years and may be imprisoned for life'. This change conforms to a uniform policy of omitting the minimum punishment. Said section 567 was not included in section 2031 of this title since the rewritten punishment provision for rape removes the necessity for a qualified verdict. The special maritime and territorial jurisdiction provision was added in view of definitive section 7 of this title. AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 inserted a comma after 'arson'. 1986 - Subsec. (a). Pub. L. 99-646 and Pub. L. 99-654 amended subsec. (a) identically, substituting 'aggravated sexual abuse or sexual abuse' for ', rape'. 1984 - Subsec. (a). Pub. L. 98-473 inserted 'escape, murder, kidnapping, treason, espionage, sabotage,' after 'arson'. EFFECTIVE DATE OF 1986 AMENDMENTS Amendments by Pub. L. 99-646 and Pub. L. 99-654 effective respectively 30 days after Nov. 10, 1986, and 30 days after Nov. 14, 1986, see section 87(e) of Pub. L. 99-646 and section 4 of Pub. L. 99-654, set out as an Effective Date note under section 2241 of this title. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. Assault with intent to murder, see section 113 of this title. Bank robbery, murder in committing, see section 2113 of this title. High seas, citizen committing murder as pirate, see section 1652 of this title. Indian country - Jurisdiction of offenses committed by Indians, see section 3242 of this title. Law governing offenses, see section 1153 of this title. Limitations, capital offenses, see section 3281 of this title. Mailing matter of character tending to incite murder, see section 1461 of this title. Railroads, entering train to commit murder, see section 1991 of this title. Sentences, see section 3551 of this title. Venue, see section 3236 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 115, 351, 1114, 1116, 1117, 1512, 1751, 2332 of this title; title 7 section 2146; title 15 section 1825; title 21 sections 461, 675, 1041; title 42 section 2283; title 49 App. section 1472. ------DocID 24191 Document 433 of 1438------ -CITE- 18 USC Sec. 1112 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1112. Manslaughter -STATUTE- (a) Manslaughter is the unlawful killing of a human being without malice. It is of two kinds: Voluntary - Upon a sudden quarrel or heat of passion. Involuntary - In the commission of an unlawful act not amounting to a felony, or in the commission in an unlawful manner, or without due caution and circumspection, of a lawful act which might produce death. (b) Within the special maritime and territorial jurisdiction of the United States, Whoever is guilty of voluntary manslaughter, shall be imprisoned not more than ten years; Whoever is guilty of involuntary manslaughter, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 756.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 453, 454 (Mar. 4, 1909, ch. 321, Sec. 274, 275, 35 Stat. 1143). Section consolidates punishment provisions of sections 453 and 454 of title 18, U.S.C., 1940 ed. The special maritime and territorial jurisdiction provision was added in view of definitive section 7 this title. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. Indian country - Jurisdiction of offenses committed by Indians, see section 3242 of this title. Law governing offenses, see section 1153 of this title. Venue, see section 3236 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 351, 1114, 1116, 1512, 1751, 2332 of this title; title 15 section 1825; title 21 section 1041; title 42 section 2283; title 49 App. section 1472. ------DocID 24192 Document 434 of 1438------ -CITE- 18 USC Sec. 1113 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1113. Attempt to commit murder or manslaughter -STATUTE- Except as provided in section 113 of this title, whoever, within the special maritime and territorial jurisdiction of the United States, attempts to commit murder or manslaughter, shall, for an attempt to commit murder be imprisoned not more than twenty years or fined under this title, or both, and for an attempt to commit manslaughter be imprisoned not more than three years or fined under this title, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 756; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7058(c), 102 Stat. 4403; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3534, 104 Stat. 4925.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 456 (Mar. 4, 1909, ch. 321, Sec. 277, 35 Stat. 1143). Words 'within the special maritime and territorial jurisdiction of the United States' were added in view of definitive section 7 of this title, and section was rearranged to more clearly express intent of existing law. Mandatory punishment provision was rephrased in the alternative. AMENDMENTS 1990 - Pub. L. 101-647 struck out final period at end. 1988 - Pub. L. 100-690 substituted 'shall, for an attempt to commit murder be imprisoned not more than twenty years or fined under this title, or both, and for an attempt to commit manslaughter be imprisoned not more than three years or fined under this title, or both.' for 'shall be fined not more than $1,000 or imprisoned not more than three years, or both'. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 115, 1116 of this title; title 49 App. section 1472. ------DocID 24193 Document 435 of 1438------ -CITE- 18 USC Sec. 1114 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1114. Protection of officers and employees of the United States -STATUTE- Whoever kills or attempts to kill any judge of the United States, any United States Attorney, any Assistant United States Attorney, or any United States marshal or deputy marshal or person employed to assist such marshal or deputy marshal, any officer or employee of the Federal Bureau of Investigation of the Department of Justice, any officer or employee of the Postal Service, any officer or employee of the Secret Service or of the Drug Enforcement Administration, any officer or member of the United States Capitol Police, any member of the Coast Guard, any employee of the Coast Guard assigned to perform investigative, inspection or law enforcement functions, any officer or employee of any United States penal or correctional institution, any officer, employee or agent of the customs or of the internal revenue or any person assisting him in the execution of his duties, any immigration officer, any officer or employee of the Department of Agriculture or of the Department of the Interior designated by the Secretary of Agriculture or the Secretary of the Interior to enforce any Act of Congress for the protection, preservation, or restoration of game and other wild birds and animals, any employee of the Department of Agriculture designated by the Secretary of Agriculture to carry out any law or regulation, or to perform any function in connection with any Federal or State program or any program of Puerto Rico, Guam, the Virgin Islands or any other commonwealth, territory, or possession of the United States, or the District of Columbia, for the control or eradication or prevention of the introduction or dissemination of animal diseases, any officer or employee of the National Park Service, any civilian official or employee of the Army Corps of Engineers assigned to perform investigations, inspections, law or regulatory enforcement functions, or field-level real estate functions, any officer or employee of, or assigned to duty in, the field service of the Bureau of Land Management, or any officer or employee of the Indian field service of the United States, or any officer or employee of the National Aeronautics and Space Administration directed to guard and protect property of the United States under the administration and control of the National Aeronautics and Space Administration, any security officer of the Department of State or the Foreign Service, or any officer or employee of the Department of Education, the Department of Health and Human Services, the Consumer Product Safety Commission, Interstate Commerce Commission, the Department of Commerce, or of the Department of Labor or of the Department of the Interior or of the Department of Agriculture assigned to perform investigative, inspection, or law enforcement functions, or any officer or employee of the Federal Communications Commission performing investigative, inspection, or law enforcement functions, or any officer or employee of the Veterans' Administration assigned to perform investigative or law enforcement functions, or any United States probation or pretrial services officer, or any United States magistrate, or any officer or employee of any department or agency within the Intelligence Community (as defined in section 3.4(F) of Executive Order 12333, December 8, 1981, or successor orders) not already covered under the terms of this section, any attorney, liquidator, examiner, claim agent, or other employee of the Federal Deposit Insurance Corporation, the Comptroller of the Currency, the Office of Thrift Supervision, the Federal Housing Finance Board, the Resolution Trust Corporation, the Board of Governors of the Federal Reserve System, any Federal Reserve bank, or the National Credit Union Administration, or any other officer, agency, or employee of the United States designated for coverage under this section in regulations issued by the Attorney General engaged in or on account of the performance of his official duties, or any officer or employee of the United States or any agency thereof designated to collect or compromise a Federal claim in accordance with sections 3711 and 3716-3718 of title 31 or other statutory authority shall be punished as provided under sections 1111 and 1112 of this title, except that any such person who is found guilty of attempted murder shall be imprisoned for not more than twenty years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 756; May 24, 1949, ch. 139, Sec. 24, 63 Stat. 93; Oct. 31, 1951, ch. 655, Sec. 28, 65 Stat. 721; June 27, 1952, ch. 477, title IV, Sec. 402(c), 66 Stat. 276; July 29, 1958, Pub. L. 85-568, title III, Sec. 304(d), 72 Stat. 434; July 2, 1962, Pub. L. 87-518, Sec. 10, 76 Stat. 132; Aug. 27, 1964, Pub. L. 88-493, Sec. 3, 78 Stat. 610; July 15, 1965, Pub. L. 89-74, Sec. 8(b), 79 Stat. 234; Aug. 2, 1968, Pub. L. 90-449, Sec. 2, 82 Stat. 611; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(9), 84 Stat. 777; Oct. 27, 1970, Pub. L. 91-513, title II, Sec. 701(i)(1), 84 Stat. 1282; Dec. 29, 1970, Pub. L. 91-596, Sec. 17(h)(1), 84 Stat. 1607; Oct. 26, 1974, Pub. L. 93-481, Sec. 5, 88 Stat. 1456; May 11, 1976, Pub. L. 94-284, Sec. 18, 90 Stat. 514; Oct. 21, 1976, Pub. L. 94-582, Sec. 16, 90 Stat. 2883; Aug. 3, 1977, Pub. L. 95-87, title VII, Sec. 704, 91 Stat. 520; Nov. 8, 1978, Pub. L. 95-616, Sec. 3(j)(2), 92 Stat. 3112; Nov. 10, 1978, Pub. L. 95-630, title III, Sec. 307, 92 Stat. 3677; July 1, 1980, Pub. L. 96-296, Sec. 26(c), 94 Stat. 819; Oct. 17, 1980, Pub. L. 96-466, title VII, Sec. 704, 94 Stat. 2216; Dec. 29, 1981, Pub. L. 97-143, Sec. 1(b), 95 Stat. 1724; Sept. 13, 1982, Pub. L. 97-259, title I, Sec. 128, 96 Stat. 1099; Oct. 25, 1982, Pub. L. 97-365, Sec. 6, 96 Stat. 1752; Jan. 12, 1983, Pub. L. 97-452, Sec. 2(b), 96 Stat. 2478; July 30, 1983, Pub. L. 98-63, title I, Sec. 101, 97 Stat. 313; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1012, 98 Stat. 2142; Oct. 30, 1984, Pub. L. 98-557, Sec. 17(c), 98 Stat. 2868; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7026, 102 Stat. 4397; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 962(a)(6), 103 Stat. 502; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1205(h), title XVI, Sec. 1606, title XXXV, Sec. 3535, 104 Stat. 4831, 4843, 4925.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 253 (May 18, 1934, ch. 299, Sec. 1, 48 Stat. 780; Feb. 8, 1936, ch. 40, 49 Stat. 1105; June 26, 1936, ch. 830, title I, Sec. 3, 49 Stat. 1940; Reorg. Plan No. II, Sec. 4(f), eff. July 1, 1939, 4 F.R. 2731, 53 Stat. 1433; June 13, 1940, ch. 359, 54 Stat. 391). The section was extended to include United States judges, attorneys and their assistants, and officers of Federal, penal and correctional institutions in view of the obvious desirability of such protective legislation. Employees of the Bureau of Animal Industry have been included in this section to complete the revision of section 118 of title 18, U.S.C., 1940 ed., which was consolidated with the assault provisions of section 254 of said title 18 and is now section 111 of this title. There seemed no sound reason for including such officers in the protection against assaults but excluding them from the homicide sections. For like reasons the section was broadened to include officers or employees of the Secret Service or of the Bureau of Narcotics. Changes in phraseology were made. 1949 ACT This section (section 24) amends section 1114 of title 18, U.S.C., to conform more closely with the original statute from which it was derived. -REFTEXT- REFERENCES IN TEXT Executive Order 12333, referred to in text, is set out under section 401 of Title 50, War and National Defense. -COD- CODIFICATION Section 704 of Pub. L. 95-87, in addition to amending this section, enacted section 1294 of Title 30, Mineral Lands and Mining. -MISC3- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 1606(3), 3535(3), which directed identical amendment of section by striking out 'the Federal Savings and Loan Insurance Corporation,' could not be executed because that language had been struck out by Pub. L. 101-73. See 1989 Amendment note below. Pub. L. 101-647, Sec. 1606(1), (2), 3535(1), (2), amended section identically, substituting 'Secret Service' for 'secret service' and 'any officer or employee of the Department of Education, the Department of Health and Human Services,' for 'any officer or employee of the Department of Health, Education, and Welfare,'. Pub. L. 101-647, Sec. 1205(h), inserted 'or any other commonwealth, territory, or possession' after 'the Virgin Islands'. 1989 - Pub. L. 101-73 struck out 'the Federal Savings and Loan Insurance Corporation,' after 'Federal Deposit Insurance Corporation,' and substituted 'the Office of Thrift Supervision, the Federal Housing Finance Board, the Resolution Trust Corporation' for 'the Federal Home Loan Bank Board'. 1988 - Pub. L. 100-690 struck out second comma after 'terms of this section'. 1984 - Pub. L. 98-557 substituted reference to Coast Guard member, and Coast Guard employee assigned to perform investigative, inspection or law enforcement functions, for reference to any officer or enlisted man of the Coast Guard. Pub. L. 98-473 inserted 'or attempts to kill' after 'Whoever kills', substituted 'or any United States probation or pretrial services officer, or any United States magistrate, or any officer or employee of any department or agency within the Intelligence Community (as defined in section 3.4(F) of Executive Order 12333, December 8, 1981, or successor orders) not already covered under the terms of this section,' for 'while engaged in the performance of his official duties or on account of the performance of his official duties', inserted ', or any other officer, agency, or employee of the United States designated for coverage under this section in regulations issued by the Attorney General', and inserted ', except that any such person who is found guilty of attempted murder shall be imprisoned for not more than twenty years'. 1983 - Pub. L. 98-63 inserted 'any civilian official or employee of the Army Corps of Engineers assigned to perform investigations, inspections, law or regulatory enforcement functions, or field-level real estate functions,' after 'National Park Service,'. 1983 - Pub. L. 97-452 substituted 'sections 3711 and 3716-3718 of title 31' for 'the Federal Claims Collection Act of 1966 (31 U.S.C. 951 et seq.)'. 1982 - Pub. L. 97-365 struck out 'or' before 'any attorney, liquidator, examiner, claim agent' and inserted ', or any officer or employee of the United States or any agency thereof designated to collect or compromise a Federal claim in accordance with the Federal Claims Collection Act of 1966 (31 U.S.C. 951 et seq.) or other statutory authority' before 'shall be punished'. Pub. L. 97-259 inserted 'or any officer or employee of the Federal Communications Commission performing investigative, inspection, or law enforcement functions,' after 'or law enforcement functions,'. 1981 - Pub. L. 97-143 inserted 'any officer or member of the United States Capitol Police,' after 'Drug Enforcement Administration,'. 1980 - Pub. L. 96-466 inserted 'or any officer or employee of the Veterans' Administration assigned to perform investigative or law enforcement functions,' after 'of the Department of Agriculture assigned to perform investigative, inspection, or law enforcement functions,'. Pub. L. 96-296 inserted 'Interstate Commerce Commission,' after 'Consumer Product Safety Commission,'. 1978 - Pub. L. 95-630 inserted 'or any attorney, liquidator, examiner, claim agent, or other employee of the Federal Deposit Insurance Corporation, the Federal Savings and Loan Insurance Corporation, the Comptroller of the Currency, the Federal Home Loan Bank Board, the Board of Governors of the Federal Reserve System, any Federal Reserve bank, or the National Credit Union Administration engaged in or on account of the performance of his official duties' before 'shall be punished'. Pub. L. 95-616 inserted 'the Department of Commerce,'. 1977 - Pub. L. 95-87 inserted 'or of the Department of the Interior' after 'or of the Department of Labor'. 1976 - Pub. L. 94-582 struck out 'any employee of the Bureau of Animal Industry of the Department of Agriculture,' after 'the field service of the Bureau of Land Management,' and inserted 'or of the Department of Agriculture' after 'or of the Department of Labor'. Pub. L. 94-284 inserted ', the Consumer Product Safety Commission,' after 'Department of Health, Education, and Welfare'. 1974 - Pub. L. 93-481 substituted 'Drug Enforcement Administration' for 'Bureau of Narcotics and Dangerous Drugs'. 1970 - Pub. L. 91-596 substituted 'or of the Department of Labor assigned to perform investigative, inspection, or law enforcement functions', for 'designated by the Secretary of Health, Education, and Welfare to conduct investigations, or inspections under the Federal Food, Drug, and Cosmetic Act'. Pub. L. 91-513 substituted 'Bureau of Narcotics and Dangerous Drugs' for 'Bureau of Narcotics'. Pub. L. 91-375 substituted 'officer or employee of the Postal Service', for 'postal inspector, any postmaster, officer, or employee in the field service of the Post Office Department' after 'Department of Justice,'. 1968 - Pub. L. 90-449 substituted 'any postal inspector, any postmaster, officer, or employee in the field service of the Post Office Department' for 'any post-office inspector'. 1965 - Pub. L. 89-74 included any officer or employee of the Department of Health, Education, and Welfare designated by the Secretary of Health, Education, and Welfare to conduct investigations or inspections under the Federal Food, Drug, and Cosmetic Act. 1964 - Pub. L. 88-493 inserted 'or any security officer of the Department of State or the Foreign Service'. 1962 - Pub. L. 87-518 included employees of the Department of Agriculture performing any function connected with any Federal or State program, or program of Puerto Rico, Guam, the Virgin Islands, or the District of Columbia, for control, eradication, or prevention of animal diseases. 1958 - Pub. L. 85-568 included officers and employees of the National Aeronautics and Space Administration. 1952 - Act June 27, 1952, substituted 'any immigration officers' for 'any immigrant inspector or any immigration patrol inspector'. 1951 - Act Oct. 31, 1951, substituted 'the field service of the Bureau of Land Management' for 'the field service of the Division of Grazing of the Department of the Interior'. 1949 - Act May 24, 1949, inserted 'any officer, employee or agent of the customs or of the internal revenue or any person assisting him in the execution of his duties'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. Reference to Veterans' Administration deemed to refer to Department of Veterans Affairs pursuant to section 10 of Pub. L. 100-527, set out as a Department of Veterans Affairs Act note under section 201 of Title 38, Veterans' Benefits. -MISC4- EFFECTIVE DATE OF 1980 AMENDMENT Section 802(g)(3) of Pub. L. 96-466 provided in part that the amendment made by section 704 of Pub. L. 96-466 is effective Oct. 17, 1980. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-630 effective on expiration of 120 days after Nov. 10, 1978, see section 2101 of Pub. L. 95-630, set out as an Effective Date note under section 375b of Title 12, Banks and Banking. EFFECTIVE DATE OF 1970 AMENDMENTS Amendment by Pub. L. 91-513 effective on first day of seventh calendar month that begins after Oct. 26, 1970, see section 704 of Pub. L. 91-513, set out as an Effective Date note under section 801 of Title 21, Food and Drugs. Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. EFFECTIVE DATE OF 1965 AMENDMENT Amendment by Pub. L. 89-74 effective July 15, 1965, see section 11 of Pub. L. 89-74. SAVINGS PROVISION Amendment by Pub. L. 91-513 not to affect or abate any prosecutions for violation of law or any civil seizures or forfeitures and injunctive proceedings commenced prior to the effective date of such amendment, and all administrative proceedings pending before the Bureau of Narcotics and Dangerous Drugs on Oct. 27, 1970, to be continued and brought to final determination in accord with laws and regulations in effect prior to Oct. 27, 1970, see section 702 of Pub. L. 91-513, set out as a note under section 321 of Title 21, Food and Drugs. -TRANS- TRANSFER OF FUNCTIONS Functions of all officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. United States Attorneys, Assistant United States Attorneys, United States marshals, and deputy marshals, referred to in this section, are officers within the Department of Justice, the Federal Bureau of Investigation, also referred to in this section, is a bureau of such Department, and officers and employees of United States penal or correctional institutions and immigration officials, also referred to in the section, are officers and employees within such Department. Bureau of Narcotics and Dangerous Drugs, including office of Director thereof, in Department of Justice abolished by Reorg. Plan No. 2 of 1973, eff. July 1, 1973, 38 F.R. 15932, 87 Stat. 1091, set out in the Appendix to Title 5, Government Organization and Employees. Reorg. Plan No. 2 of 1973 also created in Department of Justice a single, comprehensive agency for enforcement of drug laws to be known as Drug Enforcement Administration, empowered Attorney General to authorize performance by officers, employees, and agencies of Department of functions transferred to him, and directed Attorney General to coordinate all drug law enforcement functions to assure maximum cooperation between Drug Enforcement Administration, Federal Bureau of Investigation, and other units of Department of Justice involved in drug law enforcement. Coast Guard transferred to Department of Transportation and all functions, powers, and duties, relating to Coast Guard, of Secretary of the Treasury and of other offices and officers of Department of the Treasury transferred to Secretary of Transportation by Pub. L. 89-670, Oct. 15, 1966, 80 Stat. 931, which created Department of Transportation. See section 108 of Title 49, Transportation. Functions of all officers of Department of the Treasury and functions of all agencies and employees of such Department transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees. by Reorg. Plan No. 26 of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, 1281, set out in the Appendix to Title 5, Government Organization and Employees. Secret Service is an agency in Department of the Treasury and customs and internal revenue officials, referred to in this section, are officials in such Department. Functions of all other officers of Department of the Interior and functions of all agencies and employees of such Department, with two exceptions, transferred to Secretary of the Interior, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 3 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3174, 64 Stat. 1262, set out in the Appendix to Title 5, Government Organization and Employees. Officers and employees of National Park Service, and of Indian field service, referred to in this section, are officers and employees of Department of the Interior. -MISC5- LIFE IMPRISONMENT OR LESSER TERM FOR KILLING PERSON IN PERFORMANCE OF INVESTIGATIVE, INSPECTION, OR LAW ENFORCEMENT FUNCTIONS Section 17(h)(2) of Pub. L. 91-596 provided that: 'Notwithstanding the provisions of sections 1111 and 1114 of title 18, United States Code, whoever, in violation of the provisions of section 1114 of such title, kills a person while engaged in or on account of the performance of investigative, inspection, or law enforcement functions added to such section 1114 by paragraph (1) of this subsection, and who would otherwise be subject to the penalty provisions of such section 1111 shall be punished by imprisonment for any term of years or for life.' IMMUNITY FROM CRIMINAL PROSECUTION Section 5 of Pub. L. 88-493 which provided that nothing in Pub. L. 88-493, which amended this section and section 112 of this title, and enacted former section 170e-1 of Title 5, Government Organization and Employees, shall create immunity from criminal prosecution under the laws of any State, territory, possession, Puerto Rico, or the District of Columbia, is set out as a note under section 112 of this title. -CROSS- CROSS REFERENCES Assaulting, resisting, or impeding officers or employees designated in this section, see section 111 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 111, 115, 1117, 1201 of this title; title 7 sections 84, 87c, 2146; title 16 section 742l; title 19 section 1629; title 21 sections 461, 675; title 25 section 2804; title 42 section 2000e-13. ------DocID 24194 Document 436 of 1438------ -CITE- 18 USC Sec. 1115 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1115. Misconduct or neglect of ship officers -STATUTE- Every captain, engineer, pilot, or other person employed on any steamboat or vessel, by whose misconduct, negligence, or inattention to his duties on such vessel the life of any person is destroyed, and every owner, charterer, inspector, or other public officer, through whose fraud, neglect, connivance, misconduct, or violation of law the life of any person is destroyed, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. When the owner or charterer of any steamboat or vessel is a corporation, any executive officer of such corporation, for the time being actually charged with the control and management of the operation, equipment, or navigation of such steamboat or vessel, who has knowingly and willfully caused or allowed such fraud, neglect, connivance, misconduct, or violation of law, by which the life of any person is destroyed, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 757.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 461 (Mar. 4, 1909, ch. 321, Sec. 282, 35 Stat. 1144). Section restores the intent of the original enactments, R.S. Sec. 5344, and act Mar. 3, 1905, ch. 1454, Sec. 5, 33 Stat. 1025, and makes this section one of general application. In the Criminal Code of 1909, by placing it in chapter 11, limited to places within the special maritime and territorial jurisdiction of the United States, such original intent was inadvertently lost as indicated by the entire absence of report or comment on such limitation. ------DocID 24195 Document 437 of 1438------ -CITE- 18 USC Sec. 1116 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1116. Murder or manslaughter of foreign officials, official guests, or internationally protected persons -STATUTE- (a) Whoever kills or attempts to kill a foreign official, official guest, or internationally protected person shall be punished as provided under sections 1111, 1112, and 1113 of this title, except that any such person who is found guilty of murder in the first degree shall be sentenced to imprisonment for life, and any such person who is found guilty of attempted murder shall be imprisoned for not more than twenty years. (b) For the purposes of this section: (1) 'Family' includes (a) a spouse, parent, brother or sister, child, or person to whom the foreign official or internationally protected person stands in loco parentis, or (b) any other person living in his household and related to the foreign official or internationally protected person by blood or marriage. (2) 'Foreign government' means the government of a foreign country, irrespective of recognition by the United States. (3) 'Foreign official' means - (A) a Chief of State or the political equivalent, President, Vice President, Prime Minister, Ambassador, Foreign Minister, or other officer of Cabinet rank or above of a foreign government or the chief executive officer of an international organization, or any person who has previously served in such capacity, and any member of his family, while in the United States; and (B) any person of a foreign nationality who is duly notified to the United States as an officer or employee of a foreign government or international organization, and who is in the United States on official business, and any member of his family whose presence in the United States is in connection with the presence of such officer or employee. (4) 'Internationally protected person' means - (A) a Chief of State or the political equivalent, head of government, or Foreign Minister whenever such person is in a country other than his own and any member of his family accompanying him; or (B) any other representative, officer, employee, or agent of the United States Government, a foreign government, or international organization who at the time and place concerned is entitled pursuant to international law to special protection against attack upon his person, freedom, or dignity, and any member of his family then forming part of his household. (5) 'International organization' means a public international organization designated as such pursuant to section 1 of the International Organizations Immunities Act (22 U.S.C. 288) or a public organization created pursuant to treaty or other agreement under international law as an instrument through or by which two or more foreign governments engage in some aspect of their conduct of international affairs. (6) 'Official guest' means a citizen or national of a foreign country present in the United States as an official guest of the Government of the United States pursuant to designation as such by the Secretary of State. (c) If the victim of an offense under subsection (a) is an internationally protected person, the United States may exercise jurisdiction over the offense if the alleged offender is present within the United States, irrespective of the place where the offense was committed or the nationality of the victim or the alleged offender. As used in this subsection, the United States includes all areas under the jurisdiction of the United States including any of the places within the provisions of sections 5 and 7 of this title and section 101(38) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(38)). (d) In the course of enforcement of this section and any other sections prohibiting a conspiracy or attempt to violate this section, the Attorney General may request assistance from any Federal, State, or local agency, including the Army, Navy, and Air Force, any statute, rule, or regulation to the contrary notwithstanding. -SOURCE- (Added Pub. L. 92-539, title I, Sec. 101, Oct. 24, 1972, 86 Stat. 1071, and amended Pub. L. 94-467, Sec. 2, Oct. 8, 1976, 90 Stat. 1997; Pub. L. 95-163, Sec. 17(b)(1), Nov. 9, 1977, 91 Stat. 1286; Pub. L. 95-504, Sec. 2(b), Oct. 24, 1978, 92 Stat. 1705; Pub. L. 97-351, Sec. 3, Oct. 18, 1982, 96 Stat. 1666.) -REFTEXT- REFERENCES IN TEXT Section 101(38) of the Federal Aviation Act of 1958, as amended (49 U.S.C. 1301(38)), referred to in subsec. (c), is classified to section 1301(38) of Title 49, Appendix, Transportation. -MISC2- AMENDMENTS 1982 - Subsec. (b)(5). Pub. L. 97-351 inserted provision relating to a public organization created pursuant to treaty or other agreement under international law as an instrument through or by which two or more foreign governments engage in some aspect of their conduct of foreign affairs. 1978 - Subsec. (c). Pub. L. 95-504 substituted reference to section 101(38) of the Federal Aviation Act of 1958 for reference to section 101(35) of such Act. 1977 - Subsec. (c). Pub. L. 95-163 substituted reference to section 101(35) of the Federal Aviation Act of 1958 for reference to section 101(34) of such Act. 1976 - Catchline. Pub. L. 94-467 substituted 'official guests, or internationally protected persons' for 'or official guests'. Subsec. (a). Pub. L. 94-467 inserted reference to internationally protected persons, section 1113 of this title, and the punishment for a person convicted of attempted murder. Subsec. (b). Pub. L. 94-467 designated existing provision, relating to definition of 'foreign official' as par. (3)(A), (B), and added pars. (1), (2), (4), (5) and (6). Subsec. (c). Pub. L. 94-467 substituted provision permitting the United States to exercise jurisdiction over an offense if the victim is an internationally protected person and the alleged offender is present within the United States for provision which defined 'foreign government', 'international organization', 'family', and 'official guest'. Subsec. (d). Pub. L. 94-467 added subsec. (d). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 11, 112, 878, 970, 1117, 1201, 2333 of this title; title 8 section 1182. ------DocID 24196 Document 438 of 1438------ -CITE- 18 USC Sec. 1117 -EXPCITE- TITLE 18 PART I CHAPTER 51 -HEAD- Sec. 1117. Conspiracy to murder -STATUTE- If two or more persons conspire to violate section 1111, 1114, or 1116 of this title, and one or more of such persons do any overt act to effect the object of the conspiracy, each shall be punished by imprisonment for any term of years or for life. -SOURCE- (Added Pub. L. 92-539, title I, Sec. 101, Oct. 24, 1972, 86 Stat. 1071.) ------DocID 24197 Document 439 of 1438------ -CITE- 18 USC CHAPTER 53 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- CHAPTER 53 - INDIANS -MISC1- Sec. 1151. Indian country defined. 1152. Laws governing. 1153. Offenses committed within Indian country. 1154. Intoxicants dispensed in Indian country. 1155. Intoxicants dispensed on school site. 1156. Intoxicants possessed unlawfully. (1157. Repealed.) 1158. Counterfeiting Indian Arts and Crafts Board trade mark. 1159. Misrepresentation of Indian produced goods and products. 1160. Property damaged in committing offense. 1161. Application of Indian liquor laws. 1162. State jurisdiction over offenses committed by or against Indians in the Indian country. 1163. Embezzlement and theft from Indian tribal organizations. 1164. Destroying boundary and warning signs. 1165. Hunting, trapping, or fishing on Indian land. 1166. Gambling in Indian country. 1167. Theft from gaming establishments on Indian lands. 1168. Theft by officers or employees of gaming establishments on Indian lands. 1169. Reporting of child abuse. 1170. Illegal Trafficking in Native American Human Remains and Cultural Items. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3536, Nov. 29, 1990, 104 Stat. 4925, struck out item 1157 'Livestock sold or removed'. Pub. L. 101-644, title I, Sec. 104(b), Nov. 29, 1990, 104 Stat. 4663, substituted 'Misrepresentation of Indian produced goods and products' for 'Misrepresentation in sale of products' in item 1159. Pub. L. 101-630, title IV, Sec. 404(a)(2), Nov. 28, 1990, 104 Stat. 4548, which directed amendment of table of contents by adding at end thereof item 1169, was executed by adding item 1169 after item 1168 to reflect the probable intent of Congress and intervening amendment by Pub. L. 101-601, see below. Pub. L. 101-601, Sec. 4(b), Nov. 16, 1990, 104 Stat. 3052, added item 1170. 1988 - Pub. L. 100-497, Sec. 24, Oct. 17, 1988, 102 Stat. 2488, added items 1166, 1167, and 1168. 1960 - Pub. L. 86-634, Sec. 3, July 12, 1960, 74 Stat. 469, added items 1164 and 1165. 1956 - Act Aug. 1, 1956, ch. 822, Sec. 1, 70 Stat. 792, added item 1163. 1953 - Act Aug. 15, 1953, ch. 502, Sec. 1, 67 Stat. 586, added item 1161. Act Aug. 15, 1953, ch. 505, Sec. 1, 67 Stat. 588, added item 1162. -CROSS- CROSS REFERENCES Government employee having interest in Indian contracts, see section 437 of this title. Receiving money in connection with Indian contracts for services, see section 438 of this title. Unauthorized Indian enrollment contracts, or receiving money in connection with such contracts, see section 439 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 25 section 450h. ------DocID 24198 Document 440 of 1438------ -CITE- 18 USC Sec. 1151 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1151. Indian country defined -STATUTE- Except as otherwise provided in sections 1154 and 1156 of this title, the term 'Indian country', as used in this chapter, means (a) all land within the limits of any Indian reservation under the jurisdiction of the United States Government, notwithstanding the issuance of any patent, and, including rights-of-way running through the reservation, (b) all dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory thereof, and whether within or without the limits of a state, and (c) all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way running through the same. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 757; May 24, 1949, ch. 139, Sec. 25, 63 Stat. 94.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 548 and 549 of title 18, and sections 212, 213, 215, 217, 218 of title 25, Indians, U.S. Code, 1940 ed. (R.S. Sec. 2142, 2143, 2144, 2145, 2146; Feb. 18, 1875, ch. 80, Sec. 1, 18 Stat. 318; Mar. 4, 1909, ch. 321, Sec. 328, 329, 35 Stat. 1151; Mar. 3, 1911, ch. 231, Sec. 291, 36 Stat. 1167; June 28, 1932, ch. 284, 47 Stat. 337). This section consolidates numerous conflicting and inconsistent provisions of law into a concise statement of the applicable law. R.S. Sec. 2145, 2146 (U.S.C., title 25, Sec. 217, 218) extended to the Indian country with notable exceptions the criminal laws of the United States applicable to places within the exclusive jurisdiction of the United States. Crimes of Indians against Indians, and crimes punishable by tribal law were excluded. The confusion was not lessened by the cases of U.S. v. McBratney, 104 U.S. 622 and Draper v. U.S., 17 S.Ct. 107, holding that crimes in Indian country by persons not Indians are not cognizable by Federal courts in absence of reservation or cession of exclusive jurisdiction applicable to places within the exclusive jurisdiction of the United States. Because of numerous statutes applicable only to Indians and prescribing punishment for crimes committed by Indians against Indians, 'Indian country' was defined but once. (See act June 30, 1834, ch. 161, Sec. 1, 4, Stat. 729, which was later repealed.) Definition is based on latest construction of the term by the United States Supreme Court in U.S. v. McGowan, 58 S.Ct. 286, 302 U.S. 535, following U.S. v. Sandoval, 34 S.Ct. 1, 5, 231 U.S. 28, 46. (See also Donnelly v. U.S., 33 S.Ct. 449, 228 U.S. 243; and Kills Plenty v. U.S., 133 F.2d 292, certiorari denied, 1943, 63 S.Ct. 1172). (See reviser's note under section 1153 of this title.) Indian allotments were included in the definition on authority of the case of U.S. v. Pelican, 1913, 34 S.Ct. 396, 232 U.S. 442, 58 L.Ed. 676. 1949 ACT This section (section 25), by adding to section 1151 of title 18, U.S.C., the phrase 'except as otherwise provided in sections 1154 and 1156 of this title', incorporates in this section the limitations of the term 'Indian country' which are added to sections 1154 and 1156 by sections 27 and 28 of this bill. AMENDMENTS 1949 - Act May 24, 1949, incorporated the limitations of term 'Indian country' which are contained in sections 1154 and 1156 of this title. SHORT TITLE OF 1976 AMENDMENT Pub. L. 94-297, Sec. 1, May 29, 1976, 90 Stat. 585, provided: 'That this Act (amending sections 113, 1153, and 3242 of this title) may be cited as the 'Indian Crimes Act of 1976'.' -CROSS- CROSS REFERENCES Destroying boundary and warning signs, see section 1164 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1164, 1460, 2252 of this title; title 15 sections 1175, 1243, 1245; title 16 sections 3371, 3377; title 25 sections 1903, 2801, 3202; title 33 section 1377; title 42 section 10101. ------DocID 24199 Document 441 of 1438------ -CITE- 18 USC Sec. 1152 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1152. Laws governing -STATUTE- Except as otherwise expressly provided by law, the general laws of the United States as to the punishment of offenses committed in any place within the sole and exclusive jurisdiction of the United States, except the District of Columbia, shall extend to the Indian country. This section shall not extend to offenses committed by one Indian against the person or property of another Indian, nor to any Indian committing any offense in the Indian country who has been punished by the local law of the tribe, or to any case where, by treaty stipulations, the exclusive jurisdiction over such offenses is or may be secured to the Indian tribes respectively. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 757.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 215, 217, 218 of title 25, U.S.C., 1940 ed., Indians (R.S. 2144, 2145, 2146; Feb. 18, 1875, ch. 80, Sec. 1, 18 Stat. 318). Section consolidates said sections 217 and 218 of title 25, U.S.C., 1940 ed., Indians, and omits section 215 of said title as covered by the consolidation. See reviser's note under section 1153 of this title as to effect of consolidation of sections 548 and 549 of title 18, U.S.C., 1940 ed. Minor changes were made in translations and phraseology. -CROSS- CROSS REFERENCES State jurisdiction over offenses committed by or against Indians in the Indian country, see section 1162 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1162 of this title; title 25 sections 1725, 2442, 2802. ------DocID 24200 Document 442 of 1438------ -CITE- 18 USC Sec. 1153 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1153. Offenses committed within Indian country -STATUTE- (a) Any Indian who commits against the person or property of another Indian or other person any of the following offenses, namely, murder, manslaughter, kidnaping, maiming, a felony under chapter 109A, incest, assault with intent to commit murder, assault with a dangerous weapon, assault resulting in serious bodily injury, arson, burglary, robbery, and a felony under section 661 of this title within the Indian country, shall be subject to the same law and penalties as all other persons committing any of the above offenses, within the exclusive jurisdiction of the United States. (b) Any offense referred to in subsection (a) of this section that is not defined and punished by Federal law in force within the exclusive jurisdiction of the United States shall be defined and punished in accordance with the laws of the State in which such offense was committed as are in force at the time of such offense. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 758; May 24, 1949, ch. 139, Sec. 26, 63 Stat. 94; Nov. 2, 1966, Pub. L. 89-707, Sec. 1, 80 Stat. 1100; Apr. 11, 1968, Pub. L. 90-284, title V, Sec. 501, 82 Stat. 80; May 29, 1976, Pub. L. 94-297, Sec. 2, 90 Stat. 585; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1009, 98 Stat. 2141; May 15, 1986, Pub. L. 99-303, 100 Stat. 438; Nov. 10, 1986, Pub. L. 99-646, Sec. 87(c)(5), 100 Stat. 3623; Nov. 14, 1986, Pub. L. 99-654, Sec. 3(a)(5), 100 Stat. 3663; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7027, 102 Stat. 4397.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 548, 549 (Mar. 4, 1909, ch. 321, Sec. 328, 329, 35 Stat. 1151; Mar. 3, 1911, ch. 231, Sec. 291, 36 Stat. 1167; June 28, 1932, ch. 284, 47 Stat. 337). Section consolidates said sections 548 and 549 of title 18, U.S.C., 1940 ed. Section 548 of said title covered 10 crimes. Section 549 of said title covered the same except robbery and incest. The 1932 amendment of section 548 of title 18, U.S.C., 1940 ed., constituting the last paragraph of the section, is omitted and section 549 of said title to which it applied likewise is omitted. The revised section therefore suffices to cover prosecution of the specific offenses committed on all reservations as intended by Congress. Words 'Indian country' were substituted for language relating to jurisdiction extending to reservations and rights-of-way, in view of definitive section 1151 of this title. Paul W. Hyatt, president, board of commissioners, Idaho State Bar, recommended that said section 548 be considered with other sections in title 25, Indians, U.S.C., 1940 ed., and revised to insure certainty as to questions of jurisdiction, and punishment on conviction. Insofar as the recommendation came within the scope of this revision, it was followed. The proviso in said section 548 of title 18, U.S.C., 1940 ed., which provided that rape should be defined in accordance with the laws of the State in which the offense was committed, was changed to include burglary so as to clarify the punishment for that offense. Venue provisions of said section 548 of title 18, U.S.C., 1940 ed., are incorporated in section 3242 of this title. Section 549 of title 18, U.S.C., 1940 ed., conferred special jurisdiction on the United States District Court for South Dakota of all crimes of murder, manslaughter, rape, assault with intent to kill, assault with a dangerous weapon, arson, burglary, and larceny committed within the limits of any Indian reservation within the State, whether by or against Indians or non-Indians. The Act of February 2, 1903, 32 Stat. 793, from which said section 549 was derived, accepted the cession by South Dakota of such jurisdiction. The effect of revised sections 1151, 1152, and 1153 of this title is to deprive the United States District Court for the District of South Dakota of jurisdiction of offenses on Indian reservations committed by non-Indians against non-Indians and to restore such jurisdiction to the courts of the State of South Dakota as in other States. This reflects the views of the United States attorney, George Philip, of the district of South Dakota. Minor changes were made in translation and phraseology. 1949 ACT This section (section 26) removes an ambiguity in section 1153 of title 18, U.S.C., by eliminating the provision that the crime of rape in the Indian country is to be punished in accordance with the law of the State where the offense was committed, leaving the definition of the offense to be determined by State law, but providing that punishment of rape of an Indian by an Indian is to be by imprisonment at the discretion of the court. The offense of rape, other than rape of an Indian by an Indian within the Indian country, is covered by section 2031 of title 18, U.S.C., and the offense of burglary by sections 1152 and 3242 of such title. AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 substituted 'maiming, a felony under chapter 109A, incest' for ' 'maiming' and all that follows through 'incest' ', thus clarifying execution of amendment by Pub. L. 99-646 and Pub. L. 99-654 but resulting in no change in text. See 1986 Amendment note below. 1986 - Pub. L. 99-646 and Pub. L. 99-654 which directed that section be amended identically by substituting in first par. 'a felony under chapter 109A,' for 'rape, involuntary sodomy, carnal knowledge of any female, not his wife, who has not attained the age of sixteen years, assault with intent to commit rape,' and by striking out in second and third pars. ', involuntary sodomy,' was executed by making the substitution in subsec. (a) for 'rape, involuntary sodomy, felonious sexual molestation of a minor, carnal knowledge of any female, not his wife, who has not attained the age of sixteen years, assault with intent to commit rape,' to reflect the probable intent of Congress in view of prior amendment of this section by Pub. L. 99-303, but amendment to second and third pars. could not be executed because such pars. were struck out by Pub. L. 99-303. Pub. L. 99-303 inserted section catchline which had been eliminated by general amendment by section 1009 of Pub. L. 98-473, designated first par. as subsec. (a) and inserted 'felonious sexual molestation of a minor,', struck out second par. which provided that, as used in this section, the offenses of burglary, involuntary sodomy, and incest be defined and punished in accordance with the laws of the State in which such offense was committed as are in force at the time of such offense, and struck out third par. and restated the provisions thereof in a new subsec. (b), substituting 'Any offense referred to in subsection (a) of this section that is' for 'In addition to the offenses of burglary, involuntary sodomy, and incest, any other of the above offenses which are'. 1984 - Pub. L. 98-473 amended section generally, inserting offenses of maiming, involuntary sodomy and a felony committed under section 661 of this title and striking out reference to larceny in first par., and inserting ', involuntary sodomy,' after 'burglary' in third par. 1976 - Pub. L. 94-297 made changes in phraseology, added offense of kidnapping to the enumerated list of offenses subjecting any Indian to the same laws and penalties as all other persons, struck out applicability to assault with a dangerous weapon and assault resulting in serious bodily injury from paragraph covering the offenses of burglary and incest only, and substituted paragraph, relating to offenses in addition to offenses of burglary and incest, for paragraph relating to offenses of rape and assault with intent to commit rape. 1968 - Pub. L. 90-284 inserted offense of assault resulting in serious bodily injury. 1966 - Pub. L. 89-707 inserted offenses of carnal knowledge and assault with intent to commit rape, defined and proscribed the punishment for assault with intent to commit rape in accordance with the laws of the State in which the offense was committed, and required assault with a dangerous weapon and incest to be defined and punished in accordance with the laws of the State in which the offense was committed. 1949 - Act May 24, 1949, struck out provision that the crime of rape is to be punished in accordance with the law of the State where the offense was committed and in lieu inserted provision leaving punishment up to the discretion of the court. EFFECTIVE DATE OF 1986 AMENDMENTS Amendments by Pub. L. 99-646 and Pub. L. 99-654 effective, respectively, 30 days after Nov. 10, 1986, and 30 days after Nov. 14, 1986, see section 87(e) of Pub. L. 99-646 and section 4 of Pub. L. 99-654, set out as an Effective Date note under section 2241 of this title. -CROSS- CROSS REFERENCES Jurisdiction - Conferred on State of Kansas, see section 3243 of this title. Offenses, see section 3242 of this title. State jurisdiction over offenses committed by or against Indians in the Indian country, see section 1162 of this title. Wire or oral communications, authorization for interception, to provide evidence of murder or robbery, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1162, 3242, 3551 of this title; title 25 sections 1301, 1725, 2802. ------DocID 24201 Document 443 of 1438------ -CITE- 18 USC Sec. 1154 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1154. Intoxicants dispensed in Indian country -STATUTE- (a) Whoever sells, gives away, disposes of, exchanges, or barters any malt, spirituous, or vinous liquor, including beer, ale, and wine, or any ardent or other intoxicating liquor of any kind whatsoever, except for scientific, sacramental, medicinal or mechanical purposes, or any essence, extract, bitters, preparation, compound, composition, or any article whatsoever, under any name, label, or brand, which produces intoxication, to any Indian to whom an allotment of land has been made while the title to the same shall be held in trust by the Government, or to any Indian who is a ward of the Government under charge of any Indian superintendent, or to any Indian, including mixed bloods, over whom the Government, through its departments, exercises guardianship, and whoever introduces or attempts to introduce any malt, spirituous, or vinous liquor, including beer, ale, and wine, or any ardent or intoxicating liquor of any kind whatsoever into the Indian country, shall, for the first offense, be fined not more than $500 or imprisoned not more than one year, or both; and, for each subsequent offense, be fined not more than $2,000 or imprisoned not more than five years, or both. (b) It shall be a sufficient defense to any charge of introducing or attempting to introduce ardent spirits, ale, beer, wine, or intoxicating liquors into the Indian country that the acts charged were done under authority, in writing, from the Department of the Army or any officer duly authorized thereunto by the Department of the Army, but this subsection shall not bar the prosecution of any officer, soldier, sutler or storekeeper, attache, or employee of the Army of the United States who barters, donates, or furnishes in any manner whatsoever liquors, beer, or any intoxicating beverage whatsoever to any Indian. (c) The term 'Indian country' as used in this section does not include fee-patented lands in non-Indian communities or rights-of-way through Indian reservations, and this section does not apply to such lands or rights-of-way in the absence of a treaty or statute extending the Indian liquor laws thereto. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 758; May 24, 1949, ch. 139, Sec. 27, 63 Stat. 94.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 241, 242, 244a, 249, 254 of title 25, U.S.C., 1940 ed., Indians (R.S. Sec. 2139; Feb. 27, 1877, ch. 69, Sec. 1, 19 Stat. 244; July 4, 1884, ch. 180, Sec. 1, 23 Stat. 94; July 23, 1892, ch. 234, 27 Stat. 260; Mar. 2, 1917, ch. 146, Sec. 17, 39 Stat. 983; June 13, 1932, ch. 245, 47 Stat. 302; Mar. 5, 1934, ch. 43, 48 Stat. 396; June 27, 1934, ch. 846, 48 Stat. 1245; June 15, 1938, ch. 435, Sec. 1, 52 Stat. 696). Section consolidates sections 241, 242, 244a, and 249 of title 25, U.S.C., 1940 ed., Indians. The portion of section 241 of said title which defined the substantive offense became subsection (a); the portion relating to the scope of the term 'Indian country' was omitted as unnecessary in view of definition of 'Indian country' in section 1151 of this title; the portion of section 241 of said title excepting liquors introduced by the War Department became subsection (c), as limited by section 249 of said title; the portion respecting making complaint in county of offense, and with reference to arraignment, was omitted as covered by rule 5 of the Federal Rules of Criminal Procedure; and the remainder of section 241 of said title was incorporated in section 1156 of this title. Section 254 of title 25, U.S.C., 1940 ed., Indians, was omitted as covered by this section and section 1156 of this title. That section was enacted in 1934 and excluded from the Indian liquor laws lands outside reservations where the land was no longer held by Indians under a trust patent or a deed or patent containing restrictions against alienation. Such enactment was prior to the June 15, 1938, amendment of section 241 of title 25, U.S.C., 1940 ed., Indians, in which the term 'Indian country' was defined as including allotments where the title was held in trust by the Government or where it was inalienable without the consent of the United States. This provision, by implication, excluded cases where there was no trust or restriction on alienation and thereby achieved the same result as section 254 of title 25, U.S.C., 1940 ed., Indians. That amendment also repealed the act of Jan. 30, 1897, referred to in section 254 of title 25, U.S.C., 1940 ed., Indians. Insofar as the reference in section 254 of said title to 'special Indian liquor laws' included section 244 of title 25, U.S.C., 1940 ed., Indians, the definition of Indian country in section 1151 of this title covers section 254 of title 25, U.S.C., 1940 ed., Indians. Words 'or agent' were deleted as there have been no Indian agents since 1908. See section 64 of title 25, U.S.C., 1940 ed., Indians, and note thereunder. Mandatory punishment provisions were rephrased in the alternative and provision for commitment for nonpayment of fine was deleted. This change was also recommended by United States District Judge T. Blake Kennedy on the ground that, otherwise, section would be practically meaningless since, in most cases, offenders cannot pay a fine. The exception of intoxicating liquor for scientific, sacramental, medicinal or mechanical purposes was inserted for the same reason that makes this exception appropriate to section 1262 of this title. Minor changes were made in phraseology. 1949 ACT Subsection (a) of this section (section 27(a)) substitutes 'Department of the Army' for 'War Department', in subsection (b) of section 1154 of title 18, U.S.C., to conform to such redesignation by act July 26, 1947 (ch. 343, title 11, Sec. 205(a), 61 Stat. 501 (5 U.S.C., 1946 ed., Sec. 181-1)). Subsection (b) of this section (section 27(b)) adds subsection (c) to such section 1154 in order to conform it and section 1156 more closely to the laws relating to intoxicating liquor in the Indian country as they have heretofore been construed. AMENDMENTS 1949 - Subsec. (b). Act May 24, 1949, Sec. 27(a), substituted 'Department of the Army' for 'War Department'. Subsec. (c). Act May 24, 1949, Sec. 27(b), added subsec. (c). -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of the Interior and functions of all agencies and employees of such Department, with two exceptions, transferred to Secretary of the Interior, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 3 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3174, 64 Stat. 1262, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Application of Indian liquor laws, see section 1161 of this title. Indian country, general definition, see section 1151 of this title. Possession as prima facie evidence, see section 3488 of this title. Searches, seizures, and forfeitures; Indians as competent witnesses, see section 3113 of this title. Seizure and forfeiture of vehicles, see section 3669 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1151, 1161, 3113 of this title; title 25 section 1725. ------DocID 24202 Document 444 of 1438------ -CITE- 18 USC Sec. 1155 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1155. Intoxicants dispensed on school site -STATUTE- Whoever, on any tract of land in the former Indian country upon which is located any Indian school maintained by or under the supervision of the United States, manufactures, sells, gives away, or in any manner, or by any means furnishes to anyone, either for himself or another, any vinous, malt, or fermented liquors, or any other intoxicating drinks of any kind whatsoever, except for scientific, sacramental, medicinal or mechanical purposes, whether medicated or not, or who carries, or in any manner has carried, into such area any such liquors or drinks, or who shall be interested in such manufacture, sale, giving away, furnishing to anyone, or carrying into such area any of such liquors or drinks, shall be fined not more than $500 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 758.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 241a, 244a, of title 25, U.S.C., 1940 ed., Indians (Mar. 1, 1895, ch. 145, Sec. 8, 28 Stat. 697; Mar. 5, 1934, ch. 43, 48 Stat. 396.) Section consolidates sections 241a and 244a of title 25, U.S.C., 1940 ed., Indians. The effect of section 244a of said title in repealing section 241a of said title, except as to lands upon which Indian schools are maintained, was to continue prohibiting the dispensing of liquor in such areas. The words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. The minimum punishment provision was omitted to conform to the policy adopted in revision of the 1909 Criminal Code. Mandatory punishment provision was rephrased in the alternative. The exception of intoxicating liquor for scientific, sacramental, medicinal or mechanical purposes was inserted for the same reason that makes this exception appropriate to section 1262 of this title. Minor changes were made in phraseology. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 25 section 1725. ------DocID 24203 Document 445 of 1438------ -CITE- 18 USC Sec. 1156 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1156. Intoxicants possessed unlawfully -STATUTE- Whoever, except for scientific, sacramental, medicinal or mechanical purposes, possesses intoxicating liquors in the Indian country or where the introduction is prohibited by treaty or an Act of Congress, shall, for the first offense, be fined not more than $500 or imprisoned not more than one year, or both; and, for each subsequent offense, be fined not more than $2,000 or imprisoned not more than five years, or both. The term 'Indian country' as used in this section does not include fee-patented lands in non-Indian communities or rights-of-way through Indian reservations, and this section does not apply to such lands or rights-of-way in the absence of a treaty or statute extending the Indian liquor laws thereto. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 759; May 24, 1949, ch. 139, Sec. 28, 63 Stat. 94.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 241, 244, 244a, 254 of title 25, U.S.C., 1940 ed., Indians (R.S. 2139; Feb. 27, 1877, ch. 69, Sec. 1, 19 Stat. 244; July 23, 1892, ch. 234, 27 Stat. 260; May 25, 1918, ch. 86, Sec. 1, 40 Stat. 563; June 30, 1919, ch. 4, Sec. 1, 41 Stat. 4; Mar. 5, 1934, ch. 43, 48 Stat. 396; June 27, 1934, ch. 846, 48 Stat. 1245; June 15, 1938, ch. 435, Sec. 1, 52 Stat. 696). The revision of section 244 of title 25, U.S.C., 1940 ed., Indians, conforms with the effect thereon of sections 241, 244a, and 254 of said title. The provisions relating to scope of term 'Indian country' were omitted as unnecessary in view of definition of 'Indian country' in section 1151 of this title. Mandatory punishment provisions were rephrased in the alternative and provision for commitment for nonpayment of fine was deleted. Such change was also recommended by United States District Judge T. Blake Kennedy. (See reviser's note under section 1154 of this title.) The exception of intoxicating liquor for scientific, sacramental, medicinal or mechanical purposes was inserted for the same reason that makes this exception appropriate to section 1262 of this title. Minor changes were made in phraseology. 1949 ACT This section (section 28) adds to section 1156 of title 18, U.S.C., a paragraph to conform this section and section 1154 of such title more closely to the laws relating to intoxicating liquors in the Indian country as they have been heretofore construed. AMENDMENTS 1949 - Act May 24, 1949, inserted last par. -CROSS- CROSS REFERENCES Application of Indian liquor laws, see section 1161 of this title. Indian country defined, see section 1151 of this title. Possession as prima facie evidence, see section 3488 of this title. Searches, seizures, and forfeitures; Indians as competent witnesses, see section 3113 of this title. Seizure and forfeiture of vehicles, see section 3669 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1151, 1161, 3113 of this title; title 25 section 1725. ------DocID 24204 Document 446 of 1438------ -CITE- 18 USC Sec. 1157 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- (Sec. 1157. Repealed. Pub. L. 85-86, July 10, 1957, 71 Stat. 277) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 759; May 24, 1949, ch. 139, Sec. 29, 63 Stat. 94; Aug. 15, 1953, ch. 506, Sec. 2(a), 67 Stat. 590, prohibited purchase of Indian-owned livestock subject to unpaid loans from Federal revolving fund or from tribal loan funds. ------DocID 24205 Document 447 of 1438------ -CITE- 18 USC Sec. 1158 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1158. Counterfeiting Indian Arts and Crafts Board trade mark -STATUTE- Whoever counterfeits or colorably imitates any Government trade mark used or devised by the Indian Arts and Crafts Board in the Department of the Interior as provided in section 305a of Title 25, or, except as authorized by the Board, affixes any such Government trade mark, or knowingly, willfully, and corruptly affixes any reproduction, counterfeit, copy, or colorable imitation thereof upon any products, or to any labels, signs, prints, packages, wrappers, or receptacles intended to be used upon or in connection with the sale of such products; or Whoever knowingly makes any false statement for the purpose of obtaining the use of any such Government trade mark - Shall (1) in the case of a first violation, if an individual, be fined not more than $250,000 or imprisoned not more than five years, or both, and, if a person other than an individual, be fined not more than $1,000,000; and (2) in the case of subsequent violations, if an individual, be fined not more than $1,000,000 or imprisoned not more than fifteen years, or both, and, if a person other than an individual, be fined not more than $5,000,000; and (3) shall be enjoined from further carrying on the act or acts complained of. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 759; Nov. 29, 1990, Pub. L. 101-644, title I, Sec. 106, 104 Stat. 4665.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 305d of title 25, U.S.C., 1940 ed., Indians (Aug. 27, 1935, ch. 748, Sec. 5, 49 Stat. 892). The reference to the offense as a misdemeanor was omitted as unnecessary in view of the definition of misdemeanor in section 1 of this title. The words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Maximum fine was changed from $2,000 to $500 to bring the offense within the category of petty offenses defined by section 1 of this title. (See reviser's note under section 1157 of this title.) Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-644, in third undesignated par., added cls. (1) and (2), struck out 'be fined not more than $500 or imprisoned not more than six months, or both; and' after 'Shall', and designated remaining provision at end as cl. (3). -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of the Interior and functions of all agencies and employees of such Department, with two exceptions, transferred to Secretary of the Interior, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 3 of 1950 Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3174, 64 Stat. 1262, set out in the Appendix to Title 5, Government Organization and Employees. ------DocID 24206 Document 448 of 1438------ -CITE- 18 USC Sec. 1159 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1159. Misrepresentation of Indian produced goods and products -STATUTE- (a) It is unlawful to offer or display for sale or sell any good, with or without a Government trademark, in a manner that falsely suggests it is Indian produced, an Indian product, or the product of a particular Indian or Indian tribe or Indian arts and crafts organization, resident within the United States. (b) Whoever knowingly violates subsection (a) shall - (1) in the case of a first violation, if an individual, be fined not more than $250,000 or imprisoned not more than five years, or both, and, if a person other than an individual, be fined not more than $1,000,000; and (2) in the case of subsequent violations, if an individual, be fined not more than $1,000,000 or imprisoned not more than fifteen years, or both, and, if a person other than an individual, be fined not more than $5,000,000. (c) As used in this section - (1) the term 'Indian' means any individual who is a member of an Indian tribe, or for the purposes of this section is certified as an Indian artisan by an Indian tribe; (2) the terms 'Indian product' and 'product of a particular Indian tribe or Indian arts and crafts organization' has the meaning given such term in regulations which may be promulgated by the Secretary of the Interior; (3) the term 'Indian tribe' means - (A) any Indian tribe, band, nation, Alaska Native village, or other organized group or community which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians; or (B) any Indian group that has been formally recognized as an Indian tribe by a State legislature or by a State commission or similar organization legislatively vested with State tribal recognition authority; and (4) the term 'Indian arts and crafts organization' means any legally established arts and crafts marketing organization composed of members of Indian tribes. (d) In the event that any provision of this section is held invalid, it is the intent of Congress that the remaining provisions of this section shall continue in full force and effect. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 759; Nov. 29, 1990, Pub. L. 101-644, title I, Sec. 104(a), 104 Stat. 4663.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 305e of title 25, U.S.C., 1940 ed., Indians (Aug. 27, 1935, ch. 748, Sec. 6, 49 Stat. 893). The reference to the offense as a misdemeanor was omitted as unnecessary in view of the definition of misdemeanor in section 1 of this title. The last paragraph of section 305e of title 25, U.S.C., 1940 ed., relating to duty of district attorney to prosecute violations of such section, will be incorporated in title 28, U.S. Code. Maximum fine of $2,000 was changed to $500 to bring the offense within the category of petty offenses defined by section 1 of this title. (See reviser's note under section 1157 of this title.) Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-644 substituted 'Misrepresentation of Indian produced goods and products' for 'Misrepresentation in sale of products' in section catchline and amended text generally. Prior to amendment, text read as follows: 'Whoever willfully offers or displays for sale any goods, with or without any Government trade mark, as Indian products or Indian products of a particular Indian tribe or group, resident within the United States or the Territory of Alaska, when such person knows such goods are not Indian products or are not Indian products of the particular Indian tribe or group, shall be fined not more than $500 or imprisoned not more than six months, or both.' CERTIFICATION OF INDIAN ARTISANS For purposes of this section, an Indian tribe may not impose fee to certify individual as Indian artisan, with 'Indian tribe' having same meaning as in subsec. (c)(3) of this section, see section 107 of Pub. L. 101-644, set out as a note under section 305e of Title 25, Indians. ADMISSION OF ALASKA AS STATE Admission of Alaska into the Union was accomplished Jan. 3, 1959, on issuance of Proc. No. 3269, Jan. 3, 1959 24 F.R. 81, 73 Stat. c16, as required by sections 1 and 8(c) of Pub. L. 85-508, July 7, 1958, 72 Stat. 339, set out as notes preceding section 21 of Title 48, Territories and Insular Possessions. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 25 section 305d. ------DocID 24207 Document 449 of 1438------ -CITE- 18 USC Sec. 1160 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1160. Property damaged in committing offense -STATUTE- Whenever a white person, in the commission of an offense within the Indian country takes, injures or destroys the property of any friendly Indian the judgment of conviction shall include a sentence that the defendant pay to the Indian owner a sum equal to twice the just value of the property so taken, injured, or destroyed. If such offender shall be unable to pay a sum at least equal to the just value or amount, whatever such payment shall fall short of the same shall be paid out of the Treasury of the United States. If such offender cannot be apprehended and brought to trial, the amount of such property shall be paid out of the Treasury. But no Indian shall be entitled to any payment out of the Treasury of the United States, for any such property, if he, or any of the nation to which he belongs, have sought private revenge, or have attempted to obtain satisfaction by any force or violence. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 759.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 227, 228 of title 25, U.S.C., 1940 ed., Indians (R.S. 2154, 2155). Section consolidates said sections 227 and 228 of title 25, U.S.C., 1940 ed., Indians, with such changes in phraseology as were necessary to effect consolidation. The phrase 'or whose person was injured,' which followed the words 'friendly Indian to whom the property may belong,' was deleted as meaningless. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 25 section 1725. ------DocID 24208 Document 450 of 1438------ -CITE- 18 USC Sec. 1161 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1161. Application of Indian liquor laws -STATUTE- The provisions of sections 1154, 1156, 3113, 3488, and 3669, of this title, shall not apply within any area that is not Indian country, nor to any act or transaction within any area of Indian country provided such act or transaction is in conformity both with the laws of the State in which such act or transaction occurs and with an ordinance duly adopted by the tribe having jurisdiction over such area of Indian country, certified by the Secretary of the Interior, and published in the Federal Register. -SOURCE- (Added Aug. 15, 1953, ch. 502, Sec. 2, 67 Stat. 586, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 223(b), 98 Stat. 2028.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 substituted '3669' for '3618'. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 25 section 1725. ------DocID 24209 Document 451 of 1438------ -CITE- 18 USC Sec. 1162 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1162. State jurisdiction over offenses committed by or against Indians in the Indian country -STATUTE- (a) Each of the States or Territories listed in the following table shall have jurisdiction over offenses committed by or against Indians in the areas of Indian country listed opposite the name of the State or Territory to the same extent that such State or Territory has jurisdiction over offenses committed elsewhere within the State or Territory, and the criminal laws of such State or Territory shall have the same force and effect within such Indian country as they have elsewhere within the State or Territory: --------------------------------------------------------------------- State or Territory of Indian country affected --------------------------------------------------------------------- Alaska All Indian country within the State, except that on Annette Islands, the Metlakatla Indian community may exercise jurisdiction over offenses committed by Indians in the same manner in which such jurisdiction may be exercised by Indian tribes in Indian country over which State jurisdiction has not been extended. California All Indian country within the State. Minnesota All Indian country within the State, except the Red Lake Reservation. Nebraska All Indian country within the State. Oregon All Indian country within the State, except the Warm Springs Reservation. Wisconsin All Indian country within the State. ------------------------------- (b) Nothing in this section shall authorize the alienation, encumbrance, or taxation of any real or personal property, including water rights, belonging to any Indian or any Indian tribe, band, or community that is held in trust by the United States or is subject to a restriction against alienation imposed by the United States; or shall authorize regulation of the use of such property in a manner inconsistent with any Federal treaty, agreement, or statute or with any regulation made pursuant thereto; or shall deprive any Indian or any Indian tribe, band, or community of any right, privilege, or immunity afforded under Federal treaty, agreement, or statute with respect to hunting, trapping, or fishing or the control, licensing, or regulation thereof. (c) The provisions of sections 1152 and 1153 of this chapter shall not be applicable within the areas of Indian country listed in subsection (a) of this section as areas over which the several States have exclusive jurisdiction. -SOURCE- (Added Aug. 15, 1953, ch. 505, Sec. 2, 67 Stat. 588, and amended Aug. 24, 1954, ch. 910, Sec. 1, 68 Stat. 795; Aug. 8, 1958, Pub. L. 85-615, Sec. 1, 72 Stat. 545; Nov. 25, 1970, Pub. L. 91-523, Sec. 1, 2, 84 Stat. 1358.) -MISC1- AMENDMENTS 1970 - Subsec. (a). Pub. L. 91-523, Sec. 1, substituted provisions relating to the jurisdiction of the State of Alaska over offenses by or against Indians in the Indian country, and certain excepted areas, for provisions relating to the jurisdiction of the Territory of Alaska over offenses by or against Indians in the Indian country. Subsec. (c). Pub. L. 91-523, Sec. 2, inserted 'as areas over which the several States have exclusive jurisdiction' after 'subsection (a) of this section'. 1958 - Subsec. (a). Pub. L. 85-615 gave Alaska jurisdiction over offenses committed by or against Indians in all Indian country within the Territory of Alaska. 1954 - Subsec. (a). Act Aug. 24, 1954, brought the Menominee Tribe within the provisions of this section. ADMISSION OF ALASKA AS STATE Admission of Alaska into the Union was accomplished Jan. 3, 1959, on issuance of Proc. No. 3269, Jan. 3, 1959 24 F.R. 81, 73 Stat. c16, as required by sections 1 and 8(c) of Pub. L. 85-508, July 7, 1958, 72 Stat. 339, set out as notes preceding section 21 of Title 48, Territories and Insular Possessions. -CROSS- CROSS REFERENCES Amendment of State Constitutions to remove legal impediments and effective date thereof, see note set out under section 1360 of Title 28, Judiciary and Judicial Procedure. Consent of United States to other States to assume jurisdiction, see note set out under section 1360 of Title 28. Retrocession of criminal jurisdiction by State, see section 1323 of Title 25, Indians. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 25 sections 566e, 711e, 713f, 714e, 715d, 1300b-15, 1300f, 1300i-1, 1323, 1747, 1772d, 1918, 2433. ------DocID 24210 Document 452 of 1438------ -CITE- 18 USC Sec. 1163 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1163. Embezzlement and theft from Indian tribal organizations -STATUTE- Whoever embezzles, steals, knowingly converts to his use or the use of another, willfully misapplies, or willfully permits to be misapplied, any of the moneys, funds, credits, goods, assets, or other property belonging to any Indian tribal organization or intrusted to the custody or care of any officer, employee, or agent of an Indian tribal organization; or Whoever, knowing any such moneys, funds, credits, goods, assets, or other property to have been so embezzled, stolen, converted, misapplied or permitted to be misapplied, receives, conceals, or retains the same with intent to convert it to his use or the use of another - Shall be fined not more than $5,000, or imprisoned not more than five years, or both; but if the value of such property does not exceed the sum of $100, he shall be fined not more than $1,000, or imprisoned not more than one year, or both. As used in this section, the term 'Indian tribal organization' means any tribe, band, or community of Indians which is subject to the laws of the United States relating to Indian affairs or any corporation, association, or group which is organized under any of such laws. -SOURCE- (Added Aug. 1, 1956, ch. 822, Sec. 2, 70 Stat. 792.) ------DocID 24211 Document 453 of 1438------ -CITE- 18 USC Sec. 1164 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1164. Destroying boundary and warning signs -STATUTE- Whoever willfully destroys, defaces, or removes any sign erected by an Indian tribe, or a Government agency (1) to indicate the boundary of an Indian reservation or of any Indian country as defined in section 1151 of this title or (2) to give notice that hunting, trapping, or fishing is not permitted thereon without lawful authority or permission, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (Added Pub. L. 86-634, Sec. 1, July 12, 1960, 74 Stat. 469.) ------DocID 24212 Document 454 of 1438------ -CITE- 18 USC Sec. 1165 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1165. Hunting, trapping, or fishing on Indian land -STATUTE- Whoever, without lawful authority or permission, willfully and knowingly goes upon any land that belongs to any Indian or Indian tribe, band, or group and either are held by the United States in trust or are subject to a restriction against alienation imposed by the United States, or upon any lands of the United States that are reserved for Indian use, for the purpose of hunting, trapping, or fishing thereon, or for the removal of game, peltries, or fish therefrom, shall be fined not more than $200 or imprisoned not more than ninety days, or both, and all game, fish, and peltries in his possession shall be forfeited. -SOURCE- (Added Pub. L. 86-634, Sec. 2, July 12, 1960, 74 Stat. 469.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 25 section 1725. ------DocID 24213 Document 455 of 1438------ -CITE- 18 USC Sec. 1166 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1166. Gambling in Indian country -STATUTE- (a) Subject to subsection (c), for purposes of Federal law, all State laws pertaining to the licensing, regulation, or prohibition of gambling, including but not limited to criminal sanctions applicable thereto, shall apply in Indian country in the same manner and to the same extent as such laws apply elsewhere in the State. (b) Whoever in Indian country is guilty of any act or omission involving gambling, whether or not conducted or sanctioned by an Indian tribe, which, although not made punishable by any enactment of Congress, would be punishable if committed or omitted within the jurisdiction of the State in which the act or omission occurred, under the laws governing the licensing, regulation, or prohibition of gambling in force at the time of such act or omission, shall be guilty of a like offense and subject to a like punishment. (c) For the purpose of this section, the term 'gambling' does not include - (1) class I gaming or class II gaming regulated by the Indian Gaming Regulatory Act, or (2) class III gaming conducted under a Tribal-State compact approved by the Secretary of the Interior under section 11(d)(8) of the Indian Gaming Regulatory Act that is in effect. (d) The United States shall have exclusive jurisdiction over criminal prosecutions of violations of State gambling laws that are made applicable under this section to Indian country, unless an Indian tribe pursuant to a Tribal-State compact approved by the Secretary of the Interior under section 11(d)(8) of the Indian Gaming Regulatory Act, or under any other provision of Federal law, has consented to the transfer to the State of criminal jurisdiction with respect to gambling on the lands of the Indian tribe. -SOURCE- (Added Pub. L. 100-497, Sec. 23, Oct. 17, 1988, 102 Stat. 2487.) -REFTEXT- REFERENCES IN TEXT The Indian Gaming Regulatory Act, referred to in subsec. (c), is Pub. L. 100-497, Oct. 17, 1988, 102 Stat. 2467, which enacted sections 1166 to 1168 of this title and chapter 25 (Sec. 2701 et seq.) of Title 25, Indians. Section 11(d)(8) of such Act is classified to section 2710(d)(8) of Title 25. For complete classification of this Act to the Code, see Short Title note set out under section 2701 of Title 25 and Tables. ------DocID 24214 Document 456 of 1438------ -CITE- 18 USC Sec. 1167 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1167. Theft from gaming establishments on Indian lands -STATUTE- (a) Whoever abstracts, purloins, willfully misapplies, or takes and carries away with intent to steal, any money, funds, or other property of a value of $1,000 or less belonging to an establishment operated by or for or licensed by an Indian tribe pursuant to an ordinance or resolution approved by the National Indian Gaming Commission shall be fined not more than $100,000 or be imprisoned for not more than one year, or both. (b) Whoever abstracts, purloins, willfully misapplies, or takes and carries away with intent to steal, any money, funds, or other property of a value in excess of $1,000 belonging to a gaming establishment operated by or for or licensed by an Indian tribe pursuant to an ordinance or resolution approved by the National Indian Gaming Commission shall be fined not more than $250,000, or imprisoned for not more than ten years, or both. -SOURCE- (Added Pub. L. 100-497, Sec. 23, Oct. 17, 1988, 102 Stat. 2487.) ------DocID 24215 Document 457 of 1438------ -CITE- 18 USC Sec. 1168 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1168. Theft by officers or employees of gaming establishments on Indian lands -STATUTE- (a) Whoever, being an officer, employee, or individual licensee of a gaming establishment operated by or for or licensed by an Indian tribe pursuant to an ordinance or resolution approved by the National Indian Gaming Commission, embezzles, abstracts, purloins, willfully misapplies, or takes and carries away with intent to steal, any moneys, funds, assets, or other property of such establishment of a value of $1,000 or less shall be fined not more than $250,000 or imprisoned not more than five years, or both; (b) Whoever, being an officer, employee, or individual licensee of a gaming establishment operated by or for or licensed by an Indian tribe pursuant to an ordinance or resolution approved by the National Indian Gaming Commission, embezzles, abstracts, purloins, willfully misapplies, or takes and carries away with intent to steal, any moneys, funds, assets, or other property of such establishment of a value in excess of $1,000 shall be fined not more than $1,000,000 or imprisoned for not more than twenty years, or both. -SOURCE- (Added Pub. L. 100-497, Sec. 23, Oct. 17, 1988, 102 Stat. 2487, and amended Pub. L. 101-647, title XXXV, Sec. 3537, Nov. 29, 1990, 104 Stat. 4925.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted 'or imprisoned' for 'and be imprisoned for'. ------DocID 24216 Document 458 of 1438------ -CITE- 18 USC Sec. 1169 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1169. Reporting of child abuse -STATUTE- (a) Any person who - (1) is a - (A) physician, surgeon, dentist, podiatrist, chiropractor, nurse, dental hygienist, optometrist, medical examiner, emergency medical technician, paramedic, or health care provider, (B) teacher, school counselor, instructional aide, teacher's aide, teacher's assistant, or bus driver employed by any tribal, Federal, public or private school, (C) administrative officer, supervisor of child welfare and attendance, or truancy officer of any tribal, Federal, public or private school, (D) child day care worker, headstart teacher, public assistance worker, worker in a group home or residential or day care facility, or social worker, (E) psychiatrist, psychologist, or psychological assistant, (F) licensed or unlicensed marriage, family, or child counselor, (G) person employed in the mental health profession, or (H) law enforcement officer, probation officer, worker in a juvenile rehabilitation or detention facility, or person employed in a public agency who is responsible for enforcing statutes and judicial orders; (2) knows, or has reasonable suspicion, that - (A) a child was abused in Indian country, or (B) actions are being taken, or are going to be taken, that would reasonably be expected to result in abuse of a child in Indian country; and (3) fails to immediately report such abuse or actions described in paragraph (2) to the local child protective services agency or local law enforcement agency, shall be fined not more than $5,000 or imprisoned for not more than 6 months or both. (b) Any person who - (1) supervises, or has authority over, a person described in subsection (a)(1), and (2) inhibits or prevents that person from making the report described in subsection (a), shall be fined not more than $5,000 or imprisoned for not more than 6 months or both. (c) For purposes of this section, the term - (1) 'abuse' includes - (A) any case in which - (i) a child is dead or exhibits evidence of skin bruising, bleeding, malnutrition, failure to thrive, burns, fracture of any bone, subdural hematoma, soft tissue swelling, and (ii) such condition is not justifiably explained or may not be the product of an accidental occurrence; and (B) any case in which a child is subjected to sexual assault, sexual molestation, sexual exploitation, sexual contact, or prostitution; (2) 'child' means an individual who - (A) is not married, and (B) has not attained 18 years of age; (3) 'local child protective services agency' means that agency of the Federal Government, of a State, or of an Indian tribe that has the primary responsibility for child protection on any Indian reservation or within any community in Indian country; and (4) 'local law enforcement agency' means that Federal, tribal, or State law enforcement agency that has the primary responsibility for the investigation of an instance of alleged child abuse within the portion of Indian country involved. (d) Any person making a report described in subsection (a) which is based upon their reasonable belief and which is made in good faith shall be immune from civil or criminal liability for making that report. -SOURCE- (Added Pub. L. 101-630, title IV, Sec. 404(a)(1), Nov. 28, 1990, 104 Stat. 4547.) -COD- CODIFICATION Pub. L. 101-630, Sec. 404(a)(1), which directed amendment of this chapter by adding a new section at the end thereof, was executed by adding section 1169 after section 1168 to reflect the probable intent of Congress and intervening amendment by Pub. L. 101-601, adding section 1170. ------DocID 24217 Document 459 of 1438------ -CITE- 18 USC Sec. 1170 -EXPCITE- TITLE 18 PART I CHAPTER 53 -HEAD- Sec. 1170. Illegal Trafficking in Native American Human Remains and Cultural Items -STATUTE- (a) Whoever knowingly sells, purchases, uses for profit, or transports for sale or profit, the human remains of a Native American without the right of possession to those remains as provided in the Native American Graves Protection and Repatriation Act shall be fined in accordance with this title, or imprisoned not more than 12 months, or both, and in the case of a second or subsequent violation, be fined in accordance with this title, or imprisoned not more than 5 years, or both. (b) Whoever knowingly sells, purchases, uses for profit, or transports for sale or profit any Native American cultural items obtained in violation of the Native American Grave Protection and Repatriation Act shall be fined in accordance with this title, imprisoned not more than one year, or both, and in the case of a second or subsequent violation, be fined in accordance with this title, imprisoned not more than 5 years, or both. -SOURCE- (Added Pub. L. 101-601, Sec. 4(a), Nov. 16, 1990, 104 Stat. 3052.) -REFTEXT- REFERENCES IN TEXT The Native American Graves Protection and Repatriation Act, referred to in text, is Pub. L. 101-601, Nov. 16, 1990, 104 Stat. 3048, which is classified principally to chapter 32 (Sec. 3001 et seq.) of Title 25, Indians. For complete classification of this Act to the Code, see Short Title note set out under section 3001 of Title 25 and Tables. ------DocID 24218 Document 460 of 1438------ -CITE- 18 USC CHAPTER 55 -EXPCITE- TITLE 18 PART I CHAPTER 55 -HEAD- CHAPTER 55 - KIDNAPING -MISC1- Sec. 1201. Kidnaping. 1202. Ransom money. 1203. Hostage taking. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 2002(b), Oct. 12, 1984, 98 Stat. 2186, added item 1203. 1972 - Pub. L. 92-539, title II, Sec. 202, Oct. 24, 1972, 86 Stat. 1072, substituted 'Kidnaping' for 'Transportation' in item 1201. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of kidnaping, see section 2516 of this title. ------DocID 24219 Document 461 of 1438------ -CITE- 18 USC Sec. 1201 -EXPCITE- TITLE 18 PART I CHAPTER 55 -HEAD- Sec. 1201. Kidnaping -STATUTE- (a) Whoever unlawfully seizes, confines, inveigles, decoys, kidnaps, abducts, or carries away and holds for ransom or reward or otherwise any person, except in the case of a minor by the parent thereof, when - (1) the person is willfully transported in interstate or foreign commerce; (2) any such act against the person is done within the special maritime and territorial jurisdiction of the United States; (3) any such act against the person is done within the special aircraft jurisdiction of the United States as defined in section 101(38) of the Federal Aviation Act of 1958; (4) the person is a foreign official, an internationally protected person, or an official guest as those terms are defined in section 1116(b) of this title; or (5) the person is among those officers and employees designated in section 1114 of this title and any such act against the person is done while the person is engaged in, or on account of, the performance of official duties, shall be punished by imprisonment for any term of years or for life. (b) With respect to subsection (a)(1), above, the failure to release the victim within twenty-four hours after he shall have been unlawfully seized, confined, inveigled, decoyed, kidnaped, abducted, or carried away shall create a rebuttable presumption that such person has been transported to interstate or foreign commerce. (c) If two or more persons conspire to violate this section and one or more of such persons do any overt act to effect the object of the conspiracy, each shall be punished by imprisonment for any term of years or for life. (d) Whoever attempts to violate subsection (a)(4) or (a)(5) shall be punished by imprisonment for not more than twenty years. (e) If the victim of an offense under subsection (a) is an internationally protected person, the United States may exercise jurisdiction over the offense if the alleged offender is present within the United States, irrespective of the place where the offense was committed or the nationality of the victim or the alleged offender. As used in this subsection, the United States includes all areas under the jurisdiction of the United States including any of the places within the provisions of sections 5 and 7 of this title and section 101(38) of the Federal Aviation Act of 1958, as amended (49 (FOOTNOTE 1) U.S.C. 1301(38)). (FOOTNOTE 1) So in original. Probably should be '49 App.'. (f) In the course of enforcement of subsection (a)(4) and any other sections prohibiting a conspiracy or attempt to violate subsection (a)(4), the Attorney General may request assistance from any Federal, State, or local agency, including the Army, Navy, and Air Force, any statute, rule, or regulation to the contrary notwithstanding. (g) Special Rule for Certain Offenses Involving Children. - (1) To whom applicable. - If - (A) the victim of an offense under this section has not attained the age of eighteen years; and (B) the offender - (i) has attained such age; and (ii) is not - (I) a parent; (II) a grandparent; (III) a brother; (IV) a sister; (V) an aunt; (VI) an uncle; or (VII) an individual having legal custody of the victim; the sentence under this section for such offense shall be subject to paragraph (2) of this subsection. (2) Guidelines. - The United States Sentencing Commission is directed to amend the existing guidelines for the offense of 'kidnapping, abduction, or unlawful restraint,' by including the following additional specific offense characteristics: If the victim was intentionally maltreated (i.e., denied either food or medical care) to a life-threatening degree, increase by 4 levels; if the victim was sexually exploited (i.e., abused, used involuntarily for pornographic purposes) increase by 3 levels; if the victim was placed in the care or custody of another person who does not have a legal right to such care or custody of the child either in exchange for money or other consideration, increase by 3 levels; if the defendant allowed the child to be subjected to any of the conduct specified in this section by another person, then increase by 2 levels. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 760; Aug. 6, 1956, ch. 971, 70 Stat. 1043; Oct. 24, 1972, Pub. L. 92-539, title II, Sec. 201, 86 Stat. 1072; Oct. 8, 1976, Pub. L. 94-467, Sec. 4, 90 Stat. 1998; Nov. 9, 1977, Pub. L. 95-163, Sec. 17(b)(1), 91 Stat. 1286; Oct. 24, 1978, Pub. L. 95-504, Sec. 2(b), 92 Stat. 1705; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1007, 98 Stat. 2139; Nov. 10, 1986, Pub. L. 99-646, Sec. 36, 37(b), 100 Stat. 3599; Nov. 29, 1990, Pub. L. 101-647, title IV, Sec. 401, title XXXV, Sec. 3538, 104 Stat. 4819, 4925.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408a, 408c (June 22, 1932, ch. 271, Sec. 1, 3, 47 Stat. 326; May 18, 1934, ch. 301, 48 Stat. 781, 782). Section consolidates sections 408a and 408c of title 18 U.S.C., 1940 ed. Reference to persons aiding, abetting or causing was omitted as unnecessary because such persons are made principals by section 22 of this title. Words 'upon conviction' were omitted as surplusage, because punishment cannot be imposed until a conviction is secured. Direction as to confinement 'in the penitentiary' was omitted because of section 4082 of this title which commits all prisoners to the custody of the Attorney General. (See reviser's note under section 1 of this title.) The phrase 'for any term of years or for life' was substituted for the words 'for such term of years as the court in its discretion shall determine' which appeared in said section 408a of Title 18, U.S.C., 1940 ed. This change was made in order to remove all doubt as to whether 'term of years' includes life imprisonment. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 101(38) of the Federal Aviation Act of 1958, referred to in subsecs. (a)(3) and (e), is classified to section 1301(38) of the Appendix to Title 49, Transportation. -MISC2- AMENDMENTS 1990 - Subsec. (a)(3). Pub. L. 101-647, Sec. 3538, substituted '101(38)' for '101(36)' and struck out ', as amended (49 U.S.C. 1301(36))' after 'Federal Aviation Act of 1958'. Subsec. (g). Pub. L. 101-647, Sec. 401, added subsec. (g). 1986 - Subsec. (a). Pub. L. 99-646, Sec. 36, substituted 'when - ' for 'when:' in introductory text, substituted 'the person' for 'The person' and 'official duties' for 'his official duties' in par. (5), and aligned the margin of par. (5) with the margins of pars. (1) to (4). Subsec. (d). Pub. L. 99-646, Sec. 37(b), inserted 'or (a)(5)' after 'subsection (a)(4)'. 1984 - Subsec. (a)(5). Pub. L. 98-473 added par. (5). 1978 - Subsec. (a)(3). Pub. L. 95-504 substituted reference to section 101(36) of the Federal Aviation Act of 1958 for reference to section 101(33) of such Act. See References in Text note above. Subsec. (e). Pub. L. 95-504 substituted reference to section 101(38) of the Federal Aviation Act of 1958 for section 101(35) of such Act. 1977 - Subsec. (a)(3). Pub. L. 95-163 substituted reference to section 101(33) of the Federal Aviation Act of 1958 for reference to section 101(32) of such Act. See References in Text note above. Subsec. (e). Pub. L. 95-163 substituted reference to section 101(35) of the Federal Aviation Act of 1958 for reference to section 101(34) of such Act. 1976 - Subsec. (a)(4). Pub. L. 94-467, Sec. 4(a), substituted provision which includes acts committed against an internationally protected person and an official guest as defined in section 1116(b) of this title for provision which included acts committed against an official guest as defined in section 1116(c) of this title. Subsecs. (d) to (f). Pub. L. 94-467, Sec. 4(b), added subsecs. (d) to (f). 1972 - Subsec. (a). Pub. L. 92-539 substituted 'Kidnaping' for 'Transportation' in section catchline and, in subsec. (a), extended the jurisdictional base to include acts committed within the special maritime, territorial, and aircraft jurisdiction of the United States, and to include acts committed against foreign officials and official guests, and struck out provisions relating to death penalty. Subsec. (b). Pub. L. 92-539 inserted reference to subsec. (a)(1). Subsec. (c). Pub. L. 92-539 substituted 'by imprisonment for any term of years or for life' for 'as provided in subsection (a)'. 1956 - Subsec. (b). Act Aug. 6, 1956, substituted 'twenty-four hours' for 'seven days'. SHORT TITLE OF 1984 AMENDMENT Section 2001 of part A (Sec. 2001-2003) of chapter XX of title II of Pub. L. 98-473 provided that: 'This part (enacting section 1203 of this title and provisions set out as a note under section 1203 of this title) may be cited as the 'Act for the Prevention and Punishment of the Crime of Hostage-Taking'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 11, 115, 878, 1202, 1956, 2333 of this title. ------DocID 24220 Document 462 of 1438------ -CITE- 18 USC Sec. 1202 -EXPCITE- TITLE 18 PART I CHAPTER 55 -HEAD- Sec. 1202. Ransom money -STATUTE- Whoever receives, possesses, or disposes of any money or other property, or any portion thereof, which has at any time been delivered as ransom or reward in connection with a violation of section 1201 of this title, knowing the same to be money or property which has been at any time delivered as such ransom or reward, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 760.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408c-1 (June 22, 1932, ch. 271, Sec. 4, as added Jan. 24, 1936, ch. 29, 49 Stat. 1099). Words 'in the penitentiary' after 'imprisoned' were omitted in view of section 4082 of this title committing prisoners to the custody of the Attorney General. (See reviser's note under section 1 of this title.) Minor changes were made in phraseology. ------DocID 24221 Document 463 of 1438------ -CITE- 18 USC Sec. 1203 -EXPCITE- TITLE 18 PART I CHAPTER 55 -HEAD- Sec. 1203. Hostage taking -STATUTE- (a) Except as provided in subsection (b) of this section, whoever, whether inside or outside the United States, seizes or detains and threatens to kill, to injure, or to continue to detain another person in order to compel a third person or a governmental organization to do or abstain from doing any act as an explicit or implicit condition for the release of the person detained, or attempts to do so, shall be punished by imprisonment for any term of years or for life. (b)(1) It is not an offense under this section if the conduct required for the offense occurred outside the United States unless - (A) the offender or the person seized or detained is a national of the United States; (B) the offender is found in the United States; or (C) the governmental organization sought to be compelled is the Government of the United States. (2) It is not an offense under this section if the conduct required for the offense occurred inside the United States, each alleged offender and each person seized or detained are nationals of the United States, and each alleged offender is found in the United States, unless the governmental organization sought to be compelled is the Government of the United States. (c) As used in this section, the term 'national of the United States' has the meaning given such term in section 101(a)(22) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(22)). -SOURCE- (Added Pub. L. 98-473, title II, Sec. 2002(a), Oct. 12, 1984, 98 Stat. 2186, and amended Pub. L. 100-690, title VII, Sec. 7028, Nov. 18, 1988, 102 Stat. 4397.) -MISC1- AMENDMENTS 1988 - Subsec. (c). Pub. L. 100-690 substituted '(c) As' for '(C) As'. EFFECTIVE DATE Section 2003 of part A (Sec. 2001-2003) of chapter XX of title II of Pub. L. 98-473 provided that: 'This part and the amendments made by this part (enacting this section and provisions set out as a note under section 1201 of this title) shall take effect on the later of - '(1) the date of the enactment of this joint resolution (Oct. 12, 1984); or '(2) the date the International Convention Against the Taking of Hostages has come into force and the United States has become a party to that convention (the convention entered into force June 6, 1983; and entered into force for the United States Jan. 6, 1985).' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1956, 2333, 2516 of this title. ------DocID 24222 Document 464 of 1438------ -CITE- 18 USC CHAPTER 57 -EXPCITE- TITLE 18 PART I CHAPTER 57 -HEAD- CHAPTER 57 - LABOR -MISC1- Sec. 1231. Transportation of strikebreakers. (1232. Repealed.) AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3539, Nov. 29, 1990, 104 Stat. 4925, struck out item 1232 'Enticement of workman from armory or arsenal'. ------DocID 24223 Document 465 of 1438------ -CITE- 18 USC Sec. 1231 -EXPCITE- TITLE 18 PART I CHAPTER 57 -HEAD- Sec. 1231. Transportation of strikebreakers -STATUTE- Whoever willfully transports in interstate or foreign commerce any person who is employed or is to be employed for the purpose of obstructing or interfering by force or threats with (1) peaceful picketing by employees during any labor controversy affecting wages, hours, or conditions of labor, or (2) the exercise by employees of any of the rights of self-organization or collective bargaining; or Whoever is knowingly transported or travels in interstate or foreign commerce for any of the purposes enumerated in this section - Shall be fined not more than $5,000 or imprisoned not more than two years, or both. This section shall not apply to common carriers. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 760; May 24, 1949, ch. 139, Sec. 30, 63 Stat. 94.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 407a (June 24, 1936, ch. 746, 49 Stat. 1899; June 29, 1938, ch. 813, 52 Stat. 1242). Language designating offense as felony was omitted in uniformity with definitive section 1 of this title. (See reviser's note under section 550 of this title.) Words 'and shall, upon conviction' were omitted as surplusage since punishment cannot be imposed until a conviction is secured. Reference to persons aiding, abetting or causing was omitted as such persons are made principals by section 2 of this title. Changes were made in phraseology and arrangement, but without change of substance. 1949 ACT This section (section 30) corrects a typographical error in section 1231 of title 18, U.S.C. AMENDMENTS 1949 - Act May 24, 1949, substituted 'or travels in' for 'in or travels' in second par. ------DocID 24224 Document 466 of 1438------ -CITE- 18 USC Sec. 1232 -EXPCITE- TITLE 18 PART I CHAPTER 57 -HEAD- (Sec. 1232. Repealed. Aug. 10, 1956, ch. 1041, Sec. 53, 70A Stat. 641) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 761, prohibited enticement of workman from armory or arsenal. ------DocID 24225 Document 467 of 1438------ -CITE- 18 USC CHAPTER 59 -EXPCITE- TITLE 18 PART I CHAPTER 59 -HEAD- CHAPTER 59 - LIQUOR TRAFFIC -MISC1- Sec. 1261. Enforcement, regulations, and scope. 1262. Transportation into State prohibiting sale. 1263. Marks and labels on packages. 1264. Delivery to consignee. 1265. C.O.D. shipments prohibited. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3615 of this title. ------DocID 24226 Document 468 of 1438------ -CITE- 18 USC Sec. 1261 -EXPCITE- TITLE 18 PART I CHAPTER 59 -HEAD- Sec. 1261. Enforcement, regulations, and scope -STATUTE- (a) The Secretary of the Treasury shall enforce the provisions of this chapter. Regulations to carry out its provisions shall be prescribed by the Commissioner of Internal Revenue with the approval of the Secretary of the Treasury. (b) This chapter shall not apply to the Canal Zone. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 761; May 24, 1949, ch. 139, Sec. 31, 63 Stat. 94.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 222, 223(b), 225 and 226 of title 27, U.S.C., 1940 ed., Intoxicating Liquors (June 25, 1936, ch. 815, Sec. 5, 10, 49 Stat. 1929, 1930). Changes were made in phraseology and arrangement. 1949 ACT This section (section 31) corrects a typographical error in section 1261 of title 18, U.S.C. -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in text, see section 3602(b) of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1949 - Subsec. (b). Act May 24, 1949, substituted subsection designation '(b)' for '(d)'. -TRANS- TRANSFER OF FUNCTIONS Functions of all officers of Department of the Treasury and functions of all agencies and employees of such Department transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees, by Reorg. Plan No. 26 of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, 1281, set out in the Appendix to Title 5, Government Organization and Employees. Commissioner of Internal Revenue, referred to in this section, is an officer of Department of the Treasury. -CROSS- CROSS REFERENCES Forfeiture of liquors and related property, see section 3667 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3667 of this title. ------DocID 24227 Document 469 of 1438------ -CITE- 18 USC Sec. 1262 -EXPCITE- TITLE 18 PART I CHAPTER 59 -HEAD- Sec. 1262. Transportation into State prohibiting sale -STATUTE- Whoever imports, brings, or transports any intoxicating liquor into any State, Territory, District, or Possession in which all sales, except for scientific, sacramental, medicinal, or mechanical purposes, of intoxicating liquor containing more than 4 per centum of alcohol by volume or 3.2 per centum of alcohol by weight are prohibited, otherwise than in the course of continuous interstate transportation through such State, Territory, District, or Possession or attempts so to do, or assists in so doing, Shall (1) If such liquor is not accompanied by such permits, or licenses therefor as may be required by the laws of such State, Territory, District, or Possession or (2) if all importation, bringing, or transportation of intoxicating liquor into such State, Territory, District, or Possession is prohibited by the laws thereof, be fined not more than $1,000 or imprisoned not more than one year, or both. In the enforcement of this section, the definition of intoxicating liquor contained in the laws of the respective States, Territories, Districts, or Possessions shall be applied, but only to the extent that sales of such intoxicating liquor (except for scientific, sacramental, medicinal, and mechanical purposes) are prohibited therein. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 761; May 24, 1949, ch. 139, Sec. 32, 63 Stat. 94; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3540, 104 Stat. 4925.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on sections 222, 223 of title 27, U.S.C., 1940 ed., Intoxicating Liquors (June 25, 1936, ch. 815, Sec. 2, 3, 49 Stat. 1928). Section consolidates subsection (a) of section 222 with section 223, of title 27, U.S.C., 1940 ed. Words 'or 3.2 per centum of alcohol by weight' were inserted after 'volume.' Such words conform with Flippin v. U.S. (1941, 121 F. 2d 742, 744, certiorari denied, 62 S. Ct. 184, 314 U.S. 677, 86 L. Ed. 542); Robason v. U.S. (1941, 122 F. 2d 991); Dolloff v. U.S. (1941, 121 F. 2d 157, certiorari denied, 62 S. Ct. 108, 314 U.S. 626, 86 L. Ed. 503, rehearing denied, 62 S. Ct. 178, 314 U.S. 710, 86 L. Ed. 566); and Tucker v. U.S. (1941, 123 F. 2d 280). Those cases overruled Arnold v. U.S. (1940, 115 F. 2d 523) and Gregg v. U.S. (1940, 116 F. 2d 609) and established that preservation of the congressional intent which requires addition of the inserted language. Subsection (b) of section 223 of title 27, U.S.C., 1940 ed., has been reworded to apply the definition of intoxicating liquor contained in the laws of the respective States to this section only, in accordance with administrative interpretation. Said section 223 was derived from section 3 of the Liquor Enforcement Act of 1936 (Act June 25, 1936, ch. 815, 49 Stat. 1928), which was enacted for the protection of dry States. As originally enacted, its provisions relating to such definition also embraced the interstate commerce liquor laws from which sections 1263-1265 of this title were derived. In the enforcement of the latter, however, their own definitions have been applied and not the definitions of the States into which or through which the liquor was shipped. Words 'Territory, District, or Possession' were inserted after 'State', to conform with the definition of 'State' given in said section 222 of title 27, U.S.C., 1940 ed. Such section, including subsection (b) thereof, is also incorporated in section 3615 of this title. Words 'be guilty of a misdemeanor and shall' were omitted in view of definitive section 1 of this title. Minor changes were made throughout in arrangement and phraseology. 1949 ACT This section (section 32) corrects a typographical error in section 1262 of title 18, U.S.C. AMENDMENTS 1990 - Pub. L. 101-647 substituted 'State' for 'state' in section catchline. 1949 - Act May 24, 1949, substituted 'Districts' for 'District' in last par. -CROSS- CROSS REFERENCES Forfeiture of liquors and related property, see section 3667 of this title. Possession of liquor in Indian country, see section 1156 of this title. Sale of liquor in Indian country, see section 1154 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3667 of this title. ------DocID 24228 Document 470 of 1438------ -CITE- 18 USC Sec. 1263 -EXPCITE- TITLE 18 PART I CHAPTER 59 -HEAD- Sec. 1263. Marks and labels on packages -STATUTE- Whoever knowingly ships into any place within the United States any package containing any spirituous, vinous, malted, or other fermented liquor, or any compound containing any spirituous, vinous, malted, or other fermented liquor fit for use for beverage purposes, unless such shipment is accompanied by copy of a bill of lading, or other document showing the name of the consignee, the nature of its contents, and the quantity contained therein, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 761; Sept. 26, 1968, Pub. L. 90-518, Sec. 1, 82 Stat. 872.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 390 (Mar. 4, 1909, ch. 321, Sec. 240, 35 Stat. 1137; June 25, 1936, ch. 815, Sec. 8, 49 Stat. 1930.) Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. References to Territory, District, etc., were revised and same changes made as in section 1264 of this title. The provision that 'such liquor shall be forfeited to the United States' was omitted as covered by section 3615 of this title, which was derived from section 224 of title 27, U.S.C., 1940 ed., Intoxicating Liquors. The provision that such liquor 'may be seized and condemned by like proceedings as those provided by law for the seizure and forfeiture of property imported into the United States contrary to law' was likewise omitted as covered by section 3615 of this title, which provides for seizure and forfeiture under the internal revenue laws rather than under provisions of law 'for the seizure and forfeiture of property imported into the United States contrary to law' or, in other words, rather than under the customs laws. Section 224 of title 27, U.S.C., 1940 ed., Intoxicating Liquors, on which said section 3615 of this title is based, was derived from the Liquor Enforcement Act of 1936 (Act June 25, 1936, ch. 815, 49 Stat. 1928). Said section 224 included, in its coverage, section 390 of title 18, U.S.C., 1940 ed., on which this revised section is based, even though the Liquor Enforcement Act of 1936, in another section thereof, in amending said section 390, retained the provision that seizures and forfeitures thereunder should be under the customs laws. By eliminating this conflicting provision, a uniform procedure for seizures and forfeitures, under the internal revenue laws, is established under said section 3615 of this title. AMENDMENTS 1968 - Pub. L. 90-518 struck out 'of or package' after 'any package' and substituted 'shipment is accompanied by copy of a bill of lading, or other document showing' for 'package is so labeled on the outside cover as to plainly show'. EFFECTIVE DATE OF 1968 AMENDMENT Section 3 of Pub. L. 90-518 provided that: 'This Act (amending this section) shall become effective ninety days after the date of its enactment (Sept. 26, 1968).' CONGRESSIONAL DISCLAIMER OF INTENT TO PREEMPT STATE REGULATION OF SHIPMENTS OF INTOXICATING LIQUOR Section 2 of Pub. L. 90-518 provided that: 'Nothing contained in this Act (amending this section) shall be construed as indicating an intent on the part of Congress to deprive any State of the power to enact additional prohibitions with respect to the shipment of intoxicating liquors.' -CROSS- CROSS REFERENCES Forfeiture of liquors and related property, see section 3667 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3667 of this title. ------DocID 24229 Document 471 of 1438------ -CITE- 18 USC Sec. 1264 -EXPCITE- TITLE 18 PART I CHAPTER 59 -HEAD- Sec. 1264. Delivery to consignee -STATUTE- Whoever, being an officer, agent, or employee of any railroad company, express company, or other common carrier, knowingly delivers to any person other than the person to whom it has been consigned, unless upon the written order in each instance of the bona fide consignee, or to any fictitious person, or to any person under a fictitious name, any spirituous, vinous, malted, or other fermented liquor or any compound containing any spirituous, vinous, malted, or other fermented liquor fit for use for beverage purposes, which has been shipped into any place within the United States, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 761.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 388 (Mar. 4, 1909, ch. 321, Sec. 238, 35 Stat. 1136; June 25, 1936, ch. 815, Sec. 6, 49 Stat. 1929). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'Territory, or District of the United States, or place noncontiguous to but subject to the jurisdiction thereof,' which appeared twice, were omitted. See section 5 of this title defining the 'United States.' Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Forfeiture of liquors and related property, see section 3667 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3667 of this title. ------DocID 24230 Document 472 of 1438------ -CITE- 18 USC Sec. 1265 -EXPCITE- TITLE 18 PART I CHAPTER 59 -HEAD- Sec. 1265. C.O.D. shipments prohibited -STATUTE- Any railroad or express company, or other common carrier which, or any person who, in connection with the transportation of any spirituous, vinous, malted, or other fermented liquor, or any compound containing any spirituous, vinous, malted, or other fermented liquor fit for use for beverage purposes, into any State, Territory, District or Possession of the United States, which prohibits the delivery or sale therein of such liquor, collects the purchase price or any part thereof, before, on, or after delivery, from the consignee, or from any other person, or in any manner acts as the agent of the buyer or seller of any such liquor, for the purpose of buying or selling or completing the sale thereof, saving only in the actual transportation and delivery of the same, shall be fined not more than $5,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 762.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 389 (Mar. 4, 1909, ch. 321, Sec. 239, 35 Stat. 1136; June 25, 1936, ch. 815, Sec. 7, 49 Stat. 1929). Changes similar to those made in section 1264 of this title were also made in this section. -CROSS- CROSS REFERENCES Forfeiture of liquors and related property, see section 3667 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3667 of this title. ------DocID 24231 Document 473 of 1438------ -CITE- 18 USC CHAPTER 61 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- CHAPTER 61 - LOTTERIES -MISC1- Sec. 1301. Importing or transporting lottery tickets. 1302. Mailing lottery tickets or related matter. 1303. Postmaster or employee as lottery agent. 1304. Broadcasting lottery information. 1305. Fishing contests. 1306. Participation by financial institutions. 1307. Exceptions relating to certain advertisements and other information and to State-conducted lotteries. AMENDMENTS 1988 - Pub. L. 100-625, Sec. 3(a)(2), Nov. 7, 1988, 102 Stat. 3206, substituted 'Exceptions relating to certain advertisements and other information and to State-conducted lotteries' for 'State-conducted lotteries' in item 1307. 1975 - Pub. L. 93-583, Sec. 2, Jan. 2, 1975, 88 Stat. 1916, added item 1307. 1967 - Pub. L. 90-203, Sec. 5(b), Dec. 15, 1967, 81 Stat. 611, added item 1306. 1950 - Act Aug. 16, 1950, ch. 722, Sec. 2, 64 Stat. 452, added item 1305. 1949 - Act May 24, 1949, ch. 139, Sec. 33, 63 Stat. 94, substituted 'as' for 'at' in item 1303. ------DocID 24232 Document 474 of 1438------ -CITE- 18 USC Sec. 1301 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1301. Importing or transporting lottery tickets -STATUTE- Whoever brings into the United States for the purpose of disposing of the same, or knowingly deposits with any express company or other common carrier for carriage, or carries in interstate or foreign commerce any paper, certificate, or instrument purporting to be or to represent a ticket, chance, share, or interest in or dependent upon the event of a lottery, gift enterprise, or similar scheme, offering prizes dependent in whole or in part upon lot or chance, or any advertisement of, or list of the prizes drawn or awarded by means of, any such lottery, gift, enterprise, or similar scheme; or knowingly takes or receives any such paper, certificate, instrument, advertisement, or list so brought, deposited, or transported, shall be fined not more than $1,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 762.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 387 (Mar. 4, 1909, ch. 321, Sec. 237, 35 Stat. 1136). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'in interstate or foreign commerce' were substituted for involved enumeration of places, thus permitting section to be condensed and simplified without change of meaning. See definitive section 10 of this title. The rewritten punishment provision is in lieu of the following: 'for the first offense, be fined not more than $1,000 or imprisoned not more than two years, or both; and for any subsequent offense shall be imprisoned not more than two years'. There seems no point in fixing a punishment for a second offense less than that for the first offense. Minor changes were made in phraseology. SHORT TITLE OF 1988 AMENDMENT Pub. L. 100-625, Sec. 1, Nov. 7, 1988, 102 Stat. 3205, provided that: 'This Act (amending sections 1304 and 1307 of this title and section 3005 of Title 39, Postal Service, and enacting provisions set out as notes under sections 1304 and 1307 of this title) may be cited as the 'Charity Games Advertising Clarification Act of 1988'.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1307 of this title; title 25 section 2720; title 39 section 3005. ------DocID 24233 Document 475 of 1438------ -CITE- 18 USC Sec. 1302 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1302. Mailing lottery tickets or related matter -STATUTE- Whoever knowingly deposits in the mail, or sends or delivers by mail: Any letter, package, postal card, or circular concerning any lottery, gift enterprise, or similar scheme offering prizes dependent in whole or in part upon lot or chance; Any lottery ticket or part thereof, or paper, certificate, or instrument purporting to be or to represent a ticket, chance, share, or interest in or dependent upon the event of a lottery, gift enterprise, or similar scheme offering prizes dependent in whole or in part upon lot or chance; Any check, draft, bill, money, postal note, or money order, for the purchase of any ticket or part thereof, or of any share or chance in any such lottery, gift enterprise, or scheme; Any newspaper, circular, pamphlet, or publication of any kind containing any advertisement of any lottery, gift enterprise, or scheme of any kind offering prizes dependent in whole or in part upon lot or chance, or containing any list of the prizes drawn or awarded by means of any such lottery, gift enterprise, or scheme, whether said list contains any part or all of such prizes; Any article described in section 1953 of this title - Shall be fined not more than $1,000 or imprisoned not more than two years, or both; and for any subsequent offense shall be imprisoned not more than five years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 762; Oct. 31, 1951, ch. 655, Sec. 29, 65 Stat. 721; Sept. 13, 1961, Pub. L. 87-218, Sec. 2, 75 Stat. 492.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 336 (Mar. 4, 1909, ch. 321, Sec. 213, 35 Stat. 1129). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Venue provision was omitted as covered by sections 3231 and 3237 of this title. Minor changes were made in arrangement and phraseology. AMENDMENTS 1961 - Pub. L. 87-218 inserted sixth par., relating to articles described in section 1953 of this title. 1951 - Act Oct. 31, 1951, substituted a colon for a semicolon at end of opening clause. -CROSS- CROSS REFERENCES Exclusion of lottery matter from mails, see section 3005 of Title 39, Postal Service. Postal service, offenses affecting, see section 1691 et seq. of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1307 of this title; title 25 section 2720; title 39 sections 3001, 3003, 3005. ------DocID 24234 Document 476 of 1438------ -CITE- 18 USC Sec. 1303 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1303. Postmaster or employee as lottery agent (FOOTNOTE 1) -STATUTE- (FOOTNOTE 1) Section catchline was not amended to conform to change made in the text by Pub. L. 91-375. Whoever, being an officer or employee of the Postal Service, acts as agent for any lottery office, or under color of purchase or otherwise, vends lottery tickets, or knowingly sends by mail or delivers any letter, package, postal card, circular, or pamphlet advertising any lottery, gift enterprise, or similar scheme, offering prizes dependent in whole or in part upon lot or chance, or any ticket, certificate, or instrument representing any chance, share, or interest in or dependent upon the event of any lottery, gift enterprise, or similar scheme offering prizes dependent in whole or in part upon lot or chance, or any list of the prizes awarded by means of any such scheme, shall be fined not more than $100 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 763; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(10), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18 U.S.C., 1940 ed., Sec. 337 (Mar. 4, 1909, ch. 321, Sec. 214, 35 Stat. 1130). Minor changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'an officer or employee of the Postal Service' for 'a postmaster or other person employed in the Postal Service'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established thereby by the Board of Governors of the United States Postal Service and published by it in the Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1307 of this title; title 25 section 2720; title 39 section 3005. ------DocID 24235 Document 477 of 1438------ -CITE- 18 USC Sec. 1304 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1304. Broadcasting lottery information -STATUTE- Whoever broadcasts by means of any radio or television station for which a license is required by any law of the United States, or whoever, operating any such station, knowingly permits the broadcasting of, any advertisement of or information concerning any lottery, gift enterprise, or similar scheme, offering prizes dependent in whole or in part upon lot or chance, or any list of the prizes drawn or awarded by means of any such lottery, gift enterprise, or scheme, whether said list contains any part or all of such prizes, shall be fined not more than $1,000 or imprisoned not more than one year, or both. Each day's broadcasting shall constitute a separate offense. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 763; Nov. 7, 1988, Pub. L. 100-625, Sec. 3(a)(4), 102 Stat. 3206.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 316 of title 47, U.S.C., 1940 ed., Telegraphs, Telephones, and Radiotelegraphs (June 19, 1934, ch. 652, Sec. 316, 48 Stat. 1088). Words 'upon conviction thereof' were deleted as surplusage since punishment can be imposed only after a conviction. Minor changes were made in phraseology. AMENDMENTS 1988 - Pub. L. 100-625 inserted 'or television' after 'radio' in first sentence. EFFECTIVE DATE OF 1988 AMENDMENT Section 5 of Pub. L. 100-625 provided that: 'The amendments made by this Act (amending this section and section 1307 of this title and section 3005 of Title 39, Postal Service) shall take effect 18 months after the date of the enactment of this Act (Nov. 7, 1988).' -CROSS- CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1307 of this title; title 47 sections 312, 503; title 25 section 2720; title 39 section 3005. ------DocID 24236 Document 478 of 1438------ -CITE- 18 USC Sec. 1305 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1305. Fishing contests -STATUTE- The provisions of this chapter shall not apply with respect to any fishing contest not conducted for profit wherein prizes are awarded for the specie, size, weight, or quality of fish caught by contestants in any bona fide fishing or recreational event. -SOURCE- (Added Aug. 16, 1950, ch. 722, Sec. 1, 64 Stat. 451.) ------DocID 24237 Document 479 of 1438------ -CITE- 18 USC Sec. 1306 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1306. Participation by financial institutions -STATUTE- Whoever knowingly violates section 5136A of the Revised Statutes of the United States, section 9A of the Federal Reserve Act, or section 20 of the Federal Deposit Insurance Act shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 90-203, Sec. 5(a), Dec. 15, 1967, 81 Stat. 611, and amended Pub. L. 101-73, title IX, Sec. 962(b), Aug. 9, 1989, 103 Stat. 502.) -REFTEXT- REFERENCES IN TEXT Section 5136A of the Revised Statutes of the United States, referred to in text, is classified to section 25a of Title 12, Banks and Banking. Section 9A of the Federal Reserve Act, referred to in text, is classified to section 339 of Title 12. Section 20 of the Federal Deposit Insurance Act, referred to in text, is classified to section 1829a of Title 12. -MISC2- AMENDMENTS 1989 - Pub. L. 101-73 struck out reference to section 410 of the National Housing Act. EFFECTIVE DATE Section effective Apr. 1, 1968, see section 6 of Pub. L. 90-203, set out as a note under section 25a of Title 12, Banks and Banking. ------DocID 24238 Document 480 of 1438------ -CITE- 18 USC Sec. 1307 -EXPCITE- TITLE 18 PART I CHAPTER 61 -HEAD- Sec. 1307. Exceptions relating to certain advertisements and other information and to State-conducted lotteries -STATUTE- (a) The provisions of sections 1301, 1302, 1303, and 1304 shall not apply to - (1) an advertisement, list of prizes, or other information concerning a lottery conducted by a State acting under the authority of State law which is - (A) contained in a publication published in that State or in a State which conducts such a lottery; or (B) broadcast by a radio or television station licensed to a location in that State or a State which conducts such a lottery; or (2) an advertisement, list of prizes, or other information concerning a lottery, gift enterprise, or similar scheme, other than one described in paragraph (1), that is authorized or not otherwise prohibited by the State in which it is conducted and which is - (A) conducted by a not-for-profit organization or a governmental organization; or (B) conducted as a promotional activity by a commercial organization and is clearly occasional and ancillary to the primary business of that organization. (b) The provisions of sections 1301, 1302, and 1303 shall not apply to the transportation or mailing - (1) to addresses within a State of equipment, tickets, or material concerning a lottery which is conducted by that State acting under the authority of State law; or (2) to an addressee within a foreign country of equipment, tickets, or material designed to be used within that foreign country in a lottery which is authorized by the law of that foreign country. (c) For the purposes of this section (1) 'State' means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any territory or possession of the United States; and (2) 'foreign country' means any empire, country, dominion, colony, or protectorate, or any subdivision thereof (other than the United States, its territories or possessions). (d) For the purposes of subsection (b) of this section 'lottery' means the pooling of proceeds derived from the sale of tickets or chances and allotting those proceeds or parts thereof by chance to one or more chance takers or ticket purchasers. 'Lottery' does not include the placing or accepting of bets or wagers on sporting events or contests. For purposes of this section, the term a 'not-for-profit organization' means any organization that would qualify as tax exempt under section 501 of the Internal Revenue Code of 1986. -SOURCE- (Added Pub. L. 93-583, Sec. 1, Jan. 2, 1975, 88 Stat. 1916, and amended Pub. L. 94-525, Sec. 1, Oct. 17, 1976, 90 Stat. 2478; Pub. L. 96-90, Sec. 1, Oct. 23, 1979, 93 Stat. 698; Pub. L. 100-625, Sec. 2(a), (b), 3(a)(1), (3), Nov. 7, 1988, 102 Stat. 3205, 3206.) -REFTEXT- REFERENCES IN TEXT Section 501 of the Internal Revenue Code of 1986, referred to in subsec. (d), is classified to section 501 of Title 26, Internal Revenue Code. -MISC2- AMENDMENTS 1988 - Pub. L. 100-625, Sec. 3(a)(1), substituted 'Exceptions relating to certain advertisements and other information and to State-conducted lotteries' for 'State-conducted lotteries' in section catchline. Subsec. (a). Pub. L. 100-625, Sec. 2(a), amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: 'The provisions of sections 1301, 1302, 1303, and 1304 shall not apply to an advertisement, list of prizes, or information concerning a lottery conducted by a State acting under the authority of State law - '(1) contained in a newspaper published in that State or in an adjacent State which conducts such a lottery, or '(2) broadcast by a radio or television station licensed to a location in that State or an adjacent State which conducts such a lottery.' Subsec. (d). Pub. L. 100-625, Sec. 2(b), 3(a)(3), inserted 'subsection (b) of' after 'purposes of' and inserted at end 'For purposes of this section, the term a 'not-for-profit organization' means any organization that would qualify as tax exempt under section 501 of the Internal Revenue Code of 1986.' 1979 - Subsec. (b). Pub. L. 96-90, Sec. 1(a), incorporated existing provision in text designated cl. (1), included mailing of equipment, and added cl. (2). Subsec. (c). Pub. L. 96-90, Sec. 1(b), designated existing text as cl. (1) and added cl. (2). 1976 - Subsec. (a)(1). Pub. L. 94-525 inserted 'or in an adjacent State which conducts such a lottery' after 'State'. EFFECTIVE DATE OF 1988 AMENDMENT Amendment by Pub. L. 100-625 effective 18 months after Nov. 7, 1988, see section 5 of Pub. L. 100-625, set out as a note under section 1304 of this title. SEVERABILITY Section 4 of Pub. L. 100-625 provided that: 'If any provision of this Act or the amendments made by this Act (amending sections 1304 and 1307 of this title and section 3005 of Title 39, Postal Service, and enacting provisions set out as notes under sections 1301 and 1304 of this title), or the application of such provision to any person or circumstance, is held invalid, the remainder of this Act and the amendments made by this Act, and the application of such provision to other persons not similarly situated or to other circumstances, shall not be affected by such invalidation.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 3005. ------DocID 24239 Document 481 of 1438------ -CITE- 18 USC CHAPTER 63 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- CHAPTER 63 - MAIL FRAUD -MISC1- Sec. 1341. Frauds and swindles. 1342. Fictitious name or address. 1343. Fraud by wire, radio, or television. 1344. Bank fraud. 1345. Injunctions against fraud. 1346. Definition of 'scheme or artifice to defraud'. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3541, Nov. 29, 1990, 104 Stat. 4925, substituted 'or' for 'and' in item 1342. 1988 - Pub. L. 100-690, title VII, Sec. 7603(b), Nov. 18, 1988, 102 Stat. 4508, added item 1346. 1984 - Pub. L. 98-473, title II, Sec. 1108(b), 1205(b), Oct. 12, 1984, 98 Stat. 2147, 2153, added items 1344 and 1345. 1952 - Act July 16, 1952, ch. 879, Sec. 18(b), 66 Stat. 722, added item 1343. -CROSS- CROSS REFERENCES Offenses affecting Postal Service, see section 1691 et seq. of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 29 section 1111. ------DocID 24240 Document 482 of 1438------ -CITE- 18 USC Sec. 1341 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- Sec. 1341. Frauds and swindles -STATUTE- Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises, or to sell, dispose of, loan, exchange, alter, give away, distribute, supply, or furnish or procure for unlawful use any counterfeit or spurious coin, obligation, security, or other article, or anything represented to be or intimated or held out to be such counterfeit or spurious article, for the purpose of executing such scheme or artifice or attempting so to do, places in any post office or authorized depository for mail matter, any matter or thing whatever to be sent or delivered by the Postal Service, or takes or receives therefrom, any such matter or thing, or knowingly causes to be delivered by mail according to the direction thereon, or at the place at which it is directed to be delivered by the person to whom it is addressed, any such matter or thing, shall be fined not more than $1,000 or imprisoned not more than five years, or both. If the violation affects a financial institution, such person shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 763; May 24, 1949, ch. 139, Sec. 34, 63 Stat. 94; Aug. 12, 1970, Pub. L. 91-375, Sec. (6)(j)(11), 84 Stat. 778; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(i), 103 Stat. 500; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(h), 104 Stat. 4861.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 338 (Mar. 4, 1909, ch. 321, Sec. 215, 35 Stat. 1130). The obsolete argot of the underworld was deleted as suggested by Hon. Emerich B. Freed, United States district judge, in a paper read before the 1944 Judicial Conference for the sixth circuit in which he said: A brief reference to Sec. 1341, which proposes to reenact the present section covering the use of the mails to defraud. This section is almost a page in length, is involved, and contains a great deal of superfluous language, including such terms as 'sawdust swindle, green articles, green coin, green goods and green cigars.' This section could be greatly simplified, and now-meaningless language eliminated. The other surplusage was likewise eliminated and the section simplified without change of meaning. A reference to causing to be placed any letter, etc. in any post office, or station thereof, etc. was omitted as unnecessary because of definition of 'principal' in section 2 of this title. 1949 ACT This section (section 34) corrects a typographical error in section 1341 of title 18, U.S.C. AMENDMENTS 1990 - Pub. L. 101-647 substituted '30' for '20' before 'years'. 1989 - Pub. L. 101-73 inserted at end 'If the violation affects a financial institution, such person shall be fined not more than $1,000,000 or imprisoned not more than 20 years, or both.' 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Post Office Department'. 1949 - Act May 24, 1949, substituted 'of' for 'or' after 'dispose'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Fictitious name or address used in frauds and swindles, see section 1342 of this title. Postal Service, offenses against, see section 1691 et seq. of this title. Seizure and disposition of nonmailable matter, see section 3001 of Title 39, Postal Service. Use of fictitious, false or assumed name on mail to conduct, or assist in, activity in violation of this section, see section 3003 of Title 39. Use of mails for purchase or sale of securities before a registration statement under 'Securities Act, 1933' is in effect made unlawful, see section 77e of Title 15, Commerce and Trade. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1342, 1510, 1956, 1961, 2516, 3059A, 3293, 3322 of this title; title 7 section 12a; title 12 sections 1786, 1787, 1821, 1828, 1829, 1831k, 1833a; title 15 sections 78o, 80b-3; title 39 sections 3001, 3003. ------DocID 24241 Document 483 of 1438------ -CITE- 18 USC Sec. 1342 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- Sec. 1342. Fictitious name or address -STATUTE- Whoever, for the purpose of conducting, promoting, or carrying on by means of the Postal Service, any scheme or device mentioned in section 1341 of this title or any other unlawful business, uses or assumes, or requests to be addressed by, any fictitious, false, or assumed title, name, or address or name other than his own proper name, or takes or receives from any post office or authorized depository of mail matter, any letter, postal card, package, or other mail matter addressed to any such fictitious, false, or assumed title, name, or address, or name other than his own proper name, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 763; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(12), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 339 (Mar. 4, 1909, ch. 321, Sec. 216, 35 Stat. 1131). The punishment language used in section 1341 of this title was substituted in lieu of the reference to it in this section. Minor changes in phraseology were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Post Office Department of the United States'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Seizure and disposition of nonmailable matter, see section 3001 of Title 39, Postal Service. Use of fictitious, false or assumed name on mail to conduct, or assist in, activity in violation of this section, see section 3003 of Title 39. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 7 section 12a; title 15 sections 78o, 80b-3; title 39 sections 3001, 3003. ------DocID 24242 Document 484 of 1438------ -CITE- 18 USC Sec. 1343 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- Sec. 1343. Fraud by wire, radio, or television -STATUTE- Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises, transmits or causes to be transmitted by means of wire, radio, or television communication in interstate or foreign commerce, any writings, signs, signals, pictures, or sounds for the purpose of executing such scheme or artifice, shall be fined not more than $1,000 or imprisoned not more than five years, or both. If the violation affects a financial institution, such person shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. -SOURCE- (Added July 16, 1952, ch. 879, Sec. 18(a), 66 Stat. 722, and amended July 11, 1956, ch. 561, 70 Stat. 523; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 961(j), 103 Stat. 500; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2504(i), 104 Stat. 4861.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647 substituted '30' for '20' before 'years'. 1989 - Pub. L. 101-73 inserted at end 'If the violation affects a financial institution, such person shall be fined not more than $1,000,000 or imprisoned not more than 20 years, or both.' 1956 - Act July 11, 1956, substituted 'transmitted by means of wire, radio, or television communication in interstate or foreign commerce' for 'transmitted by means of interstate wire, radio, or television communication'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 1961, 2516, 3059A, 3293, 3322 of this title; title 7 section 12a; title 12 sections 1786, 1787, 1821, 1828, 1829, 1831k, 1833a; title 15 sections 78o, 80b-3; title 47 sections 312, 503. ------DocID 24243 Document 485 of 1438------ -CITE- 18 USC Sec. 1344 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- Sec. 1344. Bank fraud -STATUTE- Whoever knowingly executes, or attempts to execute, a scheme or artifice - (1) to defraud a financial institution; or (2) to obtain any of the moneys, funds, credits, assets, securities, or other property owned by, or under the custody or control of, a financial institution, by means of false or fraudulent pretenses, representations, or promises; shall be fined not more than $1,000,000 or imprisoned not more than 30 years, or both. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1108(a), Oct. 12, 1984, 98 Stat. 2147, and amended Pub. L. 101-73, title IX, Sec. 961(k), Aug. 9, 1989, 103 Stat. 500; Pub. L. 101-647, title XXV, Sec. 2504(j), Nov. 29, 1990, 104 Stat. 4861.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647 substituted '30' for '20' before 'years'. 1989 - Pub. L. 101-73 amended section generally, restating former subsec. (a) and striking out former subsec. (b) which defined 'federally chartered or insured financial institution'. Prior to amendment, subsec. (a) read as follows: 'Whoever knowingly executes, or attempts to execute, a scheme or artifice - '(1) to defraud a federally chartered or insured financial institution; or '(2) to obtain any of the moneys, funds, credits, assets, securities or other property owned by or under the custody or control of a federally chartered or insured financial institution by means of false or fraudulent pretenses, representations, or promises, shall be fined not more than $10,000, or imprisoned not more than five years, or both.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 225, 981, 982, 1510, 1956, 1961, 3059A, 3293, 3322 of this title; title 12 sections 1786, 1787, 1821, 1828, 1829, 1831k, 1833a. ------DocID 24244 Document 486 of 1438------ -CITE- 18 USC Sec. 1345 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- Sec. 1345. Injunctions against fraud -STATUTE- (a)(1) If a person is - (A) violating or about to violate this chapter or section 287, 371 (insofar as such violation involves a conspiracy to defraud the United States or any agency thereof), or 1001 of this title; or (B) committing or about to commit a banking law violation (as defined in section 3322(d) of this title), the Attorney General may commence a civil action in any Federal court to enjoin such violation. (2) If a person is alienating or disposing of property, or intends to alienate or dispose of property, obtained as a result of a banking law violation (as defined in section 3322(d) of this title) or property which is traceable to such violation, the Attorney General may commence a civil action in any Federal court - (A) to enjoin such alienation or disposition of property; or (B) for a restraining order to - (i) prohibit any person from withdrawing, transferring, removing, dissipating, or disposing of any such property or property of equivalent value; and (ii) appoint a temporary receiver to administer such restraining order. (3) A permanent or temporary injunction or restraining order shall be granted without bond. (b) The court shall proceed as soon as practicable to the hearing and determination of such an action, and may, at any time before final determination, enter such a restraining order or prohibition, or take such other action, as is warranted to prevent a continuing and substantial injury to the United States or to any person or class of persons for whose protection the action is brought. A proceeding under this section is governed by the Federal Rules of Civil Procedure, except that, if an indictment has been returned against the respondent, discovery is governed by the Federal Rules of Criminal Procedure. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1205(a), Oct. 12, 1984, 98 Stat. 2152, and amended Pub. L. 100-690, title VII, Sec. 7077, Nov. 18, 1988, 102 Stat. 4406; Pub. L. 101-647, title XXV, Sec. 2521(b)(2), title XXXV, Sec. 3542, Nov. 29, 1990, 104 Stat. 4865, 4925.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Civil Procedure, referred to in subsec. (b), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. The Federal Rules of Criminal Procedure, referred to in subsec. (b), are set out in the Appendix to this title. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 2521(b)(2), added subsec. (a), inserted subsec. (b) designation, and struck out former first sentence which read as follows: 'Whenever it shall appear that any person is engaged or is about to engage in any act which constitutes or will constitute a violation of this chapter, or of section 287, 371 (insofar as such violation involves a conspiracy to defraud the United States or any agency thereof), or 1001 of this title, the Attorney General may initiate a civil proceeding in a district court of the United States to enjoin such violation.' Pub. L. 101-647, Sec. 3542, which directed insertion of a comma after 'of this title', was executed by inserting the comma after '1001 of this title' in the first sentence of the section before execution of the amendment by Pub. L. 101-647, Sec. 2521(b)(2), to reflect the probable intent of Congress, see above. 1988 - Pub. L. 100-690 inserted 'or of section 287, 371 (insofar as such violation involves a conspiracy to defraud the United States or any agency thereof), or 1001 of this title' after 'violation of this chapter,'. ------DocID 24245 Document 487 of 1438------ -CITE- 18 USC Sec. 1346 -EXPCITE- TITLE 18 PART I CHAPTER 63 -HEAD- Sec. 1346. Definition of 'scheme or artifice to defraud' -STATUTE- For the purposes of this chapter, the term 'scheme or artifice to defraud' includes a scheme or artifice to deprive another of the intangible right of honest services. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7603(a), Nov. 18, 1988, 102 Stat. 4508.) ------DocID 24246 Document 488 of 1438------ -CITE- 18 USC CHAPTER 65 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- CHAPTER 65 - MALICIOUS MISCHIEF -MISC1- Sec. 1361. Government property or contracts. 1362. Communication lines, stations or systems. 1363. Buildings or property within special maritime and territorial jurisdiction. 1364. Interference with foreign commerce by violence. 1365. Tampering with consumer products. 1366. Destruction of an energy facility. 1367. Interference with the operation of a satellite. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3543, Nov. 29, 1990, 104 Stat. 4926, inserted a period after '1366'. 1986 - Pub. L. 99-646, Sec. 29(b), Nov. 10, 1986, 100 Stat. 3598, redesignated item 1365, relating to destruction of an energy facility, as item 1366. Pub. L. 99-508, title III, Sec. 303(b), Oct. 21, 1986, 100 Stat. 1873, added item 1367. 1984 - Section 1365(d) of this title as added by Pub. L. 98-473, title II, Sec. 1011(a), Oct. 12, 1984, 98 Stat. 2141, added item 1365, relating to destruction of an energy facility. 1983 - Pub. L. 98-127, Sec. 3, Oct. 13, 1983, 97 Stat. 832, added item 1365, relating to tampering with consumer products. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title. ------DocID 24247 Document 489 of 1438------ -CITE- 18 USC Sec. 1361 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1361. Government property or contracts -STATUTE- Whoever willfully injures or commits any depredation against any property of the United States, or of any department or agency thereof, or any property which has been or is being manufactured or constructed for the United States, or any department or agency thereof, shall be punished as follows: If the damage to such property exceeds the sum of $100, by a fine of not more than $10,000 or imprisonment for not more than ten years, or both; if the damage to such property does not exceed the sum of $100, by a fine of not more than $1,000 or by imprisonment for not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 764.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 82 (Mar. 4, 1909, ch. 321, Sec. 35, 35 Stat. 1095; Oct. 23, 1918, ch. 194, 40 Stat. 1015; June 18, 1934, ch. 587, 48 Stat. 996; Apr. 4, 1938, ch. 69, 52 Stat. 197). The embezzlement and theft provisions of section 82 of title 18, U.S.C., 1940 ed., are now incorporated in section 641 of this title. Words 'or any corporation in which the United States of America is a stockholder' were omitted as unnecessary in view of definition of 'agency' in section 6 of this title. Designation of the place of confinement as 'in a jail' was omitted because section 4082 of this title commits all prisoners to the custody of the Attorney General or his authorized representative, who shall designate the place of confinement. (See reviser's note under section 1 of this title.) The smaller penalty for offenses involving $50 or less was extended to offenses involving $100 or less. The use of $50 as the dividing line between felonies and misdemeanors originated at a time when that sum was of much greater value than $100 is now. The word 'damage' was substituted twice for the word 'value', and the definition of 'value' was omitted as inapplicable to this section. These words and definition, however, are retained in that part of said section 82 which is now section 641 of this title. Minor changes were made in phraseology. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3050 of this title. ------DocID 24248 Document 490 of 1438------ -CITE- 18 USC Sec. 1362 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1362. Communication lines, stations or systems -STATUTE- Whoever willfully or maliciously injures or destroys any of the works, property, or material of any radio, telegraph, telephone or cable, line, station, or system, or other means of communication, operated or controlled by the United States, or used or intended to be used for military or civil defense functions of the United States, whether constructed or in process of construction, or willfully or maliciously interferes in any way with the working or use of any such line, or system, or willfully or maliciously obstructs, hinders, or delays the transmission of any communication over any such line, or system, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In the case of any works, property, or material, not operated or controlled by the United States, this section shall not apply to any lawful strike activity, or other lawful concerted activities for the purposes of collective bargaining or other mutual aid and protection which do not injure or destroy any line or system used or intended to be used for the military or civil defense functions of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 764; Sept. 26, 1961, Pub. L. 87-306, 75 Stat. 669.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 116 (Mar. 4, 1909, ch. 321, Sec. 60, 35 Stat. 1099). This section was extended to include radio and radio stations. Minor changes were made in phraseology. AMENDMENTS 1961 - Pub. L. 87-306 extended the provisions of the section to means of communication used or intended to be used for military or civil defense functions of the United States, made the provisions inapplicable to lawful strike activities, which do not injure any line or system used for such functions, and increased the punishment by fine from $1,000 to $10,000 and by imprisonment from 3 to 10 years. ------DocID 24249 Document 491 of 1438------ -CITE- 18 USC Sec. 1363 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1363. Buildings or property within special maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, willfully and maliciously destroys or injures or attempts to destroy or injure any building, structure or vessel, any machinery or building materials and supplies, military or naval stores, munitions of war or any structural aids or appliances for navigation or shipping, shall be fined not more than $1,000 or imprisoned not more than five years, or both, and if the building be a dwelling, or the life of any person be placed in jeopardy, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 764.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 464, 465 (Mar. 4, 1909, ch. 321, Sec. 285, 286, 35 Stat. 1144). Said sections were consolidated and rewritten both as to form and substance. The provisions relating to arson are incorporated in section 81 of this title. (See reviser's note under said section 81 of this title for explanation of changes.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3050 of this title. ------DocID 24250 Document 492 of 1438------ -CITE- 18 USC Sec. 1364 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1364. Interference with foreign commerce by violence -STATUTE- Whoever, with intent to prevent, interfere with, or obstruct or attempt to prevent, interfere with, or obstruct the exportation to foreign countries of articles from the United States, injures or destroys, by fire or explosives, such articles or the places where they may be while in such foreign commerce, shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 764.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 381 (June 15, 1917, ch. 30, titles IV, XIII, Sec. 1, 40 Stat. 221, 231; Mar. 28, 1940, ch. 72, Sec. 4, 54 Stat. 79). Mandatory punishment provisions were rephrased in the alternative. Definition of the term 'United States' was omitted and incorporated in section 5 of this title. Minor verbal changes were made. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24251 Document 493 of 1438------ -CITE- 18 USC Sec. 1365 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1365. Tampering with consumer products -STATUTE- (a) Whoever, with reckless disregard for the risk that another person will be placed in danger of death or bodily injury and under circumstances manifesting extreme indifference to such risk, tampers with any consumer product that affects interstate or foreign commerce, or the labeling of, or container for, any such product, or attempts to do so, shall - (1) in the case of an attempt, be fined not more than $25,000 or imprisoned not more than ten years, or both; (2) if death of an individual results, be fined not more than $100,000 or imprisoned for any term of years or for life, or both; (3) if serious bodily injury to any individual results, be fined not more than $100,000 or imprisoned not more than twenty years, or both; and (4) in any other case, be fined not more than $50,000 or imprisoned not more than ten years, or both. (b) Whoever, with intent to cause serious injury to the business of any person, taints any consumer product or renders materially false or misleading the labeling of, or container for, a consumer product, if such consumer product affects interstate or foreign commerce, shall be fined not more than $10,000 or imprisoned not more than three years, or both. (c)(1) Whoever knowingly communicates false information that a consumer product has been tainted, if such product or the results of such communication affect interstate or foreign commerce, and if such tainting, had it occurred, would create a risk of death or bodily injury to another person, shall be fined not more than $25,000 or imprisoned not more than five years, or both. (2) As used in paragraph (1) of this subsection, the term 'communicates false information' means communicates information that is false and that the communicator knows is false, under circumstances in which the information may reasonably be expected to be believed. (d) Whoever knowingly threatens, under circumstances in which the threat may reasonably be expected to be believed, that conduct that, if it occurred, would violate subsection (a) of this section will occur, shall be fined not more than $25,000 or imprisoned not more than five years, or both. (e) Whoever is a party to a conspiracy of two or more persons to commit an offense under subsection (a) of this section, if any of the parties intentionally engages in any conduct in furtherance of such offense, shall be fined not more than $25,000 or imprisoned not more than ten years, or both. (f) In addition to any other agency which has authority to investigate violations of this section, the Food and Drug Administration and the Department of Agriculture, respectively, have authority to investigate violations of this section involving a consumer product that is regulated by a provision of law such Administration or Department, as the case may be, administers. (g) As used in this section - (1) the term 'consumer product' means - (A) any 'food', 'drug', 'device', or 'cosmetic', as those terms are respectively defined in section 201 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 321); or (B) any article, product, or commodity which is customarily produced or distributed for consumption by individuals, or use by individuals for purposes of personal care or in the performance of services ordinarily rendered within the household, and which is designed to be consumed or expended in the course of such consumption or use; (2) the term 'labeling' has the meaning given such term in section 201(m) of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 321(m)); (3) the term 'serious bodily injury' means bodily injury which involves - (A) a substantial risk of death; (B) extreme physical pain; (C) protracted and obvious disfigurement; or (D) protracted loss or impairment of the function of a bodily member, organ, or mental faculty; and (4) the term 'bodily injury' means - (A) a cut, abrasion, bruise, burn, or disfigurement; (B) physical pain; (C) illness; (D) impairment of the function of a bodily member, organ, or mental faculty; or (E) any other injury to the body, no matter how temporary. -SOURCE- (Added Pub. L. 98-127, Sec. 2, Oct. 13, 1983, 97 Stat. 831, and amended Pub. L. 101-647, title XXXV, Sec. 3544, Nov. 29, 1990, 104 Stat. 4926.) -MISC1- PRIOR PROVISIONS Another section 1365 was renumbered section 1366 of this title. AMENDMENTS 1990 - Subsec. (g)(1)(A). Pub. L. 101-647 inserted opening quotation marks before 'device'. SHORT TITLE Section 1 of Pub. L. 98-127 provided: 'That this Act (enacting this section and section 155A of Title 35, Patents) may be cited as the 'Federal Anti-Tampering Act'.' ------DocID 24252 Document 494 of 1438------ -CITE- 18 USC Sec. 1366 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1366. Destruction of an energy facility -STATUTE- (a) Whoever knowingly and willfully damages the property of an energy facility in an amount that in fact exceeds $100,000, or damages the property of an energy facility in any amount and causes a significant interruption or impairment of a function of an energy facility, shall be punishable by a fine of not more than $50,000 or imprisonment for not more than ten years, or both. (b) Whoever knowingly and willfully damages the property of an energy facility in an amount that in fact exceeds $5,000 shall be punishable by a fine of not more than $25,000, or imprisonment for not more than five years, or both. (c) For purposes of this section, the term 'energy facility' means a facility that is involved in the production, storage, transmission, or distribution of electricity, fuel, or another form or source of energy, or research, development, or demonstration facilities relating thereto, regardless of whether such facility is still under construction or is otherwise not functioning, except a facility subject to the jurisdiction, administration, or in the custody of the Nuclear Regulatory Commission or interstate transmission facilities, as defined in section 2 of the Natural Gas Pipeline Safety Act of 1968. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1011(a), Oct. 12, 1984, 98 Stat. 2141, Sec. 1365; and renumbered Sec. 1366, Pub. L. 99-646, Sec. 29(a), Nov. 10, 1986, 100 Stat. 3598; amended Pub. L. 101-647, title XXXV, Sec. 3545, 3546, Nov. 29, 1990, 104 Stat. 4926.) -REFTEXT- REFERENCES IN TEXT Section 2 of the Natural Gas Pipeline Safety Act of 1968, referred to in subsec. (c), is classified to section 1671 of Title 49, Appendix, Transportation. -MISC2- AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647, Sec. 3545, substituted 'section 2 of the Natural Gas Pipeline Safety Act of 1968' for '49 U.S.C. 1671'. Subsec. (d). Pub. L. 101-647, Sec. 3546, struck out subsec. (d) which read as follows: 'The table of contents for chapter 65 of title 18, United States Code, is amended by adding at the end thereof the following new item: '1365 Destruction of an energy facility.' ' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2516 of this title.2 ------DocID 24253 Document 495 of 1438------ -CITE- 18 USC Sec. 1367 -EXPCITE- TITLE 18 PART I CHAPTER 65 -HEAD- Sec. 1367. Interference with the operation of a satellite -STATUTE- (a) Whoever, without the authority of the satellite operator, intentionally or maliciously interferes with the authorized operation of a communications or weather satellite or obstructs or hinders any satellite transmission shall be fined in accordance with this title or imprisoned not more than ten years or both. (b) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency or of an intelligence agency of the United States. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 303(a), Oct. 21, 1986, 100 Stat. 1872.) -MISC1- EFFECTIVE DATE Section effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 302 of Pub. L. 99-508, set out as a note under section 3121 of this title. ------DocID 24254 Document 496 of 1438------ -CITE- 18 USC CHAPTER 67 -EXPCITE- TITLE 18 PART I CHAPTER 67 -HEAD- CHAPTER 67 - MILITARY AND NAVY -MISC1- Sec. 1381. Enticing desertion and harboring deserters. 1382. Entering military, naval, or Coast Guard property. (1383. Repealed.) 1384. Prostitution near military and naval establishments. 1385. Use of Army and Air Force as posse comitatus. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3547, Nov. 29, 1990, 104 Stat. 4926, struck out item 1383 'Restrictions in military areas and zones'. 1956 - Act Aug. 10, 1956, ch. 1041, Sec. 18(b), 70A Stat. 626, inserted item 1385. ------DocID 24255 Document 497 of 1438------ -CITE- 18 USC Sec. 1381 -EXPCITE- TITLE 18 PART I CHAPTER 67 -HEAD- Sec. 1381. Enticing desertion and harboring deserters -STATUTE- Whoever entices or procures, or attempts or endeavors to entice or procure any person in the Armed Forces of the United States, or who has been recruited for service therein, to desert therefrom, or aids any such person in deserting or in attempting to desert from such service; or Whoever harbors, conceals, protects, or assists any such person who may have deserted from such service, knowing him to have deserted therefrom, or refuses to give up and deliver such person on the demand of any officer authorized to receive him - Shall be fined not more than $2,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 764.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 94 (Mar. 4, 1909, ch. 321, Sec. 42, 35 Stat. 1097). Mandatory punishment provisions were changed to alternative. Words 'armed forces' were substituted for repeated references to military service, naval service, soldier and seamen. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24256 Document 498 of 1438------ -CITE- 18 USC Sec. 1382 -EXPCITE- TITLE 18 PART I CHAPTER 67 -HEAD- Sec. 1382. Entering military, naval, or Coast Guard property -STATUTE- Whoever, within the jurisdiction of the United States, goes upon any military, naval, or Coast Guard reservation, post, fort, arsenal, yard, station, or installation, for any purpose prohibited by law or lawful regulation; or Whoever reenters or is found within any such reservation, post, fort, arsenal, yard, station, or installation, after having been removed therefrom or ordered not to reenter by any officer or person in command or charge thereof - Shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 765.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 97 (Mar. 4, 1909, ch. 321, Sec. 45, 35 Stat. 1097; Mar. 28, 1940, ch. 73, 54 Stat. 80). Reference to territory, Canal Zone, Puerto Rico and the Philippine Islands was omitted as covered by definition of United States in section 5 of this title. Words 'naval or Coast Guard' were inserted before 'reservation' and words 'yard, station, or installation' were inserted after 'arsenal' in two places, so as to extend section to naval or Coast Guard property. Minor changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS Functions of all officers of Department of the Treasury, and functions of all agencies and employees of such Department transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees, by Reorg. Plan No. 26 of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, 1281, set out in the Appendix to Title 5, Government Organization and Employees. Coast Guard, referred to in this section, was generally a service in Department of the Treasury, but such Plan excepted from transfer functions of Coast Guard and Commandant thereof when Coast Guard was operating as a part of the Navy under sections 1 and 3 of Title 14, Coast Guard. Coast Guard transferred to Department of Transportation and all functions, powers, and duties, relating to Coast Guard, of Secretary of the Treasury and of other offices and officers of Department of the Treasury transferred to Secretary of Transportation by Pub. L. 89-670, Oct. 15, 1966, 80 Stat. 931, which created the Department of Transportation. See section 108 of Title 49, Transportation. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24257 Document 499 of 1438------ -CITE- 18 USC Sec. 1383 -EXPCITE- TITLE 18 PART I CHAPTER 67 -HEAD- (Sec. 1383. Repealed. Pub. L. 94-412, title V, Sec. 501(e), Sept. 14, 1976, 90 Stat. 1258) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 765, dealt with criminal penalties for persons entering, remaining in, leaving, or committing any act in a military area or zone contrary to restrictions imposed by Executive Order or Secretary of the Army. SAVINGS PROVISION Repeal of this section by Pub. L. 94-412 not to affect any action taken or proceeding pending at the time of repeal, see section 501(h) of Pub. L. 94-412, set out as a note under section 1601 of Title 50, War and National Defense. ------DocID 24258 Document 500 of 1438------ -CITE- 18 USC Sec. 1384 -EXPCITE- TITLE 18 PART I CHAPTER 67 -HEAD- Sec. 1384. Prostitution near military and naval establishments -STATUTE- Within such reasonable distance of any military or naval camp, station, fort, post, yard, base, cantonment, training or mobilization place as the Secretary of the Army, the Secretary of the Navy, the Secretary of the Air Force, or any two or all of them shall determine to be needful to the efficiency, health, and welfare of the Army, the Navy, or the Air Force, and shall designate and publish in general orders or bulletins, whoever engages in prostitution or aids or abets prostitution or procures or solicits for purposes of prostitution, or keeps or sets up a house of ill fame, brothel, or bawdy house, or receives any person for purposes of lewdness, assignation, or prostitution into any vehicle, conveyance, place, structure, or building, or permits any person to remain for the purpose of lewdness, assignation, or prostitution in any vehicle, conveyance, place, structure, or building or leases or rents or contracts to lease or rent any vehicle, conveyance, place, structure or building, or part thereof, knowing or with good reason to know that it is intended to be used for any of the purposes herein prohibited shall be fined not more than $1,000 or imprisoned not more than one year, or both. The Secretaries of the Army, Navy, and Air Force and the Federal Security Administrator shall take such steps as they deem necessary to suppress and prevent such violations thereof, and shall accept the cooperation of the authorities of States and their counties, districts, and other political subdivisions in carrying out the purpose of this section. This section shall not be construed as conferring on the personnel of the Departments of the Army, Navy, or Air Force or the Federal Security Agency any authority to make criminal investigations, searches, seizures, or arrests of civilians charged with violations of this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 765; May 24, 1949, ch. 139, Sec. 35, 63 Stat. 94.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 518a (July 11, 1941, ch. 287, 55 Stat. 583; May 15, 1945, ch. 126, 59 Stat. 168; May 15, 1946, ch. 258, 60 Stat. 182). The word 'whoever' was substituted for the words 'person, corporation, partnership, or association' in conformity with section 1 of title 1, U.S.C., 1940 ed., General Provisions, as amended and without change of substance. The provisions with reference to punishment of persons subject to military or naval law as provided in the Articles of War and the Articles for the Government of the Navy were omitted, as was the exception of such persons from the punishment provisions of this section. The Articles of War and Articles for the Government of the Navy are sufficiently complete in themselves to authorize the adequate punishment of military or naval personnel for violations of general criminal statutes as well as for disobedience of orders. See Articles of War, Article 96, section 1568 of title 10, U.S.C., 1940 ed., Army, and Articles for the Government of the Navy, Articles 1, 4, 22, 23, section 1200, of title 34, U.S.C., 1940 ed., Navy. The revised section, in this respect, places violations on the same basis as other misdemeanors in violation of the general statutes of the United States and authorizes punishment of persons subject to military or naval law under such law, or in case the military or naval authorities turn the violator over to the civil authorities, the trial and punishment may be under the general law. The phrase 'and/or' appearing twice in section 581a of title 18, U.S.C., 1940 ed., was deleted to avoid uncertainty and ambiguity. Words 'shall be deemed guilty of a misdemeanor' were omitted because of definition of misdemeanor in section 1 of this title. Changes were made in phraseology. 1949 ACT This section (section 35) makes the following changes in section 1384 of title 18, U.S.C.: 1. In the first paragraph, substitutes 'Secretary of the Army, the Secretary of the Navy, the Secretary of the Air Force, and any two or all of them' for 'Secretary of the Army or the Secretary of the Navy, or both', and substitutes 'Army, the Navy, or the Air Force,' for 'Army or the Navy, or both,', in view of the establishment in 1947 of the Department of the Air Force, headed by a Secretary. 2. In the second paragraph, substitutes 'The Secretaries of the Army, Navy, and Air Force' for 'The Secretaries of the Army, and Navy', for the same reason given in item 1 above. 3. In the third paragraph, substitutes 'Department of the Army, Navy, or Air Force' for 'War or Navy Department' for the same reason given in item 1 above. AMENDMENTS 1949 - Act May 24, 1949, made section applicable to the Air Force which was established as a separate department in 1947, headed by a Secretary. -TRANS- TRANSFER OF FUNCTIONS Secretary and Department of Health, Education, and Welfare redesignated Secretary and Department of Health and Human Services by section 3508(b) of Title 20, Education. Functions of Federal Security Administrator transferred to Secretary of Health, Education, and Welfare and all agencies of Federal Security Agency transferred to Department of Health, Education, and Welfare by section 5 of Reorg. Plan No. 1 of 1953, eff. Apr. 11, 1953, 18 F.R. 2053, 67 Stat. 631, set out in the Appendix to Title 5, Government Organization and Employees. Federal Security Agency and office of Administrator were abolished by section 8 of Reorg. Plan No. 1 of 1953. ------DocID 24259 Document 501 of 1438------ -CITE- 18 USC Sec. 1385 -EXPCITE- TITLE 18 PART I CHAPTER 67 -HEAD- Sec. 1385. Use of Army and Air Force as posse comitatus -STATUTE- Whoever, except in cases and under circumstances expressly authorized by the Constitution or Act of Congress, willfully uses any part of the Army or the Air Force as a posse comitatus or otherwise to execute the laws shall be fined not more than $10,000 or imprisoned not more than two years, or both. -SOURCE- (Added Aug. 10, 1956, ch. 1041, Sec. 18(a), 70A Stat. 626, and amended June 25, 1959, Pub. L. 86-70, Sec. 17(d), 73 Stat. 144.) -MISC1- Historical and Revision Note --------------------------------------------------------------------- Revised Section Source (U.S. Code) Source (Statutes at Large) --------------------------------------------------------------------- 1385 10:15. June 18, 1878, ch. 263, Sec. 15, 20 Stat. 152; Mar. 3, 1899, ch. 429, Sec. 363 (proviso); added June 6, 1900, ch. 786, Sec. 29 (less last proviso), 31 Stat. 330. ------------------------------- This section is revised to conform to the style and terminology used in title 18. It is not enacted as a part of title 10, United States Code, since it is more properly allocated to title 18. AMENDMENTS 1959 - Pub. L. 86-70 struck out provisions which made section inapplicable in Alaska. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 831 of this title. ------DocID 24260 Document 502 of 1438------ -CITE- 18 USC (CHAPTER 68 -EXPCITE- TITLE 18 PART I (CHAPTER 68 -HEAD- (CHAPTER 68 - REPEALED) ------DocID 24261 Document 503 of 1438------ -CITE- 18 USC Sec. 1401 to 1407 -EXPCITE- TITLE 18 PART I (CHAPTER 68 -HEAD- (Sec. 1401 to 1407. Repealed. Pub. L. 91-513, title III, Sec. 1101(b)(1)(A), Oct. 27, 1970, 84 Stat. 1292) -MISC1- Section 1401, acts July 18, 1956, ch. 629, title II, Sec. 201, 70 Stat. 572; July 12, 1960, Pub. L. 86-624, Sec. 13(a), 74 Stat. 413, defined 'heroin' and 'United States'. Section 1402, act July 18, 1956, ch. 629, title II, Sec. 201, 70 Stat. 572, provided for surrender to Secretary of the Treasury of all legally possessed heroin within 120 days of July 19, 1956. Section 1403, act July 18, 1956, ch. 629, title II, Sec. 201, 70 Stat. 573, set penalties for unlawful use of communications facilities in commission of offenses involving importation or exportation of narcotics. Section 1404, act July 18, 1956, ch. 629, title II, Sec. 201, 70 Stat. 573, granted the United States right to appeal from grant of a motion to suppress in prosecutions involving unlawful exportation or importation of narcotics. Section 1405, acts July 18, 1956, ch. 629, title III, Sec. 201, 70 Stat. 573; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(1), 82 Stat. 1115, set out procedure for issuance of search warrants. Section 1406, act July 18, 1956, ch. 629, title II, Sec. 201, 70 Stat. 574, provided for authority to grant immunity from prosecution of any witnesses compelled to testify or produce evidence after claiming his privilege against self-incrimination. See section 6001 et seq. of this title. Section was repealed earlier by Pub. L. 91-452, title II, Sec. 224(a), Oct. 15, 1970, 84 Stat. 929, with such repeal to be effective on the sixtieth day following Oct. 15, 1970, but with such repeal not to affect any immunity to which any individual was entitled under this section by reason of any testimony given before the sixtieth day following Oct. 15, 1970. Section 1407, act July 18, 1956, ch. 629, title II, Sec. 201, 70 Stat. 574, prohibited border crossings by any person addicted to or using drugs or any person convicted of any violation of narcotic or marihuana laws of the United States or of any State, the penalty for which is imprisonment for more than one year. EFFECTIVE DATE OF REPEAL Repeal effective on first day of seventh calendar month that begins after Oct. 26, 1970, see section 1105(a) of Pub. L. 91-513, set out as an Effective Date note under section 951 of Title 21, Food and Drugs. SAVINGS PROVISION Prosecutions for any violation of law occurring, and civil seizures or forfeitures and injunctive proceedings commenced, prior to the effective date of repeal of these sections by section 1101 of Pub. L. 91-513 not to be affected or abated by reason thereof, see section 1103 of Pub. L. 91-513, set out as a note under section 171 of Title 21, Food and Drugs. ------DocID 24262 Document 504 of 1438------ -CITE- 18 USC CHAPTER 69 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- CHAPTER 69 - NATIONALITY AND CITIZENSHIP -MISC1- Sec. 1421. Accounts of court officers. 1422. Fees in naturalization proceedings. 1423. Misuse of evidence of citizenship or naturalization. 1424. Personation or misuse of papers in naturalization proceedings. 1425. Procurement of citizenship or naturalization unlawfully. 1426. Reproduction of naturalization or citizenship papers. 1427. Sale of naturalization or citizenship papers. 1428. Surrender of canceled naturalization certificate. 1429. Penalties for neglect or refusal to answer subpena. -CROSS- CROSS REFERENCES Passports and visas, offenses, see section 1541 et seq. of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3291 of this title. ------DocID 24263 Document 505 of 1438------ -CITE- 18 USC Sec. 1421 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1421. Accounts of court officers -STATUTE- Whoever, being a clerk or assistant clerk of a court, or other person charged by law with a duty to render true accounts of moneys received in any proceeding relating to citizenship, naturalization, or registration of aliens or to pay over any balance of such moneys due to the United States, willfully neglects to do so within thirty days after said payment shall become due and demand therefor has been made, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 766.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a)(34), (d) and (l) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a)(34), (d), (l), 54 Stat. 1167, 1168). Minor changes in phraseology only were made. ------DocID 24264 Document 506 of 1438------ -CITE- 18 USC Sec. 1422 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1422. Fees in naturalization proceedings -STATUTE- Whoever knowingly demands, charges, solicits, collects, or receives, or agrees to charge, solicit, collect, or receive any other or additional fees or moneys in proceedings relating to naturalization or citizenship or the registry of aliens beyond the fees and moneys authorized by law, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 766.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a)(33), (d), (l) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a)(33), (d), (l), 54 Stat. 1167, 1168). Minor changes in phraseology were made. ------DocID 24265 Document 507 of 1438------ -CITE- 18 USC Sec. 1423 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1423. Misuse of evidence of citizenship or naturalization -STATUTE- Whoever knowingly uses for any purpose any order, certificate, certificate of naturalization, certificate of citizenship, judgment, decree, or exemplification, unlawfully issued or made, or copies or duplicates thereof, showing any person to be naturalized or admitted to be a citizen, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 766.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a)(14), (b), (d) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a)(14), (b), (d), 54 Stat. 1165, 1167). Section consolidates subsections (a) paragraph (14), (b), (d), and the general punishment provision of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality. The reference 'for the purpose of voting' was omitted as surplusage being embraced in the all-inclusive phrase 'for any purpose.' Changes in phraseology were made. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title. ------DocID 24266 Document 508 of 1438------ -CITE- 18 USC Sec. 1424 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1424. Personation or misuse of papers in naturalization proceedings -STATUTE- Whoever, whether as applicant, declarant, petitioner, witness or otherwise, in any naturalization or citizenship proceeding, knowingly personates another or appears falsely in the name of a deceased person or in an assumed or fictitious name; or Whoever knowingly and unlawfully uses or attempts to use, as showing naturalization or citizenship of any person, any order, certificate, certificate of naturalization, certificate of citizenship, judgment, decree, or exemplification, or copies or duplicates thereof, issued to another person, or in a fictitious name or in the name of a deceased person - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 766.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsection (a) pars. (6)(a), (b), (15), (b), (d) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a), pars. (6), (15), (b), (d), 54 Stat. 1164, 1165, 1167). Section consolidates, with minor verbal changes, subsections (a), pars. (6)(a), (b), (15), (b), (d), and the general punishment provision of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title. ------DocID 24267 Document 509 of 1438------ -CITE- 18 USC Sec. 1425 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1425. Procurement of citizenship or naturalization unlawfully -STATUTE- (a) Whoever knowingly procures or attempts to procure, contrary to law, the naturalization of any person, or documentary or other evidence of naturalization or of citizenship; or (b) Whoever, whether for himself or another person not entitled thereto, knowingly issues, procures or obtains or applies for or otherwise attempts to procure or obtain naturalization, or citizenship, or a declaration of intention to become a citizen, or a certificate of arrival or any certificate or evidence of nationalization or citizenship, documentary or otherwise, or duplicates or copies of any of the foregoing - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 766.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a) pars. (2)-(5), (7), (b), and (d) of section 746 of Title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a), pars. (2)-(5), (7), (b), (d), 54 Stat. 1163, 1164, 1167). Section consolidates five similar paragraphs, and the punishment provisions of subsection (d) of said section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality, with minor necessary changes in translations and phraseology. Numerous references to aiding and assisting were omitted as unnecessary as such persons are principals under definitive section 2 of this title. Words 'a certificate of arrival or' were inserted before 'any certificate' in subsection (b), so as to remove any doubt as to scope of section. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title; title 8 section 1451. ------DocID 24268 Document 510 of 1438------ -CITE- 18 USC Sec. 1426 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1426. Reproduction of naturalization or citizenship papers -STATUTE- (a) Whoever falsely makes, forges, alters or counterfeits any oath, notice, affidavit, certificate of arrival, declaration of intention, certificate or documentary evidence of naturalization or citizenship or any order, record, signature, paper or proceeding or any copy thereof, required or authorized by any law relating to naturalization or citizenship or registry of aliens; or (b) Whoever utters, sells, disposes of or uses as true or genuine, any false, forged, altered, antedated or counterfeited oath, notice, affidavit, certificate of arrival, declaration of intention to become a citizen, certificate or documentary evidence of naturalization or citizenship, or any order, record, signature or other instrument, paper or proceeding required or authorized by any law relating to naturalization or citizenship or registry of aliens, or any copy thereof, knowing the same to be false, forged, altered, antedated or counterfeited; or (c) Whoever, with intent unlawfully to use the same, possesses any false, forged, altered, antedated or counterfeited certificate of arrival, declaration of intention to become a citizen, certificate or documentary evidence of naturalization or citizenship purporting to have been issued under any law of the United States, or copy thereof, knowing the same to be false, forged, altered, antedated or counterfeited; or (d) Whoever, without lawful authority, engraves or possesses, sells or brings into the United States any plate in the likeness or similitude of any plate designed, for the printing of a declaration of intention, or certificate or documentary evidence of naturalization or citizenship; or (e) Whoever, without lawful authority, brings into the United States any document printed therefrom; or (f) Whoever, without lawful authority, possesses any blank certificate of arrival, blank declaration of intention or blank certificate of naturalization or citizenship provided by the Immigration and Naturalization Service, with intent unlawfully to use the same; or (g) Whoever, with intent unlawfully to use the same, possesses a distinctive paper adopted by the proper officer or agency of the United States for the printing or engraving of a declaration of intention to become a citizen, or certificate of naturalization or certificate of citizenship; or (h) Whoever, without lawful authority, prints, photographs, makes or executes any print or impression in the likeness of a certificate of arrival, declaration of intention to become a citizen, or certificate of naturalization or citizenship, or any part thereof - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 767.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a) pars. (8)-(12), (16), (17), (20)-(29), (b), (d), (l) of section 746 of Title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a) pars. (8)-(12), (16), (17), (20)-(29), (b), (d), (l), 54 Stat. 1164-1168). Sections consolidates numerous similar paragraphs with necessary changes in phraseology and translations. References to persons causing, procuring, aiding, abetting, or assisting were omitted as unnecessary, such persons being principals under definitive section 2 of this title. -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title. ------DocID 24269 Document 511 of 1438------ -CITE- 18 USC Sec. 1427 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1427. Sale of naturalization or citizenship papers -STATUTE- Whoever unlawfully sells or disposes of a declaration of intention to become a citizen, certificate of naturalization, certificate of citizenship or copies or duplicates or other documentary evidence of naturalization or citizenship, shall be fined not more than $5,000 or imprisoned not more than five years or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 767.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a) par. (13), (d) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a)(13), (d), 54 Stat. 1165, 1167). Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title. ------DocID 24270 Document 512 of 1438------ -CITE- 18 USC Sec. 1428 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1428. Surrender of canceled naturalization certificate -STATUTE- Whoever, having in his possession or control a certificate of naturalization or citizenship or a copy thereof which has been canceled as provided by law, fails to surrender the same after at least sixty days' notice by the appropriate court or the Commissioner or Deputy Commissioner of Immigration, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 767.) -MISC1- HISTORICAL AND REVISION NOTES Based on subsections (a) par. (31), (b), (d) of section 746 of title 8, U.S.C., 1940 ed., Aliens and Nationality (Oct. 14, 1940, ch. 876, Sec. 346(a) par. (31), (b), (d), 54 Stat. 1167). Subsection (b) of said section 746 of title 8 is the authority for inserting 'or a copy thereof' after 'citizenship.' Changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested, in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2, of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title. ------DocID 24271 Document 513 of 1438------ -CITE- 18 USC Sec. 1429 -EXPCITE- TITLE 18 PART I CHAPTER 69 -HEAD- Sec. 1429. Penalties for neglect or refusal to answer subpena -STATUTE- Any person who has been subpenaed under the provisions of subsection (d) of section 336 of the Immigration and Nationality Act to appear at the final hearing of an application for naturalization, and who shall neglect or refuse to so appear and to testify, if in the power of such person to do so, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (Added June 27, 1952, ch. 477, title IV, Sec. 402(b), 66 Stat. 276, and amended Dec. 29, 1981, Pub. L. 97-116, Sec. 18(u)(1), 95 Stat. 1621; Nov. 29, 1990, Pub. L. 101-649, title IV, Sec. 407(c)(21), 104 Stat. 5041.) -REFTEXT- REFERENCES IN TEXT Subsection (d) of section 336 of the Immigration and Nationality Act, referred to in text, is classified to section 1447(d) of Title 8, Aliens and Nationality. -MISC2- AMENDMENTS 1990 - Pub. L. 101-649 substituted 'an application' for 'a petition'. 1981 - Pub. L. 97-116 substituted 'subsection (d)' for 'subsection (e)'. EFFECTIVE DATE OF 1990 AMENDMENT; SAVINGS PROVISIONS Amendment by Pub. L. 101-649 effective Nov. 29, 1990, with general savings provisions, see section 408(a)(3) and (d) of Pub. L. 101-649, set out as a note under section 1421 of Title 8, Aliens and Nationality. EFFECTIVE DATE OF 1981 AMENDMENT Amendment by Pub. L. 97-116 effective Dec. 29, 1981, see section 21(a) of Pub. L. 97-116, set out as a note under section 1101 of Title 8, Aliens and Nationality. ------DocID 24272 Document 514 of 1438------ -CITE- 18 USC CHAPTER 71 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- CHAPTER 71 - OBSCENITY -MISC1- Sec. 1460. Possession with intent to sell, and sale, of obscene matter on Federal property. 1461. Mailing obscene or crime-inciting matter. 1462. Importation or transportation of obscene matters. 1463. Mailing indecent matter on wrappers or envelopes. 1464. Broadcasting obscene language. 1465. Transportation of obscene matters for sale or distribution. 1466. Engaging in the business of selling or transferring obscene matter. 1467. Criminal forfeiture. 1468. Distributing obscene material by cable or subscription television. 1469. Presumptions. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7521(b), (f)((e)), 7523(b), 7526(b), Nov. 18, 1988, 102 Stat. 4489, 4490, 4502, 4503, added items 1460 and 1466 to 1469. 1955 - Act June 28, 1955, ch. 190, Sec. 4, 69 Stat. 184, added item 1465. 1950 - Act May 27, 1950, ch. 214, Sec. 2, 64 Stat. 194, substituted 'matters' for 'literature' in item 1462. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title; title 39 section 3001. ------DocID 24273 Document 515 of 1438------ -CITE- 18 USC Sec. 1460 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1460. Possession with intent to sell, and sale, of obscene matter on Federal property -STATUTE- (a) Whoever, either - (1) in the special maritime and territorial jurisdiction of the United States, or on any land or building owned by, leased to, or otherwise used by or under the control of the Government of the United States; or (2) in the Indian country as defined in section 1151 of this title, knowingly sells or possesses with intent to sell an obscene visual depiction shall be punished by a fine in accordance with the provisions of this title or imprisoned for not more than 2 years, or both. (b) For the purposes of this section, the term 'visual depiction' includes undeveloped film and videotape but does not include mere words. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7526(a), Nov. 18, 1988, 102 Stat. 4503, and amended Pub. L. 101-647, title III, Sec. 323(c), Nov. 29, 1990, 104 Stat. 4819.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 323(c)(1), struck out 'or a visual depiction of a minor engaging in or assisting another person to engage in sexually explicit conduct,' after 'visual depiction' in concluding provisions. Subsec. (b). Pub. L. 101-647, Sec. 323(c)(2), amended subsec. (b) generally. Prior to amendment, subsec. (b) read as follows: 'For the purposes of this section - '(1) the term 'visual depiction' includes undeveloped film and videotape but does not include mere words; and '(2) the terms 'minor' and 'sexually explicit conduct' have the meaning given those terms in chapter 110 of this title.' ------DocID 24274 Document 516 of 1438------ -CITE- 18 USC Sec. 1461 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1461. Mailing obscene or crime-inciting matter -STATUTE- Every obscene, lewd, lascivious, indecent, filthy or vile article, matter, thing, device, or substance; and - Every article or thing designed, adapted, or intended for producing abortion, or for any indecent or immoral use; and Every article, instrument, substance, drug, medicine, or thing which is advertised or described in a manner calculated to lead another to use or apply it for producing abortion, or for any indecent or immoral purpose; and Every written or printed card, letter, circular, book, pamphlet, advertisement, or notice of any kind giving information, directly or indirectly, where, or how, or from whom, or by what means any of such mentioned matters, articles, or things may be obtained or made, or where or by whom any act or operation of any kind for the procuring or producing of abortion will be done or performed, or how or by what means abortion may be produced, whether sealed or unsealed; and Every paper, writing, advertisement, or representation that any article, instrument, substance, drug, medicine, or thing may, or can, be used or applied for producing abortion, or for any indecent or immoral purpose; and Every description calculated to induce or incite a person to so use or apply any such article, instrument, substance, drug, medicine, or thing - Is declared to be nonmailable matter and shall not be conveyed in the mails or delivered from any post office or by any letter carrier. Whoever knowingly uses the mails for the mailing, carriage in the mails, or delivery of anything declared by this section or section 3001(e) of title 39 to be nonmailable, or knowingly causes to be delivered by mail according to the direction thereon, or at the place at which it is directed to be delivered by the person to whom it is addressed, or knowingly takes any such thing from the mails for the purpose of circulating or disposing thereof, or of aiding in the circulation or disposition thereof, shall be fined not more than $5,000 or imprisoned not more than five years, or both, for the first such offense, and shall be fined not more than $10,000 or imprisoned not more than ten years, or both, for each such offense thereafter. The term 'indecent', as used in this section includes matter of a character tending to incite arson, murder, or assassination. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 768; June 28, 1955, ch. 190, Sec. 1, 2, 69 Stat. 183; Aug. 28, 1958, Pub. L. 85-796, Sec. 1, 72 Stat. 962; Jan. 8, 1971, Pub. L. 91-662, Sec. 3, 5(b), 6(3), 84 Stat. 1973, 1974.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 334 (Mar. 4, 1909, ch. 321, Sec. 211, 35 Stat. 1129; Mar. 4, 1911, ch. 241, Sec. 2, 36 Stat. 1339). The attention of Congress is invited to the following decisions of the Federal courts construing this section and section 1462 of this title. In Youngs Rubber Corporation, Inc. v. C. I. Lee & Co., Inc., C.C.A. 1930, 45 F. 2d 103, it was said that the word 'adapted' as used in this section and in section 1462 of this title, the latter relating to importation and transportation of obscene matter, is not to be construed literally, the more reasonable interpretation being to construe the whole phrase 'designed, adapted or intended' as requiring 'an intent on the part of the sender that the article mailed or shipped by common carrier be used for illegal contraception or abortion or for indecent or immoral purposes.' The court pointed out that, taken literally, the language of these sections would seem to forbid the transportation by mail or common carrier of anything 'adapted,' in the sense of being suitable or fitted, for preventing conception or for any indecent or immoral purpose, 'even though the article might also be capable of legitimate uses and the sender in good faith supposed that it would be used only legitimately. Such a construction would prevent mailing to or by a physician of any drug or mechanical device 'adapted' for contraceptive or abortifacient uses, although the physician desired to use or to prescribe it for proper medical purposes. The intention to prevent a proper medical use of drugs or other articles merely because they are capable of illegal uses is not lightly to be ascribed to Congress. Section 334 (this section) forbids also the mailing of obscene books and writings; yet it has never been thought to bar from the mails medical writings sent to or by physicians for proper purposes, though of a character which would render them highly indecent if sent broadcast to all classes of persons.' In United States v. Nicholas, C.C.A. 1938, 97 F. 2d 510, ruling directly on this point, it was held that the importation or sending through the mails of contraceptive articles or publications is not forbidden absolutely, but only when such articles or publications are unlawfully employed. The same rule was followed in Davis v. United States, C.C.A. 1933, 62 F. 2d 473, quoting the obiter opinion from Youngs Rubber Corporation v. C. I. Lee & Co., supra, and holding that the intent of the person mailing a circular conveying information for preventing conception that the article described therein should be used for condemned purposes was necessary for a conviction; also that this section must be given a reasonable construction. (See also United States v. One Package, C.C.A. 1936, 86 F. 2d 737.) Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes in phraseology were made. AMENDMENTS 1971 - Pub. L. 91-662, Sec. 3(1), in second par., struck out 'preventing conception or' before 'producing abortion'. Pub. L. 91-662, Sec. 3(1), in third par., struck out 'preventing conception or' after 'apply it for'. Pub. L. 91-662, Sec. 3(2), (3), in fourth par., substituted 'means abortion may be produced' for 'means conception may be prevented or abortion produced'. Pub. L. 91-662, Sec. 3(1), in fifth par., struck out 'preventing conception or' after 'applied for'. Pub. L. 91-662, Sec. 6(3), in eighth par., inserted 'or section 3001(e) of title 39' after 'this section'. Section 5(b) of Pub. L. 91-662 inserted reference to section 4001(d) of Title 39, The Postal Service, which reflected provisions of Title 39 prior to the effective date of Title 39, Postal Service, as enacted by the Postal Reorganization Act. Said section 4001(d) was repealed by section 6(2) of Pub. L. 91-662, effective on the date that the Board of Governors of the Postal Service establish as the effective date for section 3001 of Title 39, Postal Service. 1958 - Pub. L. 85-796 provided in eighth par. for continuing offenses by use of the mails instead of by deposits for mailing and for punishment for subsequent offenses. 1955 - Act June 28, 1955, Sec. 1, in first par., substituted 'indecent, filthy or vile article, matter, thing, device or substance' for 'or filthy book, pamphlet, picture paper, letter, writing, print, or other publication of an indecent character'. Act June 28, 1955, Sec. 2, struck out fifth par., which read as follows: 'Every letter, packet, or package, or other mail matter containing any filthy, vile, or indecent thing, device or substance; and'. EFFECTIVE DATE OF 1971 AMENDMENT Amendment by sections 3 and 5(b) of Pub. L. 91-662 effective Jan. 9, 1971, see section 7 of Pub. L. 91-662, set out as a note under section 552 of this title. Section 6 of Pub. L. 91-662 provided that the amendment made by that section is effective on date that Board of Governors of United States Postal Service establishes as the effective date for section 3001 of title 39 of the United States Code, as enacted by the Postal Reorganization Act. COMMISSION ON OBSCENITY AND PORNOGRAPHY Pub. L. 90-100, Oct. 3, 1967, 81 Stat. 253, as amended by Pub. L. 90-350, title V, Sec. 502, June 19, 1968, 82 Stat. 197; Pub. L. 91-74, title V, Sec. 503, Sept. 29, 1969, 83 Stat. 123, provided for establishment of Commission on Obscenity and Pornography, its membership, compensation of members, powers, functions, and duties of Commission, required Commission to report to President and to Congress its findings and recommendations no later than Sept. 30, 1970, and provided for its termination ten days following submission of report. -CROSS- CROSS REFERENCES Importation of immoral articles prohibited, see section 1305 of Title 19, Customs Duties. Seizure and disposition of nonmailable matter, see section 3001 et seq. of Title 39, Postal Service. Wire or oral communications, authorization for interception, to provide evidence of murder, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title; title 39 sections 3001, 3011. ------DocID 24275 Document 517 of 1438------ -CITE- 18 USC Sec. 1462 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1462. Importation or transportation of obscene matters -STATUTE- Whoever brings into the United States, or any place subject to the jurisdiction thereof, or knowingly uses any express company or other common carrier, for carriage in interstate or foreign commerce - (a) any obscene, lewd, lascivious, or filthy book, pamphlet, picture, motion-picture film, paper, letter, writing, print, or other matter of indecent character; or (b) any obscene, lewd, lascivious, or filthy phonograph recording, electrical transcription, or other article or thing capable of producing sound; or (c) any drug, medicine, article, or thing designed, adapted, or intended for producing abortion, or for any indecent or immoral use; or any written or printed card, letter, circular, book, pamphlet, advertisement, or notice of any kind giving information, directly or indirectly, where, how, or of whom, or by what means any of such mentioned articles, matters, or things may be obtained or made; or Whoever knowingly takes from such express company or other common carrier any matter or thing the carriage of which is herein made unlawful - Shall be fined not more than $5,000 or imprisoned not more than five years, or both, for the first such offense and shall be fined not more than $10,000 or imprisoned not more than ten years, or both, for each such offense thereafter. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 768; May 27, 1950, ch. 214, Sec. 1, 64 Stat. 194; Aug. 28, 1958, Pub. L. 85-796, Sec. 2, 72 Stat. 962; Jan. 8, 1971, Pub. L. 91-662, Sec. 4, 84 Stat. 1973.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 396 (Mar. 4, 1909, ch. 321, Sec. 245, 35 Stat. 1138; June 5, 1920, ch. 268, 41 Stat. 1060). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'in interstate or foreign commerce' were substituted for ten lines of text without loss of meaning. (See definitive section 10 of this title.) (See reviser's note under section 1461 of this title.) Minor changes in phraseology were made. AMENDMENTS 1971 - Pub. L. 91-662 struck out 'preventing conception, or' before 'producing abortion'. 1958 - Pub. L. 85-796 substituted 'uses' for 'deposits with' in opening par., 'carriage of which' for 'depositing of which for carriage' in penultimate par., and inserted penalty provisions for subsequent offenses in last par. 1950 - Act May 27, 1950, brought within scope of section the importation or transportation of any obscene, lewd, lascivious, or filthy phonograph recording, electrical transcription, or other article or think capable of producing sound. EFFECTIVE DATE OF 1971 AMENDMENT Amendment by Pub. L. 91-662 effective Jan. 9, 1971, see section 7 of Pub. L. 91-662, set out as a note under section 552 of this title. -CROSS- CROSS REFERENCES Importation of immoral articles prohibited, see section 1305 of Title 19, Customs Duties. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title. ------DocID 24276 Document 518 of 1438------ -CITE- 18 USC Sec. 1463 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1463. Mailing indecent matter on wrappers or envelopes -STATUTE- All matter otherwise mailable by law, upon the envelope or outside cover or wrapper of which, and all postal cards upon which, any delineations, epithets, terms, or language of an indecent, lewd, lascivious, or obscene character are written or printed or otherwise impressed or apparent, are nonmailable matter, and shall not be conveyed in the mails nor delivered from any post office nor by any letter carrier, and shall be withdrawn from the mails under such regulations as the Postal Service shall prescribe. Whoever knowingly deposits for mailing or delivery, anything declared by this section to be nonmailable matter, or knowingly takes the same from the mails for the purpose of circulating or disposing of or aiding in the circulation or disposition of the same, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 769; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(13), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed. Sec. 335 (Mar. 4, 1909, ch. 321, Sec. 212, 35 Stat. 1129). Said section 335 of title 18, U.S.C., 1940 ed., was incorporated in this section and section 1718 of this title. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Postmaster General'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Seizure and disposition of nonmailable matter, see section 3001 et seq. of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title; title 39 sections 3001, 3011. ------DocID 24277 Document 519 of 1438------ -CITE- 18 USC Sec. 1464 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1464. Broadcasting obscene language -STATUTE- Whoever utters any obscene, indecent, or profane language by means of radio communication shall be fined not more than $10,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 769.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 326 and 501 of title 47, U.S.C., 1940 ed., Telegraphs, Telephones, and Radio-telegraphs (June 19, 1934, ch. 652, Sec. 326, 501, 48 Stat. 1091, 1100). Section consolidates last sentence of section 326 with penalty provision of section 501 both of title 47, U.S.C., 1940 ed., with changes in phraseology necessary to effect the consolidation. Section 501 of title 47, U.S.C., 1940 ed., is to remain, also, in said title 47, as it relates to other sections therein. OBSCENE LANGUAGE; PROMULGATION OF REGULATIONS Federal Communications Commission to promulgate regulations by Jan. 31, 1989, in accordance with this section to enforce this section on a 24 hour per day basis, see section 608 of Pub. L. 100-459, set out as a note under section 303 of Title 47, Telegraphs, Telephones, and Radiotelegraphs. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title; title 47 sections 312, 503. ------DocID 24278 Document 520 of 1438------ -CITE- 18 USC Sec. 1465 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1465. Transportation of obscene matters for sale or distribution -STATUTE- Whoever knowingly transports in interstate or foreign commerce for the purpose of sale or distribution, or knowingly travels in interstate commerce, or uses a facility or means of interstate commerce for the purpose of transporting obscene material in interstate or foreign commerce, any obscene, lewd, lascivious, or filthy book, pamphlet, picture, film, paper, letter, writing, print, silhouette, drawing, figure, image, cast, phonograph recording, electrical transcription or other article capable of producing sound or any other matter of indecent or immoral character, shall be fined not more than $5,000 or imprisoned not more than five years, or both. The transportation as aforesaid of two or more copies of any publication or two or more of any article of the character described above, or a combined total of five such publications and articles, shall create a presumption that such publications or articles are intended for sale or distribution, but such presumption shall be rebuttable. -SOURCE- (Added June 28, 1955, ch. 190, Sec. 3, 69 Stat. 183, and amended Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7521(c), 7522(b), 102 Stat. 4489, 4494.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690, Sec. 7521(c), inserted ', or knowingly travels in interstate commerce, or uses a facility or means of interstate commerce for the purpose of transporting obscene material in interstate or foreign commerce,' after 'distribution' in first par. Pub. L. 100-690, Sec. 7522(b), struck out last par. which read as follows: 'When any person is convicted of a violation of this Act, the court in its judgment of conviction may, in addition to the penalty prescribed, order the confiscation and disposal of such items described herein which were found in the possession or under the immediate control of such person at the time of his arrest.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title. ------DocID 24279 Document 521 of 1438------ -CITE- 18 USC Sec. 1466 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1466. Engaging in the business of selling or transferring obscene matter -STATUTE- (a) Whoever is engaged in the business of selling or transferring obscene matter, who knowingly receives or possesses with intent to distribute any obscene book, magazine, picture, paper, film, videotape, or phonograph or other audio recording, which has been shipped or transported in interstate or foreign commerce, shall be punished by imprisonment for not more than 5 years or by a fine under this title, or both. (b) As used in this section, the term 'engaged in the business' means that the person who sells or transfers or offers to sell or transfer obscene matter devotes time, attention, or labor to such activities, as a regular course of trade or business, with the objective of earning a profit, although it is not necessary that the person make a profit or that the selling or transferring or offering to sell or transfer such material be the person's sole or principal business or source of income. The offering for sale of or to transfer, at one time, two or more copies of any obscene publication, or two or more of any obscene article, or a combined total of five or more such publications and articles, shall create a rebuttable presumption that the person so offering them is 'engaged in the business' as defined in this subsection. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7521(a), Nov. 18, 1988, 102 Stat. 4489, and amended Pub. L. 101-647, title XXXV, Sec. 3548, Nov. 29, 1990, 104 Stat. 4926.) -MISC1- AMENDMENTS 1990 - Subsec. (b). Pub. L. 101-647 substituted 'this section' for 'this subsection' and 'this subsection' for 'subsection (b)'. ------DocID 24280 Document 522 of 1438------ -CITE- 18 USC Sec. 1467 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1467. Criminal forfeiture -STATUTE- (a) Property Subject to Criminal Forfeiture. - A person who is convicted of an offense involving obscene material under this chapter shall forfeit to the United States such person's interest in - (1) any obscene material produced, transported, mailed, shipped, or received in violation of this chapter; (2) any property, real or personal, constituting or traceable to gross profits or other proceeds obtained from such offense; and (3) any property, real or personal, used or intended to be used to commit or to promote the commission of such offense, if the court in its discretion so determines, taking into consideration the nature, scope, and proportionality of the use of the property in the offense. (b) Third Party Transfers. - All right, title, and interest in property described in subsection (a) of this section vests in the United States upon the commission of the act giving rise to forfeiture under this section. Any such property that is subsequently transferred to a person other than the defendant may be the subject of a special verdict of forfeiture and thereafter shall be ordered forfeited to the United States, unless the transferee establishes in a hearing pursuant to subsection (m) of this section that he is a bona fide purchaser for value of such property who at the time of purchase was reasonably without cause to believe that the property was subject to forfeiture under this section. (c) Protective Orders. - (1) Upon application of the United States, the court may enter a restraining order or injunction, require the execution of a satisfactory performance bond, or take any other action to preserve the availability of property described in subsection (a) of this section for forfeiture under this section - (A) upon the filing of an indictment or information charging a violation of this chapter for which criminal forfeiture may be ordered under this section and alleging that the property with respect to which the order is sought would, in the event of conviction, be subject to forfeiture under this section; or (B) prior to the filing of such an indictment or information, if, after notice to persons appearing to have an interest in the property and opportunity for a hearing, the court determines that - (i) there is a substantial probability that the United States will prevail on the issue of forfeiture and that failure to enter the order will result in the property being destroyed, removed from the jurisdiction of the court, or otherwise made unavailable for forfeiture; and (ii) the need to preserve the availability of the property through the entry of the requested order outweighs the hardship on any party against whom the order is to be entered; except that an order entered under subparagraph (B) shall be effective for not more than 90 days, unless extended by the court for good cause shown or unless an indictment or information described in subparagraph (A) has been filed. (2) A temporary restraining order under this subsection may be entered upon application of the United States without notice or opportunity for a hearing when an information or indictment has not yet been filed with respect to the property, if the United States demonstrates that there is probable cause to believe that the property with respect to which the order is sought would, in the event of conviction, be subject to forfeiture under this section and that provision of notice will jeopardize the availability of the property for forfeiture. Such a temporary order shall expire not more than 10 days after the date on which it is entered, unless extended for good cause shown or unless the party against whom it is entered consents to an extension for a longer period. A hearing requested concerning an order entered under this paragraph shall be held at the earliest possible time and prior to the expiration of the temporary order. (3) The court may receive and consider, at a hearing held pursuant to this subsection, evidence and information that would be inadmissible under the Federal Rules of Evidence. (d) Warrant of Seizure. - The Government may request the issuance of a warrant authorizing the seizure of property subject to forfeiture under this section in the same manner as provided for a search warrant. If the court determines that there is probable cause to believe that the property to be seized would, in the event of conviction, be subject to forfeiture and that an order under subsection (c) of this section may not be sufficient to assure the availability of the property for forfeiture, the court shall issue a warrant authorizing the seizure of such property. (e) Order of Forfeiture. - The court shall order forfeiture of property referred to in subsection (a) if - (1) the trier of fact determines, beyond a reasonable doubt, that such property is subject to forfeiture; and (2) with respect to property referred to in subsection (a)(3), if the court exercises the court's discretion under that subsection. (f) Execution. - Upon entry of an order of forfeiture under this section, the court shall authorize the Attorney General to seize all property ordered forfeited upon such terms and conditions as the court shall deem proper. Following entry of an order declaring the property forfeited, the court may, upon application of the United States, enter such appropriate restraining orders or injunctions, require the execution of satisfactory performance bonds, appoint receivers, conservators, appraisers, accountants, or trustees, or take any other action to protect the interest of the United States in the property ordered forfeited. Any income accruing to or derived from property ordered forfeited under this section may be used to offset ordinary and necessary expenses to the property which are required by law, or which are necessary to protect the interests of the United States or third parties. (g) Disposition of Property. - Following the seizure of property ordered forfeited under this section, the Attorney General shall destroy or retain for official use any property described in paragraph (1) of subsection (a) and shall direct the disposition of any property described in paragraph (2) or (3) of subsection (a) by sale or any other commercially feasible means, making due provision for the rights of any innocent persons. Any property right or interest not exercisable by, or transferable for value to, the United States shall expire and shall not revert to the defendant, nor shall the defendant or any person acting in concert with him or on his behalf be eligible to purchase forfeited property at any sale held by the United States. Upon application of a person, other than the defendant or person acting in concert with him or on his behalf, the court may restrain or stay the sale or disposition of the property pending the conclusion of any appeal of the criminal case giving rise to the forfeiture, if the applicant demonstrates that proceeding with the sale or disposition of the property will result in irreparable injury, harm, or loss to him. (h) Authority of Attorney General. - With respect to property ordered forfeited under this section, the Attorney General is authorized to - (1) grant petitions for mitigation or remission of forfeiture, restore forfeited property to victims of a violation of this chapter, or take any other action to protect the rights of innocent persons which is in the interest of justice and which is not inconsistent with the provisions of this section; (2) comprise claims arising under this section; (3) award compensation to persons providing information resulting in a forfeiture under this section; (4) direct the disposition by the United States, under section 616 of the Tariff Act of 1930, of all property ordered forfeited under this section by public sale or any other commercially feasible means, making due provision for the rights of innocent persons; and (5) take appropriate measures necessary to safeguard and maintain property ordered forfeited under this section pending its disposition. (i) Bar on Intervention. - Except as provided in subsection (l) of this section, no party claiming an interest in property subject to forfeiture under this section may - (1) intervene in a trial or appeal of a criminal case involving the forfeiture of such property under this section; or (2) commence an action at law or equity against the United States concerning the validity of his alleged interest in the property subsequent to the filing of an indictment or information alleging that the property is subject to forfeiture under this section. (j) Jurisdiction To Enter Orders. - The district courts of the United States shall have jurisdiction to enter orders as provided in this section without regard to the location of any property which may be subject to forfeiture under this section or which has been ordered forfeited under this section. (k) Depositions. - In order to facilitate the identification and location of property declared forfeited and to facilitate the disposition of petitions for remission or mitigation of forfeiture, after the entry of an order declaring property forfeited to the United States, the court may, upon application of the United States, order that the testimony of any witness relating to the property forfeited be taken by deposition and that any designated book, paper, document, record, recording, or other material not privileged be produced at the same time and place, in the same manner as provided for the taking of depositions under Rule 15 of the Federal Rules of Criminal Procedure. (l) Third Party Interests. - (1) Following the entry of an order of forfeiture under this section, the United States shall publish notice of the order and of its intent to dispose of the property in such manner as the Attorney General may direct. The Government may also, to the extent practicable, provide direct written notice to any person known to have alleged an interest in the property that is the subject of the order of forfeiture as a substitute for published notice as to those persons so notified. (2) Any person, other than the defendant, asserting a legal interest in property which has been ordered forfeited to the United States pursuant to this section may, within 30 days of the final publication of notice or his receipt of notice under paragraph (1), whichever is earlier, petition the court for a hearing to adjudicate the validity of his alleged interest in the property. The hearing shall be held before the court alone, without a jury. (3) The petition shall be signed by the petitioner under penalty of perjury and shall set forth the nature and extent of the petitioner's right, title, or interest in the property, the time and circumstances of the petitioner's acquisition of the right, title, or interest in the property, any additional facts supporting the petitioner's claim, and the relief sought. (4) The hearing on the petition shall, to the extent practicable and consistent with the interests of justice, be held within 30 days of the filing of the petition. The court may consolidate the hearing on the petition with a hearing on any other petition filed by a person other than the defendant under this subsection. (5) At the hearing, the petitioner may testify and present evidence and witnesses on his own behalf, and cross-examine witnesses who appear at the hearing. The United States may present evidence and witnesses in rebuttal and in defense of its claim to the property and cross-examine witnesses who appear at the hearing. In addition to testimony and evidence presented at the hearing, the court shall consider the relevant portions of the record of the criminal case which resulted in the order of forfeiture. (6) If, after the hearing, the court determines that the petitioner has established by a preponderance of the evidence that - (A) the petitioner has a legal right, title, or interest in the property, and such right, title, or interest renders the order of forfeiture invalid in whole or in part because the right, title, or interest was vested in the petitioner rather than the defendant or was superior to any right, title, or interest of the defendant at the time of the commission of the acts which gave rise to the forfeiture of the property under this section; or (B) the petitioner is a bona fide purchaser for value of the right, title, or interest in the property and was at the time of purchase reasonably without cause to believe that the property was subject to forfeiture under this section; the court shall amend the order of forfeiture in accordance with its determination. (7) Following the court's disposition of all petitions filed under this subsection, or if no such petitions are filed following the expiration of the period provided in paragraph (2) for the filing of such petitions, the United States shall have clear title to property that is the subject of the order of forfeiture and may warrant good title to any subsequent purchaser or transferee. (m) Construction. - This section shall be liberally construed to effectuate its remedial purposes. (n) Substitute Assets. - If any of the property described in subsection (a), as a result of any act or omission of the defendant - (1) cannot be located upon the exercise of due diligence; (2) has been transferred or sold to, or deposited with, a third party; (3) has been placed beyond the jurisdiction of the court; (4) has been substantially diminished in value; or (5) has been commingled with other property which cannot be divided without difficulty; the court shall order the forfeiture of any other property of the defendant up to the value of any property described in paragraphs (1) through (5). -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7522(a), Nov. 18, 1988, 102 Stat. 4490, and amended Pub. L. 101-647, title XXXV, Sec. 3549, Nov. 29, 1990, 104 Stat. 4926.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in subsec. (c)(3), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. Section 616 of the Tariff Act of 1930, referred to in subsec. (h)(4), is classified to section 1616a of Title 19, Customs Duties. The Federal Rules of Criminal Procedure, referred to in subsec. (k), are set out in the Appendix to this title. -MISC2- AMENDMENTS 1990 - Subsec. (h)(4). Pub. L. 101-647 substituted 'under section 616 of the Tariff Act of 1930' for 'in accordance with the provisions of section 1616, title 19, United States Code'. ------DocID 24281 Document 523 of 1438------ -CITE- 18 USC Sec. 1468 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1468. Distributing obscene material by cable or subscription television -STATUTE- (a) Whoever knowingly utters any obscene language or distributes any obscene matter by means of cable television or subscription services on television, shall be punished by imprisonment for not more than 2 years or by a fine in accordance with this title, or both. (b) As used in this section, the term 'distribute' means to send, transmit, retransmit, telecast, broadcast, or cablecast, including by wire, microwave, or satellite, or to produce or provide material for such distribution. (c) Nothing in this chapter, or the Cable Communications Policy Act of 1984, or any other provision of Federal law, is intended to interfere with or preempt the power of the States, including political subdivisions thereof, to regulate the uttering of language that is obscene or otherwise unprotected by the Constitution or the distribution of matter that is obscene or otherwise unprotected by the Constitution, of any sort, by means of cable television or subscription services on television. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7523(a), Nov. 18, 1988, 102 Stat. 4501.) -REFTEXT- REFERENCES IN TEXT The Cable Communications Policy Act of 1984, referred to in subsec. (c), is Pub. L. 98-549, Oct. 30, 1984, 98 Stat. 2779, which is classified principally to subchapter V-A (Sec. 521 et seq.) of chapter 5 of Title 47, Telegraphs, Telephones, and Radiotelegraphs. For complete classification of this Act to the Code, see Short Title of 1984 Amendment note set out under section 609 of Title 47 and Tables. ------DocID 24282 Document 524 of 1438------ -CITE- 18 USC Sec. 1469 -EXPCITE- TITLE 18 PART I CHAPTER 71 -HEAD- Sec. 1469. Presumptions -STATUTE- (a) In any prosecution under this chapter in which an element of the offense is that the matter in question was transported, shipped, or carried in interstate commerce, proof, by either circumstantial or direct evidence, that such matter was produced or manufactured in one State and is subsequently located in another State shall raise a rebuttable presumption that such matter was transported, shipped, or carried in interstate commerce. (b) In any prosecution under this chapter in which an element of the offense is that the matter in question was transported, shipped, or carried in foreign commerce, proof, by either circumstantial or direct evidence, that such matter was produced or manufactured outside of the United States and is subsequently located in the United States shall raise a rebuttable presumption that such matter was transported, shipped, or carried in foreign commerce. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7521(d), Nov. 18, 1988, 102 Stat. 4489.) ------DocID 24283 Document 525 of 1438------ -CITE- 18 USC CHAPTER 73 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- CHAPTER 73 - OBSTRUCTION OF JUSTICE -MISC1- Sec. 1501. Assault on process server. 1502. Resistance to extradition agent. 1503. Influencing or injuring officer or juror generally. 1504. Influencing juror by writing. 1505. Obstruction of proceedings before departments, agencies, and committees. 1506. Theft or alteration of record or process; false bail. 1507. Picketing or parading. 1508. Recording, listening to, or observing proceedings of grand or petit juries while deliberating or voting. 1509. Obstruction of court orders. 1510. Obstruction of criminal investigations. 1511. Obstruction of State or local law enforcement. 1512. Tampering with a witness, victim, or an informant. 1513. Retaliating against a witness, victim, or an informant. 1514. Civil action to restrain harassment of a victim or witness. 1515. Definitions for certain provisions; general provision. 1516. Obstruction of Federal audit. 1517. Obstructing examination of financial institution. AMENDMENTS 1990 - Pub. L. 101-647, title XXV, Sec. 2503(b), Nov. 29, 1990, 104 Stat. 4861, added item 1517. 1988 - Pub. L. 100-690, title VII, Sec. 7030, 7078(b), Nov. 18, 1988, 102 Stat. 4398, 4406, inserted '; general provision' in item 1515 and added item 1516. 1982 - Pub. L. 97-291, Sec. 4(b), Oct. 12, 1982, 96 Stat. 1253, substituted 'or juror' for ', juror or witness' after 'officer' in item 1503, and added items 1512, 1513, 1514, and 1515. 1970 - Pub. L. 91-452, title VIII, Sec. 802(b), Oct. 15, 1970, 84 Stat. 937, added item 1511. 1967 - Pub. L. 90-123, Sec. 1(b), Nov. 3, 1967, 81 Stat. 362, added item 1510. 1962 - Pub. L. 87-664, Sec. 6(b), Sept. 19, 1962, 76 Stat. 552, substituted 'Obstruction of proceedings before departments, agencies, and committees' for 'Influencing or injuring witness before agencies and committees' in item 1505. 1960 - Pub. L. 86-449, title I, Sec. 102, May 6, 1960, 74 Stat. 86, added item 1509. 1956 - Act Aug. 2, 1956, ch. 879, Sec. 2, 70 Stat. 936, added item 1508. 1950 - Act Sept. 23, 1950, ch. 1024, title I, Sec. 31(b), 64 Stat. 1019, added item 1507. -CROSS- CROSS REFERENCES Conspiracy to obstruct justice, see section 1985 of Title 42, The Public Health and Welfare. Obstructing administration of justice as criminal contempt, see section 401 of this title. Peonage, obstructing enforcement of law prohibiting, see section 1581 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3521 of this title. ------DocID 24284 Document 526 of 1438------ -CITE- 18 USC Sec. 1501 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1501. Assault on process server -STATUTE- Whoever knowingly and willfully obstructs, resists, or opposes any officer of the United States, or other person duly authorized, in serving, or attempting to serve or execute, any legal or judicial writ or process of any court of the United States, or United States commissioner; or Whoever assaults, beats, or wounds any officer or other person duly authorized, knowing him to be such officer, or other person so duly authorized, in serving or executing any such writ, rule, order, process, warrant, or other legal or judicial writ or process - Shall, except as otherwise provided by law, be fined not more than $300 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 769.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 245 (Mar. 4, 1909, ch. 321, Sec. 140, 35 Stat. 1114). The phrase 'Except as otherwise expressly provided by law' was inserted because sections 2231, 2232, and 2233 of this title provide greater penalties for obstructing service of search warrants. Mandatory provisions were rephrased in the alternative. Minor changes were made in phraseology. -CHANGE- CHANGE OF NAME United States commissioners, referred to in text, were replaced by United States magistrates pursuant to Pub. L. 90-578, title IV, Sec. 402(b)(2), Oct. 17, 1968, 82 Stat. 1118. See chapter 43 (Sec. 631 et seq.) of Title 28, Judiciary and Judicial Procedure. Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28. -MISC4- SHORT TITLE OF 1982 AMENDMENT Pub. L. 97-291, Sec. 1, Oct. 12, 1982, 96 Stat. 1248, provided: 'That this Act (enacting sections 1512 to 1515, 3579, and 3580 of this title, amending sections 1503, 1505, 1510, and 3146 of this title and Rule 32 of the Federal Rules of Civil Procedure, and enacting provisions set out as notes under sections 1512 and 3579 of this title) may be cited as the 'Victim and Witness Protection Act of 1982'.' -CROSS- CROSS REFERENCES Assaulting Federal officer, see section 111 of this title. Killing Federal officer, see section 1114 of this title. Obstructing searches or seizures, see sections 2231 and 2232 of this title. ------DocID 24285 Document 527 of 1438------ -CITE- 18 USC Sec. 1502 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1502. Resistance to extradition agent -STATUTE- Whoever knowingly and willfully obstructs, resists, or opposes an extradition agent of the United States in the execution of his duties, shall be fined not more than $300 or imprisoned not more than one year, or both. -SOURCE- (June 24, 1948, ch. 645, 62 Stat. 769.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 661 (R.S. 5277). Said section 661 of title 18, U.S.C., 1940 ed., was incorporated in this section and section 752 of this title. Words 'an extradition agent of the United States' were substituted for 'such agent' which was referred to in sections 3182 et seq. of this title. A fine of '$300' was substituted for '$1,000' as the mandatory maximum to harmonize with similar offenses in this chapter. (See section 1501 of this title.) Punishment provision was rephrased in the alternative. -CROSS- CROSS REFERENCES Extradition of fugitives, see section 3181 et seq. of this title. ------DocID 24286 Document 528 of 1438------ -CITE- 18 USC Sec. 1503 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1503. Influencing or injuring officer or juror generally -STATUTE- Whoever corruptly, or by threats or force, or by any threatening letter or communication, endeavors to influence, intimidate, or impede any grand or petit juror, or officer in or of any court of the United States, or officer who may be serving at any examination or other proceeding before any United States commissioner or other committing magistrate, in the discharge of his duty, or injures any such grand or petit juror in his person or property on account of any verdict or indictment assented to by him, or on account of his being or having been such juror, or injures any such officer, commissioner, or other committing magistrate in his person or property on account of the performance of his official duties, or corruptly or by threats or force, or by any threatening letter or communication, influences, obstructs, or impedes, or endeavors to influence, obstruct, or impede, the due administration of justice, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 769; Oct. 12, 1982, Pub. L. 97-291, Sec. 4(c), 96 Stat. 1253.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 241 (Mar. 4, 1909, ch. 321, Sec. 135, 35 Stat. 1113; June 8, 1945, ch. 178, Sec. 1, 59 Stat. 234). The phrase 'other committing magistrate' was substituted for 'officer acting as such commissioner' in order to clarify meaning. Minor changes were made in phraseology. AMENDMENTS 1982 - Pub. L. 97-291, Sec. 4(c)(1), substituted 'or juror' for ', juror or witness' after 'officer' in section catchline. Pub. L. 97-291, Sec. 4(c)(2), (3), substituted in text 'grand' for 'witness, in any court of the United States or before any United States commissioner or other committing magistrate, or any grand' after 'or impede any', and struck out 'injures any party or witness in his person or property on account of his attending or having attended such court or examination before such officer, commissioner, or other committing magistrate, or on account of his testifying or having testified to any matter pending therein, or' after 'discharge of his duty, or'. -CHANGE- CHANGE OF NAME United States commissioners, referred to in text, were replaced by United States magistrates pursuant to Pub. L. 90-578, title IV, Sec. 402(b)(2), Oct. 17, 1968, 82 Stat. 1118. See chapter 43 (Sec. 631 et seq.) of Title 28, Judiciary and Judicial Procedure. Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28. -MISC4- EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-291 effective Oct. 12, 1982, see section 9(a) of Pub. L. 97-291, set out as an Effective Date note under section 1512 of this title. -CROSS- CROSS REFERENCES Bribery of officers, jurors, or witnesses, see section 201 et seq. of this title. Influencing juror or witness as criminal contempt, see section 401 of this title. Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 201, 1512, 1961, 2516, 3142 of this title; title 29 section 1111. ------DocID 24287 Document 529 of 1438------ -CITE- 18 USC Sec. 1504 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1504. Influencing juror by writing -STATUTE- Whoever attempts to influence the action or decision of any grand or petit juror of any court of the United States upon any issue or matter pending before such juror, or before the jury of which he is a member, or pertaining to his duties, by writing or sending to him any written communication, in relation to such issue or matter, shall be fined not more than $1,000 or imprisoned not more than six months, or both. Nothing in this section shall be construed to prohibit the communication of a request to appear before the grand jury. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 770.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 243 (Mar. 4, 1909, ch. 321, Sec. 137, 35 Stat. 1113). Last paragraph was added to remove the possibility that a proper request to appear before a grand jury might be construed as a technical violation of this section. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Bribery of public officials and witnesses, see section 201 of this title. Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 201 of this title. ------DocID 24288 Document 530 of 1438------ -CITE- 18 USC Sec. 1505 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1505. Obstruction of proceedings before departments, agencies, and committees -STATUTE- Whoever, with intent to avoid, evade, prevent, or obstruct compliance, in whole or in part, with any civil investigative demand duly and properly made under the Antitrust Civil Process Act, willfully withholds, misrepresents, removes from any place, conceals, covers up, destroys, mutilates, alters, or by other means falsifies any documentary material, answers to written interrogatories, or oral testimony, which is the subject of such demand; or attempts to do so or solicits another to do so; or Whoever corruptly, or by threats or force, or by any threatening letter or communication influences, obstructs, or impedes or endeavors to influence, obstruct, or impede the due and proper administration of the law under which any pending proceeding is being had before any department or agency of the United States, or the due and proper exercise of the power of inquiry under which any inquiry or investigation is being had by either House, or any committee of either House or any joint committee of the Congress - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 770; Sept. 19, 1962, Pub. L. 87-664, Sec. 6(a), 76 Stat. 551; Oct. 15, 1970, Pub. L. 91-452, title IX, Sec. 903, 84 Stat. 947; Sept. 30, 1976, Pub. L. 94-435, title I, Sec. 105, 90 Stat. 1389; Oct. 12, 1982, Pub. L. 97-291, Sec. 4(d), 96 Stat. 1253.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 241a, (Mar. 4, 1909, ch. 321, Sec. 135a, as added Jan. 13, 1940, ch. 1, 54 Stat. 13; June 8, 1945, ch. 178, Sec. 2, 59 Stat. 234). Word 'agency' was substituted for the words 'independent establishment, board, commission' in two instances to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The Antitrust Civil Process Act, referred to in text, is Pub. L. 87-664, Sept. 19, 1962, 76 Stat. 548, as amended, which is classified generally to chapter 34 (Sec. 1311 et seq.) of Title 15, Commerce and Trade. For complete classification of this Act to the Code, see Short Title note set out under section 1311 of Title 15 and Tables. -MISC2- AMENDMENTS 1982 - Pub. L. 97-291 struck out first two paragraphs which provided, respectively, that whoever corruptly, or by threats or force, or by any threatening letter or communication, endeavored to influence, intimidate, or impede any witness in any proceeding pending before any department or agency of the United States, or in connection with any inquiry or investigation being had by either House, or any committee of either House, or any joint committee of the Congress, and whoever injured any party or witness in his person or property on account of his attending or having attended such proceeding, inquiry, or investigation, or on account of his testifying or having testified to any matter pending therein, would be subject to the penalty set forth in the last paragraph, and in the fourth paragraph substituted 'any pending' for 'such' after 'law under which', and substituted 'any' for 'such' before 'department' and before 'inquiry'. 1976 - Pub. L. 94-435 struck out 'section 1968 of this title' after 'Antitrust Civil Process Act', inserted 'withholds, misrepresents' after 'willfully', 'covers up' after 'conceals', 'answers to written interrogatories, or oral testimony', after 'any documentary material', and 'or attempts to do so or solicits another to do so;' after 'such demand'. 1970 - Pub. L. 91-452 inserted reference to section 1968 of this title. 1962 - Pub. L. 87-664 substituted section catchline 'Obstruction of proceedings before departments, agencies, and committees' for 'Influencing or injuring witness before agencies and committees' and punished the willful removal, concealment, destruction, mutilation, alteration or falsification of documents which were the subject of a demand under the Antitrust Civil Process Act if done with the intent to prevent compliance with a civil investigative demand. EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-291 effective Oct. 12, 1982, see section 9(a) of Pub. L. 97-291, set out as an Effective Date note under section 1512 of this title. EFFECTIVE DATE OF 1976 AMENDMENT Amendment by Pub. L. 94-435 effective Sept. 30, 1976, see section 106 of Pub. L. 94-435, set out as a note under section 1311 of Title 15, Commerce and Trade. -CROSS- CROSS REFERENCES Bribery of public officials or witnesses, see section 201 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 201 of this title; title 29 section 1111. ------DocID 24289 Document 531 of 1438------ -CITE- 18 USC Sec. 1506 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1506. Theft or alteration of record or process; false bail -STATUTE- Whoever feloniously steals, takes away, alters, falsifies, or otherwise avoids any record, writ, process, or other proceeding, in any court of the United States, whereby any judgment is reversed, made void, or does not take effect; or Whoever acknowledges, or procures to be acknowledged in any such court, any recognizance, bail, or judgment, in the name of any other person not privy or consenting to the same - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 770.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 233 (Mar. 4, 1909, ch. 321, Sec. 127, 35 Stat. 1111). The term of imprisonment was reduced from 7 to 5 years, to conform the punishment with like ones for similar offenses. (See section 1503 of this title.) Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Concealment, removal or destruction of records, see section 2071 of this title. Embezzlement or theft of records, generally, see section 641 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 29 section 1111. ------DocID 24290 Document 532 of 1438------ -CITE- 18 USC Sec. 1507 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1507. Picketing or parading -STATUTE- Whoever, with the intent of interfering with, obstructing, or impeding the administration of justice, or with the intent of influencing any judge, juror, witness, or court officer, in the discharge of his duty, pickets or parades in or near a building housing a court of the United States, or in or near a building or residence occupied or used by such judge, juror, witness, or court officer, or with such intent uses any sound-truck or similar device or resorts to any other demonstration in or near any such building or residence, shall be fined not more than $5,000 or imprisoned not more than one year, or both. Nothing in this section shall interfere with or prevent the exercise by any court of the United States of its power to punish for contempt. -SOURCE- (Added Sept. 23, 1950, ch. 1024, title I, Sec. 31(a), 64 Stat. 1018.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 50 sections 782, 795. ------DocID 24291 Document 533 of 1438------ -CITE- 18 USC Sec. 1508 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1508. Recording, listening to, or observing proceedings of grand or petit juries while deliberating or voting -STATUTE- Whoever knowingly and willfully, by any means or device whatsoever - (a) records, or attempts to record, the proceedings of any grand or petit jury in any court of the United States while such jury is deliberating or voting; or (b) listens to or observes, or attempts to listen to or observe, the proceedings of any grand or petit jury of which he is not a member in any court of the United States while such jury is deliberating or voting - shall be fined not more than $1,000 or imprisoned not more than one year, or both. Nothing in paragraph (a) of this section shall be construed to prohibit the taking of notes by a grand or petit juror in any court of the United States in connection with and solely for the purpose of assisting him in the performance of his duties as such juror. -SOURCE- (Added Aug. 2, 1956, ch. 879, Sec. 1, 70 Stat. 935.) -CROSS- CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. ------DocID 24292 Document 534 of 1438------ -CITE- 18 USC Sec. 1509 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1509. Obstruction of court orders -STATUTE- Whoever, by threats or force, willfully prevents, obstructs, impedes, or interferes with, or willfully attempts to prevent, obstruct, impede, or interfere with, the due exercise of rights or the performance of duties under any order, judgment, or decree of a court of the United States, shall be fined not more than $1,000 or imprisoned not more than one year, or both. No injunctive or other civil relief against the conduct made criminal by this section shall be denied on the ground that such conduct is a crime. -SOURCE- (Added Pub. L. 86-449, title I, Sec. 101, May 6, 1960, 74 Stat. 86.) -CROSS- CROSS REFERENCES Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. ------DocID 24293 Document 535 of 1438------ -CITE- 18 USC Sec. 1510 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1510. Obstruction of criminal investigations -STATUTE- (a) Whoever willfully endeavors by means of bribery to obstruct, delay, or prevent the communication of information relating to a violation of any criminal statute of the United States by any person to a criminal investigator shall be fined not more than $5,000, or imprisoned not more than five years, or both. (b)(1) Whoever, being an officer of a financial institution, with the intent to obstruct a judicial proceeding, directly or indirectly notifies any other person about the existence or contents of a subpoena for records of that financial institution, or information that has been furnished to the grand jury in response to that subpoena, shall be fined under this title or imprisoned not more than 5 years, or both. (2) Whoever, being an officer of a financial institution, directly or indirectly notifies - (A) a customer of that financial institution whose records are sought by a grand jury subpoena; or (B) any other person named in that subpoena; about the existence or contents of that subpoena or information that has been furnished to the grand jury in response to that subpoena, shall be fined under this title or imprisoned not more than one year, or both. (3) As used in this subsection - (A) the term 'an officer of a financial institution' means an officer, director, partner, employee, agent, or attorney of or for a financial institution; and (B) the term 'subpoena for records' means a Federal grand jury subpoena for customer records that has been served relating to a violation of, or a conspiracy to violate - (i) section 215, 656, 657, 1005, 1006, 1007, 1014, or 1344; or (ii) section 1341 or 1343 affecting a financial institution. (c) As used in this section, the term 'criminal investigator' means any individual duly authorized by a department, agency, or armed force of the United States to conduct or engage in investigations of or prosecutions for violations of the criminal laws of the United States. -SOURCE- (Added Pub. L. 90-123, Sec. 1(a), Nov. 3, 1967, 81 Stat. 362, and amended Pub. L. 97-291, Sec. 4(e), Oct. 12, 1982, 96 Stat. 1253; Pub. L. 101-73, title IX, Sec. 962(c), Aug. 9, 1989, 103 Stat. 502.) -MISC1- AMENDMENTS 1989 - Subsecs. (b), (c). Pub. L. 101-73 added subsec. (b) and redesignated former subsec. (b) as (c). 1982 - Subsec. (a). Pub. L. 97-291 struck out ', misrepresentation, intimidation, or force or threats thereof' after 'bribery', and struck out provision applying the penalties provided by this subsection to whoever injured any person in his person or property on account of the giving by such person or any other person of any information relating to a violation of any criminal statute of the United States to any criminal investigator. EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-291 effective Oct. 12, 1982, see section 9(a) of Pub. L. 97-291, set out as an Effective Date note under section 1512 of this title. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516, 3142 of this title; title 29 section 1111. ------DocID 24294 Document 536 of 1438------ -CITE- 18 USC Sec. 1511 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1511. Obstruction of State or local law enforcement -STATUTE- (a) It shall be unlawful for two or more persons to conspire to obstruct the enforcement of the criminal laws of a State or political subdivision thereof, with the intent to facilitate an illegal gambling business if - (1) one or more of such persons does any act to effect the object of such a conspiracy; (2) one or more of such persons is an official or employee, elected, appointed, or otherwise, of such State or political subdivision; and (3) one or more of such persons conducts finances, manages, supervises, directs, or owns all or part of an illegal gambling business. (b) As used in this section - (1) 'illegal gambling business' means a gambling business which - (i) is a violation of the law of a State or political subdivision in which it is conducted; (ii) involves five or more persons who conduct, finance, manage, supervise, direct, or own all or part of such business; and (iii) has been or remains in substantially continuous operation for a period in excess of thirty days or has a gross revenue of $2,000 in any single day. (2) 'gambling' includes but is not limited to pool-selling, bookmaking, maintaining slot machines, roulette wheels, or dice tables, and conducting lotteries, policy, bolita or numbers games, or selling chances therein. (3) 'State' means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any territory or possession of the United States. (c) This section shall not apply to any bingo game, lottery, or similar game of chance conducted by an organization exempt from tax under paragraph (3) of subsection (c) of section 501 of the Internal Revenue Code of 1986, as amended, if no part of the gross receipts derived from such activity inures to the benefit of any private shareholder, member, or employee of such organization, except as compensation for actual expenses incurred by him in the conduct of such activity. (d) Whoever violates this section shall be punished by a fine of not more than $20,000 or imprisonment for not more than five years, or both. -SOURCE- (Added Pub. L. 91-452, title VIII, Sec. 802(a), Oct. 15, 1970, 84 Stat. 936; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.) -REFTEXT- REFERENCES IN TEXT Paragraph (3) of subsection (c) of section 501 of the Internal Revenue Code of 1986, referred to in subsec. (c), is classified to section 501(c)(3) of Title 26, Internal Revenue Code. -MISC2- AMENDMENTS 1986 - Subsec. (c). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. CONGRESSIONAL STATEMENT OF FINDINGS Section 801 of title VIII of Pub. L. 91-452 provided that: 'The Congress finds that illegal gambling involves widespread use of, and has an effect upon, interstate commerce and the facilities thereof.' PRIORITY OF STATE LAWS Section 811 of title VIII of Pub. L. 91-452 provided that: 'No provision of this title (enacting this section and section 1955 of this title, amending section 2516 of this title, and enacting provisions set out as notes under this section and section 1955 of this title) indicates an intent on the part of the Congress to occupy the field in which such provision operates to the exclusion of the law of a state or possession, or a political subdivision of a State or possession, on the same subject matter, or to relieve any person of any obligation imposed by any law of any State or possession, or political subdivision of a State or possession.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24295 Document 537 of 1438------ -CITE- 18 USC Sec. 1512 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1512. Tampering with a witness, victim, or an informant -STATUTE- (a)(1) Whoever kills or attempts to kill another person, with intent to - (A) prevent the attendance or testimony of any person in an official proceeding; (B) prevent the production of a record, document, or other object, in an official proceeding; or (C) prevent the communication by any person to a law enforcement officer or judge of the United States of information relating to the commission or possible commission of a Federal offense or a violation of conditions of probation, parole, or release pending judicial proceedings; shall be punished as provided in paragraph (2). (2) The punishment for an offense under this subsection is - (A) in the case of a killing, the punishment provided in sections 1111 and 1112 of this title; and (B) in the case of an attempt, imprisonment for not more than twenty years. (b) Whoever knowingly uses intimidation or physical force, threatens, or corruptly persuades another person, or attempts to do so, or engages in misleading conduct toward another person, with intent to - (1) influence, delay, or prevent the testimony of any person in an official proceeding; (2) cause or induce any person to - (A) withhold testimony, or withhold a record, document, or other object, from an official proceeding; (B) alter, destroy, mutilate, or conceal an object with intent to impair the object's integrity or availability for use in an official proceeding; (C) evade legal process summoning that person to appear as a witness, or to produce a record, document, or other object, in an official proceeding; or (D) be absent from an official proceeding to which such person has been summoned by legal process; or (3) hinder, delay, or prevent the communication to a law enforcement officer or judge of the United States of information relating to the commission or possible commission of a Federal offense or a violation of conditions of probation, parole, or release pending judicial proceedings; shall be fined not more than $250,000 or imprisoned not more than ten years, or both. (c) Whoever intentionally harasses another person and thereby hinders, delays, prevents, or dissuades any person from - (1) attending or testifying in an official proceeding; (2) reporting to a law enforcement officer or judge of the United States the commission or possible commission of a Federal offense or a violation of conditions of probation, parole, or release pending judicial proceedings; (3) arresting or seeking the arrest of another person in connection with a Federal offense; or (4) causing a criminal prosecution, or a parole or probation revocation proceeding, to be sought or instituted, or assisting in such prosecution or proceeding; or attempts to do so, shall be fined not more than $25,000 or imprisoned not more than one year, or both. (d) In a prosecution for an offense under this section, it is an affirmative defense, as to which the defendant has the burden of proof by a preponderance of the evidence, that the conduct consisted solely of lawful conduct and that the defendant's sole intention was to encourage, induce, or cause the other person to testify truthfully. (e) For the purposes of this section - (1) an official proceeding need not be pending or about to be instituted at the time of the offense; and (2) the testimony, or the record, document, or other object need not be admissible in evidence or free of a claim of privilege. (f) In a prosecution for an offense under this section, no state of mind need be proved with respect to the circumstance - (1) that the official proceeding before a judge, court, magistrate, grand jury, or government agency is before a judge or court of the United States, a United States magistrate, a bankruptcy judge, a Federal grand jury, or a Federal Government agency; or (2) that the judge is a judge of the United States or that the law enforcement officer is an officer or employee of the Federal Government or a person authorized to act for or on behalf of the Federal Government or serving the Federal Government as an adviser or consultant. (g) There is extraterritorial Federal jurisdiction over an offense under this section. (h) A prosecution under this section or section 1503 may be brought in the district in which the official proceeding (whether or not pending or about to be instituted) was intended to be affected or in the district in which the conduct constituting the alleged offense occurred. -SOURCE- (Added Pub. L. 97-291, Sec. 4(a), Oct. 12, 1982, 96 Stat. 1249, and amended Pub. L. 99-646, Sec. 61, Nov. 10, 1986, 100 Stat. 3614; Pub. L. 100-690, title VII, Sec. 7029(a), (c), Nov. 18, 1988, 102 Stat. 4397, 4398.) -MISC1- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690, Sec. 7029(c), substituted 'threatens, or corruptly persuades' for 'or threatens'. Subsec. (h). Pub. L. 100-690, Sec. 7029(a), added subsec. (h). 1986 - Subsec. (a). Pub. L. 99-646, Sec. 61(2), (3), added subsec. (a) and redesignated former subsec. (a) as (b). Subsecs. (b) to (g). Pub. L. 99-646, Sec. 61(1), (3), redesignated former subsec. (a) as (b), inserted ', delay, or prevent', and redesignated former subsecs. (b) to (f) as (c) to (g), respectively. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE Section 9 of Pub. L. 97-291 provided that: '(a) Except as provided in subsection (b), this Act and the amendments made by this Act (enacting this section and sections 1513 to 1515, 3579, and 3580 of this title, amending sections 1503, 1505, 1510, and 3146 of this title and Rule 32 of the Federal Rules of Criminal Procedure, and enacting provisions set out as notes under this section and sections 1501 and 3579 of this title) shall take effect on the date of the enactment of this Act (Oct. 12, 1982). '(b)(1) The amendment made by section 2 of this Act (enacting provisions set out as a note under this section) shall apply to presentence reports ordered to be made on or after March 1, 1983. '(2) The amendments made by section 5 of this Act (enacting sections 3579 and 3580 of this title) shall apply with respect to offenses occurring on or after January 1, 1983.' CONGRESSIONAL FINDINGS AND DECLARATION OF PURPOSES Section 2 of Pub. L. 97-291 provided that: '(a) The Congress finds and declares that: '(1) Without the cooperation of victims and witnesses, the criminal justice system would cease to function; yet with few exceptions these individuals are either ignored by the criminal justice system or simply used as tools to identify and punish offenders. '(2) All too often the victim of a serious crime is forced to suffer physical, psychological, or financial hardship first as a result of the criminal act and then as a result of contact with a criminal justice system unresponsive to the real needs of such victim. '(3) Although the majority of serious crimes falls under the jurisdiction of State and local law enforcement agencies, the Federal Government, and in particular the Attorney General, has an important leadership role to assume in ensuring that victims of crime, whether at the Federal, State, or local level, are given proper treatment by agencies administering the criminal justice system. '(4) Under current law, law enforcement agencies must have cooperation from a victim of crime and yet neither the agencies nor the legal system can offer adequate protection or assistance when the victim, as a result of such cooperation, is threatened or intimidated. '(5) While the defendant is provided with counsel who can explain both the criminal justice process and the rights of the defendant, the victim or witness has no counterpart and is usually not even notified when the defendant is released on bail, the case is dismissed, a plea to a lesser charge is accepted, or a court date is changed. '(6) The victim and witness who cooperate with the prosecutor often find that the transportation, parking facilities, and child care services at the court are unsatisfactory and they must often share the pretrial waiting room with the defendant or his family and friends. '(7) The victim may lose valuable property to a criminal only to lose it again for long periods of time to Federal law enforcement officials, until the trial and sometimes and (sic) appeals are over; many times that property is damaged or lost, which is particularly stressful for the elderly or poor. '(b) The Congress declares that the purposes of this Act (see Short Title of 1982 Amendment note set out under section 1501 of this title) are - '(1) to enhance and protect the necessary role of crime victims and witnesses in the criminal justice process; '(2) to ensure that the Federal Government does all that is possible within limits of available resources to assist victims and witnesses of crime without infringing on the constitutional rights of the defendant; and '(3) to provide a model for legislation for State and local governments.' FEDERAL GUIDELINES FOR TREATMENT OF CRIME VICTIMS AND WITNESSES IN THE CRIMINAL JUSTICE SYSTEM Section 6 of Pub. L. 97-291, as amended by Pub. L. 98-473, title II, Sec. 1408(b), Oct. 12, 1984, 98 Stat. 2177, provided that: '(a) Within two hundred and seventy days after the date of enactment of this Act (Oct. 12, 1982), the Attorney General shall develop and implement guidelines for the Department of Justice consistent with the purposes of this Act (see Short Title of 1982 Amendment note set out under section 1501 of this title). In preparing the guidelines the Attorney General shall consider the following objectives: '(1) Services to victims of crime. - Law enforcement personnel should ensure that victims routinely receive emergency social and medical services as soon as possible and are given information on the following - '(A) availability of crime victim compensation (where applicable); '(B) community-based victim treatment programs; '(C) the role of the victim in the criminal justice process, including what they can expect from the system as well as what the system expects from them; and '(D) stages in the criminal justice process of significance to a crime victim, and the manner in which information about such stages can be obtained. '(2) Notification of availability of protection. - A victim or witness should routinely receive information on steps that law enforcement officers and attorneys for the Government can take to protect victims and witnesses from intimidation. '(3) Scheduling changes. - All victims and witnesses who have been scheduled to attend criminal justice proceedings should either be notified as soon as possible of any scheduling changes which will affect their appearances or have available a system for alerting witnesses promptly by telephone or otherwise. '(4) Prompt notification to victims of serious crimes. - Victims, witnesses, relatives of those victims and witnesses who are minors, and relatives of homicide victims should, if such persons provide the appropriate official with a current address and telephone number, receive prompt advance notification, if possible, of - '(A) the arrest of an accused; '(B) the initial appearance of an accused before a judicial officer; '(C) the release of the accused pending judicial proceedings; and '(D) proceedings in the prosecution and punishment of the accused (including entry of a plea of guilty, trial, sentencing, and, where a term of imprisonment is imposed, a hearing to determine a parole release date and the release of the accused from such imprisonment). '(5) Consultation with victim. - The victim of a serious crime, or in the case of a minor child or a homicide, the family of the victim, should be consulted by the attorney for the Government in order to obtain the views of the victim or family about the disposition of any Federal criminal case brought as a result of such crime, including the views of the victim or family about - '(A) dismissal; '(B) release of the accused pending judicial proceedings; '(C) plea negotiations; and '(D) pretrial diversion program. '(6) Separate waiting area. - Victims and other prosecution witnesses should be provided prior to court appearance a waiting area that is separate from all other witnesses. '(7) Property return. - Law enforcement agencies and prosecutor should promptly return victim's property held for evidentiary purposes unless there is a compelling law enforcement reason for retaining it. '(8) Notification to employer. - A victim or witness who so requests should be assisted by law enforcement agencies and attorneys for the Government in informing employers that the need for victim and witness cooperation in the prosecution of the case may necessitate absence of that victim or witness from work. A victim or witness who, as a direct result of a crime or of cooperation with law enforcement agencies or attorneys for the Government, is subjected to serious financial strain, should be assisted by such agencies and attorneys in explaining to creditors the reason for such serious financial strain. '(9) Training by federal law enforcement training facilities. - Victim assistance education and training should be offered to persons taking courses at Federal law enforcement training facilities and attorneys for the Government so that victims may be promptly, properly, and completely assisted. '(10) General victim assistance. - The guidelines should also ensure that any other important assistance to victims and witnesses, such as the adoption of transportation, parking, and translator services for victims in court be provided. '(b) Nothing in this title shall be construed as creating a cause of action against the United States. '(c) The Attorney General shall assure that all Federal law enforcement agencies outside of the Department of Justice adopt guidelines consistent with subsection (a) of this section.' (Amendment of section 6 of Pub. L. 97-291 by Pub. L. 98-473, set out above, effective 30 days after Oct. 12, 1984, see section 1409(a) of Pub. L. 98-473, set out as an Effective Date note under section 10601 of Title 42, The Public Health and Welfare.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1514, 1515, 1961, 2516, 3142 of this title. ------DocID 24296 Document 538 of 1438------ -CITE- 18 USC Sec. 1513 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1513. Retaliating against a witness, victim, or an informant -STATUTE- (a) Whoever knowingly engages in any conduct and thereby causes bodily injury to another person or damages the tangible property of another person, or threatens to do so, with intent to retaliate against any person for - (1) the attendance of a witness or party at an official proceeding, or any testimony given or any record, document, or other object produced by a witness in an official proceeding; or (2) any information relating to the commission or possible commission of a Federal offense or a violation of conditions of probation, parole, or release pending judicial proceedings given by a person to a law enforcement officer; or attempts to do so, shall be fined not more than $250,000 or imprisoned not more than ten years, or both. (b) There is extraterritorial Federal jurisdiction over an offense under this section. -SOURCE- (Added Pub. L. 97-291, Sec. 4(a), Oct. 12, 1982, 96 Stat. 1250.) -MISC1- EFFECTIVE DATE Section effective Oct. 12, 1982, see section 9(a) of Pub. L. 97-291, set out as a note under section 1512 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1514, 1515, 1961, 2516, 3142 of this title. ------DocID 24297 Document 539 of 1438------ -CITE- 18 USC Sec. 1514 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1514. Civil action to restrain harassment of a victim or witness -STATUTE- (a)(1) A United States district court, upon application of the attorney for the Government, shall issue a temporary restraining order prohibiting harassment of a victim or witness in a Federal criminal case if the court finds, from specific facts shown by affidavit or by verified complaint, that there are reasonable grounds to believe that harassment of an identified victim or witness in a Federal criminal case exists or that such order is necessary to prevent and restrain an offense under section 1512 of this title, other than an offense consisting of misleading conduct, or under section 1513 of this title. (2)(A) A temporary restraining order may be issued under this section without written or oral notice to the adverse party or such party's attorney in a civil action under this section if the court finds, upon written certification of facts by the attorney for the Government, that such notice should not be required and that there is a reasonable probability that the Government will prevail on the merits. (B) A temporary restraining order issued without notice under this section shall be endorsed with the date and hour of issuance and be filed forthwith in the office of the clerk of the court issuing the order. (C) A temporary restraining order issued under this section shall expire at such time, not to exceed 10 days from issuance, as the court directs; the court, for good cause shown before expiration of such order, may extend the expiration date of the order for up to 10 days or for such longer period agreed to by the adverse party. (D) When a temporary restraining order is issued without notice, the motion for a protective order shall be set down for hearing at the earliest possible time and takes precedence over all matters except older matters of the same character, and when such motion comes on for hearing, if the attorney for the Government does not proceed with the application for a protective order, the court shall dissolve the temporary restraining order. (E) If on two days notice to the attorney for the Government or on such shorter notice as the court may prescribe, the adverse party appears and moves to dissolve or modify the temporary restraining order, the court shall proceed to hear and determine such motion as expeditiously as the ends of justice require. (F) A temporary restraining order shall set forth the reasons for the issuance of such order, be specific in terms, and describe in reasonable detail (and not by reference to the complaint or other document) the act or acts being restrained. (b)(1) A United States district court, upon motion of the attorney for the Government, shall issue a protective order prohibiting harassment of a victim or witness in a Federal criminal case if the court, after a hearing, finds by a preponderance of the evidence that harassment of an identified victim or witness in a Federal criminal case exists or that such order is necessary to prevent and restrain an offense under section 1512 of this title, other than an offense consisting of misleading conduct, or under section 1513 of this title. (2) At the hearing referred to in paragraph (1) of this subsection, any adverse party named in the complaint shall have the right to present evidence and cross-examine witnesses. (3) A protective order shall set forth the reasons for the issuance of such order, be specific in terms, describe in reasonable detail (and not by reference to the complaint or other document) the act or acts being restrained. (4) The court shall set the duration of effect of the protective order for such period as the court determines necessary to prevent harassment of the victim or witness but in no case for a period in excess of three years from the date of such order's issuance. The attorney for the Government may, at any time within ninety days before the expiration of such order, apply for a new protective order under this section. (c) As used in this section - (1) the term 'harassment' means a course of conduct directed at a specific person that - (A) causes substantial emotional distress in such person; and (B) serves no legitimate purpose; and (2) the term 'course of conduct' means a series of acts over a period of time, however short, indicating a continuity of purpose. -SOURCE- (Added Pub. L. 97-291, Sec. 4(a), Oct. 12, 1982, 96 Stat. 1250.) -MISC1- EFFECTIVE DATE Section effective Oct. 12, 1982, see section 9(a) of Pub. L. 97-291, set out as a note under section 1512 of this title. ------DocID 24298 Document 540 of 1438------ -CITE- 18 USC Sec. 1515 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1515. Definitions for certain provisions; general provision -STATUTE- (a) As used in sections 1512 and 1513 of this title and in this section - (1) the term 'official proceeding' means - (A) a proceeding before a judge or court of the United States, a United States magistrate, a bankruptcy judge, a judge of the United States Tax Court, a special trial judge of the Tax Court, a judge of the United States Claims Court, or a Federal grand jury; (B) a proceeding before the Congress; or (C) a proceeding before a Federal Government agency which is authorized by law; (2) the term 'physical force' means physical action against another, and includes confinement; (3) the term 'misleading conduct' means - (A) knowingly making a false statement; (B) intentionally omitting information from a statement and thereby causing a portion of such statement to be misleading, or intentionally concealing a material fact, and thereby creating a false impression by such statement; (C) with intent to mislead, knowingly submitting or inviting reliance on a writing or recording that is false, forged, altered, or otherwise lacking in authenticity; (D) with intent to mislead, knowingly submitting or inviting reliance on a sample, specimen, map, photograph, boundary mark, or other object that is misleading in a material respect; or (E) knowingly using a trick, scheme, or device with intent to mislead; (4) the term 'law enforcement officer' means an officer or employee of the Federal Government, or a person authorized to act for or on behalf of the Federal Government or serving the Federal Government as an adviser or consultant - (A) authorized under law to engage in or supervise the prevention, detection, investigation, or prosecution of an offense; or (B) serving as a probation or pretrial services officer under this title; (5) the term 'bodily injury' means - (A) a cut, abrasion, bruise, burn, or disfigurement; (B) physical pain; (C) illness; (D) impairment of the function of a bodily member, organ, or mental faculty; or (E) any other injury to the body, no matter how temporary; and (6) the term 'corruptly persuades' does not include conduct which would be misleading conduct but for a lack of a state of mind. (b) This chapter does not prohibit or punish the providing of lawful, bona fide, legal representation services in connection with or anticipation of an official proceeding. -SOURCE- (Added Pub. L. 97-291, Sec. 4(a), Oct. 12, 1982, 96 Stat. 1252, and amended Pub. L. 99-646, Sec. 50(b), Nov. 10, 1986, 100 Stat. 3605; Pub. L. 100-690, title VII, Sec. 7029(b), (d), Nov. 18, 1988, 102 Stat. 4398.) -MISC1- AMENDMENTS 1988 - Subsec. (a)(1)(A). Pub. L. 100-690, Sec. 7029(b), inserted 'a judge of the United States Tax Court, a special trial judge of the Tax Court, a judge of the United States Claims Court,' after 'bankruptcy judge,'. Subsec. (a)(6). Pub. L. 100-690, Sec. 7029(d), added par. (6). 1986 - Pub. L. 99-646 inserted '; general provision' in section catchline, designated existing provisions as subsec. (a), and added subsec. (b). -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE Section effective Oct. 12, 1982, see section 9(a) of Pub. L. 97-291, set out as a note under section 1512 of this title. ------DocID 24299 Document 541 of 1438------ -CITE- 18 USC Sec. 1516 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1516. Obstruction of Federal audit -STATUTE- (a) Whoever, with intent to deceive or defraud the United States, endeavors to influence, obstruct, or impede a Federal auditor in the performance of official duties relating to a person receiving in excess of $100,000, directly or indirectly, from the United States in any 1 year period under a contract or subcontract, shall be fined under this title, or imprisoned not more than 5 years, or both. (b) For purposes of this section the term 'Federal auditor' means any person employed on a full- or part-time or contractual basis to perform an audit or a quality assurance inspection for or on behalf of the United States. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7078(a), Nov. 18, 1988, 102 Stat. 4406.) ------DocID 24300 Document 542 of 1438------ -CITE- 18 USC Sec. 1517 -EXPCITE- TITLE 18 PART I CHAPTER 73 -HEAD- Sec. 1517. Obstructing examination of financial institution -STATUTE- Whoever corruptly obstructs or attempts to obstruct any examination of a financial institution by an agency of the United States with jurisdiction to conduct an examination of such financial institution shall be fined under this title, imprisoned not more than 5 years, or both. -SOURCE- (Added Pub. L. 101-647, title XXV, Sec. 2503(a), Nov. 29, 1990, 104 Stat. 4861.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 sections 4204, 4224. ------DocID 24301 Document 543 of 1438------ -CITE- 18 USC CHAPTER 75 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- CHAPTER 75 - PASSPORTS AND VISAS -MISC1- Sec. 1541. Issuance without authority. 1542. False statement in application and use of passport. 1543. Forgery or false use of passport. 1544. Misuse of passport. 1545. Safe conduct violation. 1546. Fraud and misuse of visas, permits, and other documents. AMENDMENTS 1986 - Pub. L. 99-603, title I, Sec. 103(b), Nov. 6, 1986, 100 Stat. 3380, amended item 1546 generally, striking out 'entry' before 'documents'. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3291 of this title. ------DocID 24302 Document 544 of 1438------ -CITE- 18 USC Sec. 1541 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- Sec. 1541. Issuance without authority -STATUTE- Whoever, acting or claiming to act in any office or capacity under the United States, or a State or possession, without lawful authority grants, issues, or verifies any passport or other instrument in the nature of a passport to or for any person whomsoever; or Whoever, being a consular officer authorized to grant, issue, or verify passports, knowingly and willfully grants, issues, or verifies any such passport to or for any person not owing allegiance, to the United States, whether a citizen or not - Shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 771.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 219 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (R.S. 4078; June 14, 1902, ch. 1088, Sec. 3, 32 Stat. 386). The venue provision, which followed the punishment provisions, was omitted as covered by section 3238 of this title. Changes were made in phraseology. -CROSS- CROSS REFERENCES Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3291 of this title. ------DocID 24303 Document 545 of 1438------ -CITE- 18 USC Sec. 1542 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- Sec. 1542. False statement in application and use of passport -STATUTE- Whoever willfully and knowingly makes any false statement in an application for passport with intent to induce or secure the issuance of a passport under the authority of the United States, either for his own use or the use of another, contrary to the laws regulating the issuance of passports or the rules prescribed pursuant to such laws; or Whoever willfully and knowingly uses or attempts to use, or furnishes to another for use any passport the issue of which was secured in any way by reason of any false statement - Shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 771.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 220 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title IX, Sec. 2, 40 Stat. 227; Mar. 28, 1940, ch. 72, Sec. 7, 54 Stat. 80). Mandatory-punishment provision was rephrased in the alternative. Punishment of five years' imprisonment was substituted for 'ten years' to conform with other sections embracing offenses of comparable gravity. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES False statements, generally, see section 1001 of this title. Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717, 3291 of this title. ------DocID 24304 Document 546 of 1438------ -CITE- 18 USC Sec. 1543 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- Sec. 1543. Forgery or false use of passport -STATUTE- Whoever falsely makes, forges, counterfeits, mutilates, or alters any passport or instrument purporting to be a passport, with intent that the same may be used; or Whoever willfully and knowingly uses, or attempts to use, or furnishes to another for use any such false, forged, counterfeited, mutilated, or altered passport or instrument purporting to be a passport, or any passport validly issued which has become void by the occurrence of any condition therein prescribed invalidating the same - Shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 771.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 222 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title IX, Sec. 4, 40 Stat. 227; Mar. 28, 1940, ch. 72, Sec. 7, 54 Stat. 80). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Mandatory-punishment provision with authorization for added fine in discretion of court was rephrased in the alternative. Punishment of five years' imprisonment was substituted for 'ten years' to conform with other sections embracing offenses of comparable gravity. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717, 3291 of this title. ------DocID 24305 Document 547 of 1438------ -CITE- 18 USC Sec. 1544 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- Sec. 1544. Misuse of passport -STATUTE- Whoever willfully and knowingly uses, or attempts to use, any passport issued or designed for the use of another; or Whoever willfully and knowingly uses or attempts to use any passport in violation of the conditions or restrictions therein contained, or of the rules prescribed pursuant to the laws regulating the issuance of passports; or Whoever willfully and knowingly furnishes, disposes of, or delivers a passport to any person, for use by another than the person for whose use it was originally issued and designed - Shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 771.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 221 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (June 15, 1917, ch. 30, title IX, Sec. 3, 40 Stat. 227; Mar. 28, 1940, ch. 72, Sec. 7, 54 Stat. 80). Mandatory-punishment provision rephrased in the alternative. Punishment of five years' imprisonment was substituted for 'ten years' to conform with other sections embracing offenses of comparable gravity. The phrase 'which said rules shall be printed on the passport' was omitted as inconsistent with administrative practice and because the existing rules are too voluminous to be printed on a passport. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. Limitations, period of, see section 3291 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717, 3291 of this title. ------DocID 24306 Document 548 of 1438------ -CITE- 18 USC Sec. 1545 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- Sec. 1545. Safe conduct violation -STATUTE- Whoever violates any safe conduct or passport duly obtained and issued under authority of the United States shall be fined not more than $2,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 771.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 251 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse (R.S. 4062). The punishment provision was rewritten to permit the alternative of a fine of not more than $2,000 or imprisonment, or both, instead of imprisonment and fine 'at the discretion of the court', to conform with other sections embracing offenses of comparable gravity. Minor changes were made in phraseology. ------DocID 24307 Document 549 of 1438------ -CITE- 18 USC Sec. 1546 -EXPCITE- TITLE 18 PART I CHAPTER 75 -HEAD- Sec. 1546. Fraud and misuse of visas, permits, and other documents -STATUTE- (a) Whoever knowingly forges, counterfeits, alters, or falsely makes any immigrant or nonimmigrant visa, permit, border crossing card, alien registration receipt card, or other document prescribed by statute or regulation for entry into or as evidence of authorized stay or employment in the United States, or utters, uses, attempts to use, possesses, obtains, accepts, or receives any such visa, permit, border crossing card, alien registration receipt card, or other document prescribed by statute or regulation for entry into or as evidence of authorized stay or employment in the United States, knowing it to be forged, counterfeited, altered, or falsely made, or to have been procured by means of any false claim or statement, or to have been otherwise procured by fraud or unlawfully obtained; or Whoever, except under direction of the Attorney General or the Commissioner of the Immigration and Naturalization Service, or other proper officer, knowingly possesses any blank permit, or engraves, sells, brings into the United States, or has in his control or possession any plate in the likeness of a plate designed for the printing of permits, or makes any print, photograph, or impression in the likeness of any immigrant or nonimmigrant visa, permit or other document required for entry into the United States, or has in his possession a distinctive paper which has been adopted by the Attorney General or the Commissioner of the Immigration and Naturalization Service for the printing of such visas, permits, or documents; or Whoever, when applying for an immigrant or nonimmigrant visa, permit, or other document required for entry into the United States, or for admission to the United States personates another, or falsely appears in the name of a deceased individual, or evades or attempts to evade the immigration laws by appearing under an assumed or fictitious name without disclosing his true identity, or sells or otherwise disposes of, or offers to sell or otherwise dispose of, or utters, such visa, permit, or other document, to any person not authorized by law to receive such document; or Whoever knowingly makes under oath, or as permitted under penalty of perjury under section 1746 of title 28, United States Code, knowingly subscribes as true, any false statement with respect to a material fact in any application, affidavit, or other document required by the immigration laws or regulations prescribed thereunder, or knowingly presents any such application, affidavit, or other document containing any such false statement - Shall be fined under this title or imprisoned not more than five years, or both. (b) Whoever uses - (1) an identification document, knowing (or having reason to know) that the document was not issued lawfully for the use of the possessor, (2) an identification document knowing (or having reason to know) that the document is false, or (3) a false attestation, for the purpose of satisfying a requirement of section 274A(b) of the Immigration and Nationality Act, shall be fined in accordance with this title, or imprisoned not more than two years, or both. (c) This section does not prohibit any lawfully authorized investigative, protective, or intelligence activity of a law enforcement agency of the United States, a State, or a subdivision of a State, or of an intelligence agency of the United States, or any activity authorized under title V of the Organized Crime Control Act of 1970 (18 U.S.C. note prec. 3481). (FOOTNOTE 1) (FOOTNOTE 1) See References in Text note below. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 771; June 27, 1952, ch. 477, title IV, Sec. 402(a), 66 Stat. 275; Oct. 18, 1976, Pub. L. 94-550, Sec. 5, 90 Stat. 2535; Nov. 6, 1986, Pub. L. 99-603, title I, Sec. 103(a), 100 Stat. 3380; Oct. 24, 1988, Pub. L. 100-525, Sec. 2(c), 102 Stat. 2610; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3550, 104 Stat. 4926.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 220 of title 8, U.S.C., 1940 ed., Aliens and Nationality (May 26, 1924, ch. 190, Sec. 22, 43 Stat. 165). Words 'upon conviction thereof' were omitted as surplusage since punishment can be imposed only after a conviction. Fine of $10,000 was reduced to $2,000 to conform with sections embracing offences of comparable gravity. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The immigration laws, referred to in subsec. (a), are classified generally to chapter 12 (Sec. 1101 et seq.) of Title 8, Aliens and Nationality. See also section 1101(a)(17) of Title 8. Section 274A(b) of the Immigration and Nationality Act, referred to in subsec. (b), is classified to section 1324a(b) of Title 8. Title V of the Organized Crime Control Act of 1970, referred to in subsec. (c), is title V of Pub. L. 91-452, Oct. 15, 1970, 84 Stat. 933, which was set out as a note preceding section 3481 of this title, and was repealed by Pub. L. 98-473, title II, Sec. 1209(b), Oct. 12, 1984, 98 Stat. 2163. See section 3521 et seq. of this title. -MISC2- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, which directed substitution of 'Shall be fined under this title' for 'Shall be fined not more than in accordance with this title', was executed by making the substitution for 'Shall be fined in accordance with this title' in concluding par. to reflect the probable intent of Congress and the intervening amendment by Pub. L. 99-603, as amended by Pub. L. 100-525. See 1988 and 1986 Amendment notes below. 1988 - Pub. L. 100-525 amended Pub. L. 99-603. See 1986 Amendment note below. 1986 - Pub. L. 99-603, as amended by Pub. L. 100-525, substituted 'other documents' for 'other entry documents' in section catchline, designated existing provisions as subsec. (a), substituted 'permit, border crossing card, alien registration receipt card, or other document prescribed by statute or regulation for entry into or as evidence of authorized stay or employment in the United States' for 'or other document required for entry into the United States' and for 'or document' in first par., substituted 'in accordance with this title' for 'not more than $2,000' in concluding par., and added subsecs. (b) and (c). 1976 - Pub. L. 94-550 inserted ', or as permitted under penalty of perjury under section 1746 of title 28, United States Code, knowingly subscribes as true,' after 'Whoever knowingly makes under oath' in fourth par. 1952 - Act June 27, 1952, made section applicable to entry documents other than visas and permits. EFFECTIVE DATE OF 1988 AMENDMENT Amendment by Pub. L. 100-525 effective as if included in enactment of Immigration Reform and Control Act of 1986, Pub. L. 99-603, see section 2(s) of Pub. L. 100-525, set out as a note under section 1101 of Title 8, Aliens and Nationality. -TRANS- TRANSFER OF FUNCTIONS Functions vested by law in Attorney General, Department of Justice, or any other officer or any agency of that Department, with respect to the inspection at regular inspection locations at ports of entry of persons, and documents of persons, entering or leaving the United States, were to have been transferred to Secretary of the Treasury by 1973 Reorg. Plan No. 2, Sec. 2, eff. July 1, 1973, 38 F.R. 15932, 87 Stat. 1091, set out in the Appendix to Title 5, Government Organization and Employees. The transfer was negated by section 1(a)(1), (b) of Pub. L. 93-253, Mar. 16, 1974, 88 Stat. 50, which repealed section 2 of 1973 Reorg. Plan No. 2, eff. July 1, 1973. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Immigration visas and permits, see section 1201 et seq. of Title 8, Aliens and Nationality. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 8 sections 1251, 1324a. ------DocID 24308 Document 550 of 1438------ -CITE- 18 USC CHAPTER 77 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- CHAPTER 77 - PEONAGE AND SLAVERY -MISC1- Sec. 1581. Peonage; obstructing enforcement. 1582. Vessels for slave trade. 1583. Enticement into slavery. 1584. Sale into involuntary servitude. 1585. Seizure, detention, transportation or sale of slaves. 1586. Service on vessels in slave trade. 1587. Possession of slaves aboard vessel. 1588. Transportation of slaves from United States. HISTORICAL AND REVISION NOTES It was felt that further revision of this chapter should be considered at an opportune time for the same reasons stated with respect to chapter 81, 'Piracy and Privateering'. AMENDMENTS 1949 - Act May 24, 1949, ch. 139, Sec. 36, 63 Stat. 95, substituted a semicolon for comma after 'Peonage' in item 1581. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of kidnaping, see section 2516 of this title. ------DocID 24309 Document 551 of 1438------ -CITE- 18 USC Sec. 1581 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1581. Peonage; obstructing enforcement -STATUTE- (a) Whoever holds or returns any person to a condition of peonage, or arrests any person with the intent of placing him in or returning him to a condition of peonage, shall be fined not more than $5,000 or imprisoned not more than five years, or both. (b) Whoever obstructs, or attempts to obstruct, or in any way interferes with or prevents the enforcement of this section, shall be liable to the penalties prescribed in subsection (a). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 772.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 444, 445 (Mar. 4, 1909, ch. 321, Sec. 269, 270, 35 Stat. 1142). Section consolidates sections 444 and 445 of said title 18, U.S.C., 1940 ed., with changes in phraseology to amplify and clarify their provisions. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. -CROSS- CROSS REFERENCES Peonage abolished in States and Territories, see section 1994 of Title 42, The Public Health and Welfare. Slavery abolished, see Const. Amend. 13. ------DocID 24310 Document 552 of 1438------ -CITE- 18 USC Sec. 1582 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1582. Vessels for slave trade -STATUTE- Whoever, whether as master, factor, or owner, builds, fits out, equips, loads, or otherwise prepares or sends away any vessel, in any port or place within the United States, or causes such vessel to sail from any such port or place, for the purpose of procuring any person from any foreign kingdom or country to be transported and held, sold, or otherwise disposed of as a slave, or held to service or labor, shall be fined not more than $5,000 or imprisoned not more than seven years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 772.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 424 (Mar. 4, 1909, ch. 321, Sec. 249, 35 Stat. 1139). Words 'within the United States' were substituted for 'within the jurisdiction of the United States'. See section 5 of this title defining 'United States'. Provision for division of the fine and its recovery by private person was omitted. (See reviser's note under section 1585 of this title.) Mandatory-punishment provisions were rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Limitation on prosecution of slave trade violations, see section 3283 of this title. Slavery abolished, see Const. Amend. 13. ------DocID 24311 Document 553 of 1438------ -CITE- 18 USC Sec. 1583 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1583. Enticement into slavery -STATUTE- Whoever kidnaps or carries away any other person, with the intent that such other person be sold into involuntary servitude, or held as a slave; or Whoever entices, persuades, or induces any other person to go on board any vessel or to any other place with the intent that he may be made or held as a slave, or sent out of the country to be so made or held - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 772.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 443 (Mar. 4, 1909, ch. 321, Sec. 268, 35 Stat. 1141). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in paragraphing of section. -CROSS- CROSS REFERENCES Slavery abolished, see Const. Amend. 13. Wire or oral communications, authorization for interception, to provide evidence of kidnapping, see section 2516 of this title. ------DocID 24312 Document 554 of 1438------ -CITE- 18 USC Sec. 1584 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1584. Sale into involuntary servitude -STATUTE- Whoever knowingly and willfully holds to involuntary servitude or sells into any condition of involuntary servitude, any other person for any term, or brings within the United States any person so held, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 773.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 423, 446 (Mar. 4, 1909, ch. 321, Sec. 248, 271, 35 Stat. 1139, 1142). Sections consolidated with changes of phraseology necessary to effect consolidation. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Provisions as to holding of kidnapped persons were omitted as superseded by section 1201 of this title and original text relating to sale or holding to involuntary servitude retained. Words 'within the United States' were substituted for 'within the jurisdiction of the United States'. (See section 5 of this title defining 'United States'.) The punishment provisions were derived from section 446 of title 18, U.S.C., 1940 ed., as more consistent with other sections of this chapter. The requirement of section 423 of title 18, U.S.C., 1940 ed., for payment of one-half the fine 'for the use of the person prosecuting the indictment to effect' was omitted as meaningless. (See also reviser's note under section 1585 of this title.) Mandatory-punishment provisions were rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Slavery abolished, see Const. Amend. 13. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24313 Document 555 of 1438------ -CITE- 18 USC Sec. 1585 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1585. Seizure, detention, transportation or sale of slaves -STATUTE- Whoever, being a citizen or resident of the United States and a member of the crew or ship's company of any foreign vessel engaged in the slave trade, or whoever, being of the crew or ship's company of any vessel owned in whole or in part, or navigated for, or in behalf of, any citizen of the United States, lands from such vessel, and on any foreign shore seizes any person with intent to make that person a slave, or decoys, or forcibly brings, carries, receives, confines, detains or transports any person as a slave on board such vessel, or, on board such vessel, offers or attempts to sell any such person as a slave, or on the high seas or anywhere on tide water, transfers or delivers to any other vessel any such person with intent to make such person a slave, or lands or delivers on shore from such vessel any person with intent to sell, or having previously sold, such person as a slave, shall be fined not more than $5,000 or imprisoned not more than seven years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 773.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 421, 422, 425 (Mar. 4, 1909, ch. 321, Sec. 246, 247, 250, 35 Stat. 1138, 1139). Section consolidates and restores three basic sections (act May 25, 1820, ch. 113, Sec. 4, 5, 3 Stat. 600, 601; act Apr. 20, 1818, ch. 91, Sec. 4, 3 Stat. 451). As reenacted in the Revised Statutes, such sections were extended and broadened beyond such basic acts. The language at the beginning, 'being a citizen or resident of the United States', was inserted from said section 425 of title 18, U.S.C., 1940 ed., as enacted originally. While the basic provisions of said sections 421 and 422 are thus broadened, their application as enacted in the 1909 Criminal Code is narrowed. Designation in said section 421 of title 18, U.S.C., 1940 ed., of offender as a 'pirate' was omitted as unnecessary. The punishment provision of section 1582 of this title (incorporated by reference in said section 425) has been adopted as consistent with other slave-trade statutes rather than the life-imprisonment penalty contained in said sections 421 and 422 of title 18, U.S.C., 1940 ed. However, the requirement in section 1582 of this title that one-half the fine be for the 'use of the person prosecuting the indictment to effect' was omitted as meaningless. Mandatory-punishment provisions were rephrased in the alternative. -CROSS- CROSS REFERENCES Slavery abolished, see Const. Amend. 13. ------DocID 24314 Document 556 of 1438------ -CITE- 18 USC Sec. 1586 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1586. Service on vessels in slave trade -STATUTE- Whoever, being a citizen or resident of the United States, voluntarily serves on board of any vessel employed or made use of in the transportation of slaves from any foreign country or place to another, shall be fined not more than $2,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 773.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 427 (Mar. 4, 1909, ch. 321, Sec. 252, 35 Stat. 1139). Mandatory-punishment provisions were rephrased in the alternative. -CROSS- CROSS REFERENCES Slavery abolished, see Const. Amend. 13. ------DocID 24315 Document 557 of 1438------ -CITE- 18 USC Sec. 1587 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1587. Possession of slaves aboard vessel -STATUTE- Whoever, being the captain, master, or commander of any vessel found in any river, port, bay, harbor, or on the high seas within the jurisdiction of the United States, or hovering off the coast thereof, and having on board any person for the purpose of selling such person as a slave, or with intent to land such person for such purpose, shall be fined not more than $10,000 or imprisoned not more than four years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 773.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 426 (Mar. 4, 1909, ch. 321, Sec. 251, 35 Stat. 1139). Mandatory-punishment provisions were rephrased in the alternative. Minor change was made in phraseology. -CROSS- CROSS REFERENCES Slavery abolished, see Const. Amend. 13. ------DocID 24316 Document 558 of 1438------ -CITE- 18 USC Sec. 1588 -EXPCITE- TITLE 18 PART I CHAPTER 77 -HEAD- Sec. 1588. Transportation of slaves from United States -STATUTE- Whoever, being the master or owner or person having charge of any vessel, receives on board any other person with the knowledge or intent that such person is to be carried from any place within the United States to any other place to be held or sold as a slave, or carries away from any place within the United States any such person with the intent that he may be so held or sold as a slave, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 773.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 428 (Mar. 4, 1909, ch. 321, Sec. 253, 35 Stat. 1139). Words 'subject to the jurisdiction of' which appeared twice in this section were omitted and 'within' substituted, in view of section 5 of this title defining 'United States'. -CROSS- CROSS REFERENCES Slavery abolished, see Const. Amend. 13. ------DocID 24317 Document 559 of 1438------ -CITE- 18 USC CHAPTER 79 -EXPCITE- TITLE 18 PART I CHAPTER 79 -HEAD- CHAPTER 79 - PERJURY -MISC1- Sec. 1621. Perjury generally. 1622. Subornation of perjury. 1623. False declarations before grand jury or court. AMENDMENTS 1970 - Pub. L. 91-452, title IV, Sec. 401(b), Oct. 15, 1970, 84 Stat. 933, added item 1623. ------DocID 24318 Document 560 of 1438------ -CITE- 18 USC Sec. 1621 -EXPCITE- TITLE 18 PART I CHAPTER 79 -HEAD- Sec. 1621. Perjury generally -STATUTE- Whoever - (1) having taken an oath before a competent tribunal, officer, or person, in any case in which a law of the United States authorizes an oath to be administered, that he will testify, declare, depose, or certify truly, or that any written testimony, declaration, deposition, or certificate by him subscribed, is true, willfully and contrary to such oath states or subscribes any material matter which he does not believe to be true; or (2) in any declaration, certificate, verification, or statement under penalty of perjury as permitted under section 1746 of title 28, United States Code, willfully subscribes as true any material matter which he does not believe to be true; is guilty of perjury and shall, except as otherwise expressly provided by law, be fined not more than $2,000 or imprisoned not more than five years, or both. This section is applicable whether the statement or subscription is made within or without the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 773; Oct. 3, 1964, Pub. L. 88-619, Sec. 1, 78 Stat. 995; Oct. 18, 1976, Pub. L. 94-550, Sec. 2, 90 Stat. 2534.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 231, 629 (Mar. 4, 1909, ch. 321, Sec. 125, 35 Stat. 1111; June 15, 1917, ch. 30, title XI, Sec. 19, 40 Stat. 230). Words 'except as otherwise expressly provided by law' were inserted to avoid conflict with perjury provisions in other titles where the punishment and application vary. More than 25 additional provisions are in the code. For construction and application of several such sections, see Behrle v. United States (App. D.C. 1938, 100 F. 2d 714), United States v. Hammer (D.C.N.Y., 1924, 299 F. 1011, affirmed, 6 F. 2d 786), Rosenthal v. United States (1918, 248 F. 684, 160 C.C.A. 584), cf. Epstein v. United States (1912, 196 F. 354, 116 C.C.A. 174, certiorari denied 32 S. Ct. 527, 223 U.S. 731, 56 L. ed. 634). Mandatory punishment provisions were rephrased in the alternative. Minor verbal changes were made. AMENDMENTS 1976 - Pub. L. 94-550 divided existing provisions into a single introductory word 'Whoever', par. (1), and closing provisions following par. (2), and added par. (2). 1964 - Pub. L. 88-619 inserted at end 'This section is applicable whether the statement or subscription is made within or without the United States.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Census employees; false statements as perjury; punishment, see section 213 of Title 13, Census. False tax return, statements or document as perjury, see section 7206 of Title 26, Internal Revenue Code. Federal retirement benefits, forfeiture upon conviction of offenses described under this section committed in connection with certain national security offenses, see section 8312 of Title 5, Government Organization and Employees. Government employees; disability compensation; false statements as perjury; punishment, see section 1920 of this title. Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 8 sections 1324a, 1357; title 30 section 49e; title 50 App. sections 19, 2255. ------DocID 24319 Document 561 of 1438------ -CITE- 18 USC Sec. 1622 -EXPCITE- TITLE 18 PART I CHAPTER 79 -HEAD- Sec. 1622. Subornation of perjury -STATUTE- Whoever procures another to commit any perjury is guilty of subornation of perjury, and shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 232 (Mar. 4, 1909, ch. 321, Sec. 126, 35 Stat. 1111). The punishment prescribed in section 1621 of this title was substituted for the reference thereto. Minor change was made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses described under this section committed in connection with certain national security offenses, see section 8312 of Title 5, Government Organization and Employees. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 30 section 49e. ------DocID 24320 Document 562 of 1438------ -CITE- 18 USC Sec. 1623 -EXPCITE- TITLE 18 PART I CHAPTER 79 -HEAD- Sec. 1623. False declarations before grand jury or court -STATUTE- (a) Whoever under oath (or in any declaration, certificate, verification, or statement under penalty of perjury as permitted under section 1746 of title 28, United States Code) in any proceeding before or ancillary to any court or grand jury of the United States knowingly makes any false material declaration or makes or uses any other information, including any book, paper, document, record, recording, or other material, knowing the same to contain any false material declaration, shall be fined not more than $10,000 or imprisoned not more than five years, or both. (b) This section is applicable whether the conduct occurred within or without the United States. (c) An indictment or information for violation of this section alleging that, in any proceedings before or ancillary to any court or grand jury of the United States, the defendant under oath has knowingly made two or more declarations, which are inconsistent to the degree that one of them is necessarily false, need not specify which declaration is false if - (1) each declaration was material to the point in question, and (2) each declaration was made within the period of the statute of limitations for the offense charged under this section. In any prosecution under this section, the falsity of a declaration set forth in the indictment or information shall be established sufficient for conviction by proof that the defendant while under oath made irreconcilably contradictory declarations material to the point in question in any proceeding before or ancillary to any court or grand jury. It shall be a defense to an indictment or information made pursuant to the first sentence of this subsection that the defendant at the time he made each declaration believed the declaration was true. (d) Where, in the same continuous court or grand jury proceeding in which a declaration is made, the person making the declaration admits such declaration to be false, such admission shall bar prosecution under this section if, at the time the admission is made, the declaration has not substantially affected the proceeding, or it has not become manifest that such falsity has been or will be exposed. (e) Proof beyond a reasonable doubt under this section is sufficient for conviction. It shall not be necessary that such proof be made by any particular number of witnesses or by documentary or other type of evidence. -SOURCE- (Added Pub. L. 91-452, title IV, Sec. 401(a), Oct. 15, 1970, 84 Stat. 932, and amended Pub. L. 94-550, Sec. 6, Oct. 18, 1976, 90 Stat. 2535.) -MISC1- AMENDMENTS 1976 - Subsec. (a). Pub. L. 94-550 inserted '(or in any declaration, certificate, verification, or statement under penalty of perjury as permitted under section 1746 of title 28, United States Code)' after 'under oath'. ------DocID 24321 Document 563 of 1438------ -CITE- 18 USC CHAPTER 81 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- CHAPTER 81 - PIRACY AND PRIVATEERING -MISC1- Sec. 1651. Piracy under law of nations. 1652. Citizens as pirates. 1653. Aliens as pirates. 1654. Arming or serving on privateers. 1655. Assault on commander as piracy. 1656. Conversion or surrender of vessel. 1657. Corruption of seamen and confederating with pirates. 1658. Plunder of distressed vessel. 1659. Attack to plunder vessel. 1660. Receipt of pirate property. 1661. Robbery ashore. HISTORICAL AND REVISION NOTES In the light of far-reaching developments in the field of international law and foreign relations, the law of piracy is deemed to require a fundamental reconsideration and complete restatement, perhaps resulting in drastic changes by way of modification and expansion. Such a task may be regarded as beyond the scope of this project. The present revision is, therefore, confined to the making of some obvious and patent corrections. It is recommended, however, that at some opportune time in the near future, the subject of piracy be entirely reconsidered and the law bearing on it modified and restated in accordance with the needs of the times. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title. ------DocID 24322 Document 564 of 1438------ -CITE- 18 USC Sec. 1651 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1651. Piracy under law of nations -STATUTE- Whoever, on the high seas, commits the crime of piracy as defined by the law of nations, and is afterwards brought into or found in the United States, shall be imprisoned for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 481 (Mar. 4, 1909, ch. 321, Sec. 290, 35 Stat. 1145). -CROSS- CROSS REFERENCES High seas included within special maritime and territorial jurisdiction of United States, see section 7 of this title. Regulations for the suppression of piracy, see sections 381 to 387 of Title 33, Navigation and Navigable Waters. Venue of offenses committed on high seas, see section 3238 of this title. ------DocID 24323 Document 565 of 1438------ -CITE- 18 USC Sec. 1652 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1652. Citizens as pirates -STATUTE- Whoever, being a citizen of the United States, commits any murder or robbery, or any act of hostility against the United States, or against any citizen thereof, on the high seas, under color of any commission from any foreign prince, or state, or on pretense of authority from any person, is a pirate, and shall be imprisoned for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 495 (Mar. 4, 1909, ch. 321, Sec. 304, 35 Stat. 1147). Words 'Notwithstanding the pretense of such authority,' were omitted as surplusage. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of murder or robbery, see section 2516 of this title. ------DocID 24324 Document 566 of 1438------ -CITE- 18 USC Sec. 1653 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1653. Aliens as pirates -STATUTE- Whoever, being a citizen or subject of any foreign state, is found and taken on the sea making war upon the United States, or cruising against the vessels and property thereof, or of the citizens of the same, contrary to the provisions of any treaty existing between the United States and the state of which the offender is a citizen or subject, when by such treaty such acts are declared to be piracy, is a pirate, and shall be imprisoned for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 496 (Mar. 4, 1909, ch. 321, Sec. 305, 35 Stat. 1147.) Minor change was made in phraseology. ------DocID 24325 Document 567 of 1438------ -CITE- 18 USC Sec. 1654 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1654. Arming or serving on privateers -STATUTE- Whoever, being a citizen of the United States, without the limits thereof, fits out and arms, or attempts to fit out and arm or is concerned in furnishing, fitting out, or arming any private vessel of war or privateer, with intent that such vessel shall be employed to cruise or commit hostilities upon the citizens of the United States or their property; or Whoever takes the command of or enters on board of any such vessel with such intent; or Whoever purchases any interest in any such vessel with a view to share in the profits thereof - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 494 (Mar. 4, 1909, ch. 321, Sec. 303, 35 Stat. 1147). Reference to persons procuring or aiding was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Mandatory punishment provisions were rephrased in the alternative. The last sentence relating to venue was omitted as unnecessary in view of the general provision to the same effect in section 3238 of this title. Minor changes were made in phraseology and arrangement. ------DocID 24326 Document 568 of 1438------ -CITE- 18 USC Sec. 1655 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1655. Assault on commander as piracy -STATUTE- Whoever, being a seaman, lays violent hands upon his commander, to hinder and prevent his fighting in defense of his vessel or the goods intrusted to him, is a pirate, and shall be imprisoned for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 485 (Mar. 4, 1909, ch. 321, Sec. 294, 35 Stat. 1146). A minor verbal change was made. ------DocID 24327 Document 569 of 1438------ -CITE- 18 USC Sec. 1656 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1656. Conversion or surrender of vessel -STATUTE- Whoever, being a captain or other officer or mariner of a vessel upon the high seas or on any other waters within the admiralty and maritime jurisdiction of the United States, piratically or feloniously runs away with such vessel, or with any goods or merchandise thereof, to the value of $50 or over; or Whoever yields up such vessel voluntarily to any pirate - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 774.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 497 (Mar. 4, 1909, ch. 321, Sec. 306, 35 Stat. 1148). Minor changes were made in phraseology. ------DocID 24328 Document 570 of 1438------ -CITE- 18 USC Sec. 1657 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1657. Corruption of seamen and confederating with pirates -STATUTE- Whoever attempts to corrupt any commander, master, officer, or mariner to yield up or to run away with any vessel, or any goods, wares, or merchandise, or to turn pirate or to go over to or confederate with pirates, or in any wise to trade with any pirate, knowing him to be such; or Whoever furnishes such pirate with any ammunition, stores, or provisions of any kind; or Whoever fits out any vessel knowingly and, with a design to trade with, supply, or correspond with any pirate or robber upon the seas; or Whoever consults, combines, confederates, or corresponds with any pirate or robber upon the seas, knowing him to be guilty of any piracy or robbery; or Whoever, being a seaman, confines the master of any vessel - Shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 775; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2527(b), 104 Stat. 4877.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 498 (Mar. 4, 1909, ch. 321, Sec. 307, 35 Stat. 1148). Mandatory punishment provisions were rephrased in the alternative. Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-647, which directed insertion of 'section 11, 12, or 13 of the Federal Deposit Insurance Act' after 'consideration of any action brought under', could not be executed because the words 'consideration of any action brought under' did not appear. ------DocID 24329 Document 571 of 1438------ -CITE- 18 USC Sec. 1658 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1658. Plunder of distressed vessel -STATUTE- (a) Whoever plunders, steals, or destroys any money, goods, merchandise, or other effects from or belonging to any vessel in distress, or wrecked, lost, stranded, or cast away, upon the sea, or upon any reef, shoal, bank, or rocks of the sea, or in any other place within the admirality and maritime jurisdiction of the United States, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. (b) Whoever willfully obstructs the escape of any person endeavoring to save his life from such vessel, or the wreck thereof; or Whoever holds out or shows any false light, or extinguishes any true light, with intent to bring any vessel sailing upon the sea into danger or distress or shipwreck - Shall be imprisoned not less than ten years and may be imprisoned for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 775.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 488 (Mar. 4, 1909, ch. 321, Sec. 297, 35 Stat. 1146). Mandatory punishment provision in subsection (a) was rephrased in the alternative. Minor changes were made in phraseology. ------DocID 24330 Document 572 of 1438------ -CITE- 18 USC Sec. 1659 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1659. Attack to plunder vessel -STATUTE- Whoever, upon the high seas or other waters within the admiralty and maritime jurisdiction of the United States, by surprise or open force, maliciously attacks or sets upon any vessel belonging to another, with an intent unlawfully to plunder the same, or to despoil any owner thereof of any moneys, goods, or merchandise laden on board thereof, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 775.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 489 (Mar. 4, 1909, ch. 321, Sec. 298, 35 Stat. 1147). Mandatory punishment provisions were rephrased in the alternative. -CROSS- CROSS REFERENCES Conspiracy to destroy vessels, see section 2271 of this title. ------DocID 24331 Document 573 of 1438------ -CITE- 18 USC Sec. 1660 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1660. Receipt of pirate property -STATUTE- Whoever, without lawful authority, receives or takes into custody any vessel, goods, or other property, feloniously taken by any robber or pirate against the laws of the United States, knowing the same to have been feloniously taken, shall be imprisoned not more than ten years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 775.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 552 (Mar. 4, 1909, ch. 321, Sec. 334, 35 Stat. 1152). Provision relating to concealment of pirate and words 'is an accessory after the fact to such robbery or piracy' were omitted in view of definitive section 3 of this title. ------DocID 24332 Document 574 of 1438------ -CITE- 18 USC Sec. 1661 -EXPCITE- TITLE 18 PART I CHAPTER 81 -HEAD- Sec. 1661. Robbery ashore -STATUTE- Whoever, being engaged in any piratical cruise or enterprise, or being of the crew of any piratical vessel, lands from such vessel and commits robbery on shore, is a pirate, and shall be imprisoned for life. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 775.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 493 (Mar. 4, 1909, ch. 321, Sec. 302, 35 Stat. 1147). Transposition of several words was made. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of robbery, see section 2516 of this title. ------DocID 24333 Document 575 of 1438------ -CITE- 18 USC CHAPTER 83 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- CHAPTER 83 - POSTAL SERVICE -MISC1- Sec. 1691. Laws governing postal savings. 1692. Foreign mail as United States mail. 1693. Carriage of mail generally. 1694. Carriage of matter out of mail over post routes. 1695. Carriage of matter out of mail on vessels. 1696. Private express for letters and packets. 1697. Transportation of persons acting as private express. 1698. Prompt delivery of mail from vessel. 1699. Certification of delivery from vessel. 1700. Desertion of mails. 1701. Obstruction of mails generally. 1702. Obstruction of correspondence. 1703. Delay or destruction of mail or newspapers. 1704. Keys or locks stolen or reproduced. 1705. Destruction of letter boxes or mail. 1706. Injury to mail bags. 1707. Theft of property used by Postal Service. 1708. Theft or receipt of stolen mail matter generally. 1709. Theft of mail matter by officer or employee. 1710. Theft of newspapers. 1711. Misappropriation of postal funds. 1712. Falsification of postal returns to increase compensation. 1713. Issuance of money orders without payment. (1714. Repealed.) 1715. Firearms as nonmailable; regulations. 1716. Injurious articles as nonmailable. 1716A. Nonmailable locksmithing devices and motor vehicle master keys. 1716B. Nonmailable plants. 1716C. Forged agricultural certifications. 1717. Letters and writings as nonmailable. (1718. Repealed.) 1719. Franking privilege. 1720. Cancelled stamps and envelopes. 1721. Sale or pledge of stamps. 1722. False evidence to secure second-class rate. 1723. Avoidance of postage by using lower class matter. 1724. Postage on mail delivered by foreign vessels. 1725. Postage unpaid on deposited mail matter. 1726. Postage collected unlawfully. (1727. Repealed.) 1728. Weight of mail increased fraudulently. 1729. Post office conducted without authority. 1730. Uniforms of carriers. 1731. Vehicles falsely labeled as carriers. 1732. Approval of bond or sureties by postmaster. 1733. Mailing periodical publications without prepayment of postage. 1734. Editorials and other matter as 'advertisements'. 1735. Sexually oriented advertisements. 1736. Restrictive use of information. 1737. Manufacturer of sexually related mail matter. 1738. Mailing private identification documents without a disclaimer. AMENDMENTS 1990 - Pub. L. 101-647, title XII, Sec. 1210(b), (c), title XXXV, Sec. 3552(b), Nov. 29, 1990, 104 Stat. 4832, 4926, struck out item 1714 'Foreign divorce information as nonmailable', struck out '; opening letters' after 'nonmailable' in item 1717, and struck out item 1718 'Libelous matter on wrappers or envelopes'. 1988 - Pub. L. 100-690, title VII, Sec. 7090(d), Nov. 18, 1988, 102 Stat. 4410, inserted 'locksmithing devices and' before 'motor' in item 1716A. Pub. L. 100-574, Sec. 1(b)(2), 2(b), Oct. 31, 1988, 102 Stat. 2893, added items 1716B and 1716C. 1982 - Pub. L. 97-398, Sec. 4(b), Dec. 31, 1982, 96 Stat. 2011, added item 1738. 1970 - Pub. L. 91-375, Sec. 6(j)(19)(B), (36)(B), (37)(B), Aug. 12, 1970, 84 Stat. 778, 780, 781, substituted 'officer' for 'postmaster' in item 1709 and 'Mailing periodical publications without prepayment of postage' for 'Affidavits relating to second class mail' in item 1733, and added items 1735 to 1737. 1968 - Pub. L. 90-560, Sec. 2(2), Oct. 12, 1968, 82 Stat. 997, added item 1716A. Pub. L. 90-384, Sec. 1(b), July 5, 1968, 82 Stat. 292, struck out item 1727 'Postage accounting'. 1960 - Pub. L. 86-682, Sec. 8, Sept. 2, 1960, 74 Stat. 706, added items 1733 and 1734. -CROSS- CROSS REFERENCES Assault or interference with postal clerk, see section 2116 of this title. Breaking and entering into post office, see section 2115 of this title. Definition of postal service, see section 12 of this title. False - Claims for postal losses, see section 288 of this title. Statements in matters within jurisdiction of Federal agency, see section 1001 of this title. Forcible entry into railway or steamboat post office, see section 2116 of this title. Mail fraud, see sections 1341, 1342 of this title. Money orders, counterfeiting, see section 500 of this title. Postage stamps, domestic and foreign, counterfeiting, see sections 501 and 502 of this title. Postal - Employee having interest in mail contract, see section 440 of this title. Supply contracts, combinations to fix prices or to prevent bids, see section 441 of this title. Postmarking stamps, counterfeiting, see section 503 of this title. Robbery of mail matter, see section 2114 of this title. Venue of prosecution, see section 3237 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 39 sections 1008, 3001. ------DocID 24334 Document 576 of 1438------ -CITE- 18 USC Sec. 1691 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1691. Laws governing postal savings -STATUTE- All the safeguards provided by law for the protection of public moneys, and all statutes relating to the embezzlement, conversion, improper handling, retention, use, or disposal of postal and money-order funds, false returns of postal and money-order business, forgery, counterfeiting, alteration, improper use or handling of postal and money-order blanks, forms, vouchers, accounts, and records, and the dies, plates, and engravings therefor, with the punishments provided for such offenses are extended and made applicable to postal savings depository business and funds and related matters. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 776.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 765 of title 39, U.S.C., 1940 ed., The Postal Service (June 25, 1910, ch. 386, Sec. 15, 36 Stat. 818). Changes of phraseology were made without change of substance. ------DocID 24335 Document 577 of 1438------ -CITE- 18 USC Sec. 1692 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1692. Foreign mail as United States mail -STATUTE- Every foreign mail, while being transported across the territory of the United States under authority of law, is mail of the United States, and any depredation thereon, or offense in respect thereto, shall be punishable as though it were United States mail. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 776.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 359 (Mar. 4, 1909, ch. 321, Sec. 229, 35 Stat. 1134). Minor changes were made in phraseology and obvious surplusage omitted. ------DocID 24336 Document 578 of 1438------ -CITE- 18 USC Sec. 1693 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1693. Carriage of mail generally -STATUTE- Whoever, being concerned in carrying the mail, collects, receives, or carries any letter or packet, contrary to law, shall be fined not more than $50 or imprisoned not more than thirty days, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 776.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 303 (Mar. 4, 1909, ch. 321, Sec. 180, 35 Stat. 1123). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal changes were made. ------DocID 24337 Document 579 of 1438------ -CITE- 18 USC Sec. 1694 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1694. Carriage of matter out of mail over post routes -STATUTE- Whoever, having charge or control of any conveyance operating by land, air, or water, which regularly performs trips at stated periods on any post route, or from one place to another between which the mail is regularly carried, carries, otherwise than in the mail, any letters or packets, except such as relate to some part of the cargo of such conveyance, or to the current business of the carrier, or to some article carried at the same time by the same conveyance, shall, except as otherwise provided by law, be fined not more than $50. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 776.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 307 (Mar. 4, 1909, ch. 321, Sec. 184, 35 Stat. 1124). Words 'by land, air, or water' were substituted for 'stagecoach, railway car, steamboat' with necessary minor changes in phraseology. Enumeration of persons having charge was omitted as unnecessary. STUDY OF PRIVATE CARRIAGE OF MAIL; REPORTS TO PRESIDENT AND CONGRESS Congressional findings of need for study and reevaluation of restrictions on private carriage of letters and packets contained in this section and submission by United States Postal Service of reports to President and Congress for modernization of law, regulations, and administrative practices, see section 7 of Pub. L. 91-375, set out as a note under section 601 of Title 39, Postal Service. ------DocID 24338 Document 580 of 1438------ -CITE- 18 USC Sec. 1695 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1695. Carriage of matter out of mail on vessels -STATUTE- Whoever carries any letter or packet on board any vessel which carries the mail, otherwise than in such mail, shall, except as otherwise provided by law, be fined not more than $50 or imprisoned not more than thirty days, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 308 (Mar. 4, 1909, ch. 321, Sec. 185, 35 Stat. 1124). The words 'thirty days' were substituted for 'one month,' to make the term of imprisonment more definite and to conform to other comparable sections. (See section 1693 of this title.) Minor changes were made in phraseology. STUDY OF PRIVATE CARRIAGE OF MAIL; REPORTS TO PRESIDENT AND CONGRESS Congressional findings of need for study and reevaluation of restrictions on private carriage of letters and packets contained in this section and submission by United States Postal Service of reports to President and Congress for modernization of law, regulations, and administrative practices, see section 7 of Pub. L. 91-375, set out as a note under section 601 of Title 39, Postal Service. ------DocID 24339 Document 581 of 1438------ -CITE- 18 USC Sec. 1696 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1696. Private express for letters and packets -STATUTE- (a) Whoever establishes any private express for the conveyance of letters or packets, or in any manner causes or provides for the conveyance of the same by regular trips or at stated periods over any post route which is or may be established by law, or from any city, town, or place to any other city, town, or place, between which the mail is regularly carried, shall be fined not more than $500 or imprisoned not more than six months, or both. This section shall not prohibit any person from receiving and delivering to the nearest post office, postal car, or other authorized depository for mail matter any mail matter properly stamped. (b) Whoever transmits by private express or other unlawful means, or delivers to any agent thereof, or deposits at any appointed place, for the purpose of being so transmitted any letter or packet, shall be fined not more than $50. (c) This chapter shall not prohibit the conveyance or transmission of letters or packets by private hands without compensation, or by special messenger employed for the particular occasion only. Whenever more than twenty-five such letters or packets are conveyed or transmitted by such special messenger, the requirements of section 601 of title 39, shall be observed as to each piece. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 777; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(14), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 304, 306, 309 (Mar. 4, 1909, ch. 321, Sec. 181, 183, 186, 35 Stat. 1123, 1124; June 22, 1934, ch. 716, 48 Stat. 1207). Section consolidates sections 304, 306, and 309 of title 18, U.S.C., 1940 ed. Reference to persons causing, procuring, aiding or assisting was omitted as such persons are principals under section 2 of this title. Minor changes were made in phraseology. AMENDMENTS 1970 - Subsec. (c). Pub. L. 91-375 substituted 'section 601 of title 39' for 'section 500 of title 39'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. STUDY OF PRIVATE CARRIAGE OF MAIL; REPORTS TO PRESIDENT AND CONGRESS Congressional findings of need for study and reevaluation of restrictions on private carriage of letters and packets contained in this section and submission by United States Postal Service of reports to President and Congress for modernization of law, regulations, and administrative practices, see section 7 of Pub. L. 91-375, set out as a note under section 601 of Title 39, Postal Service. ------DocID 24340 Document 582 of 1438------ -CITE- 18 USC Sec. 1697 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1697. Transportation of persons acting as private express -STATUTE- Whoever, having charge or control of any conveyance operating by land, air, or water, knowingly conveys or knowingly permits the conveyance of any person acting or employed as a private express for the conveyance of letters or packets, and actually in possession of the same for the purpose of conveying them contrary to law, shall be fined not more than $150. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 305 (Mar. 4, 1909, ch. 321, Sec. 182, 35 Stat. 1124). Same changes were made as in section 1694 of this title. ------DocID 24341 Document 583 of 1438------ -CITE- 18 USC Sec. 1698 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1698. Prompt delivery of mail from vessel -STATUTE- Whoever, having charge or control of any vessel passing between ports or places in the United States, and arriving at any such port or place where there is a post office, fails to deliver to the postmaster or at the post office, within three hours after his arrival, if in the daytime, and if at night, within two hours after the next sunrise, all letters and packages brought by him or within his power or control and not relating to the cargo, addressed to or destined for such port or place, shall be fined not more than $150. For each letter or package so delivered he shall receive two cents unless the same is carried under contract. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 777.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed. Sec. 323 (Mar. 4, 1909, ch. 321, Sec. 200, 35 Stat. 1126). Changes were made in phraseology. ------DocID 24342 Document 584 of 1438------ -CITE- 18 USC Sec. 1699 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1699. Certification of delivery from vessel -STATUTE- No vessel arriving within a port or collection district of the United States shall be allowed to make entry or break bulk until all letters on board are delivered to the nearest post office, except where waybilled for discharge at other ports in the United States at which the vessel is scheduled to call and the Postal Service does not determine that unreasonable delay in the mails will occur, and the master or other person having charge or control thereof has signed and sworn to the following declaration before the collector or other proper customs officer: I, A. B., master XXX, of the XXX, arriving from XXX, and now lying in the port of XXX, do solemnly swear (or affirm) that I have to the best of my knowledge and belief delivered to the post office at XXX every letter and every bag, packet, or parcel of letters on board the said vessel during her last voyage, or in my possession or under my power or control, except where waybilled for discharge at other ports in the United States at which the said vessel is scheduled to call and which the Postal Service has not determined will be unreasonably delayed by remaining on board the said vessel for delivery at such ports. Whoever, being the master or other person having charge or control of such vessel, breaks bulk before he has arranged for such delivery or onward carriage, shall be fined not more than $100. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 777; July 3, 1952, ch. 553, 66 Stat. 325; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(15), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 327 (Mar. 4, 1909, ch. 321, Sec. 204, 35 Stat. 1127). Minor changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Postmaster General' in two places. 1952 - Act July 3, 1952, provided for only the unloading of mail from a vessel as can be expedited by discharge at such port. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -TRANS- TRANSFER OF FUNCTIONS Offices of collector of customs, comptroller of customs, surveyor of customs, and appraiser of merchandise in Bureau of Customs of Department of the Treasury to which appointments were required to be made by President with advice and consent of Senate were ordered abolished, with such offices to be terminated not later than Dec. 31, 1966, by Reorg. Plan No. 1 of 1965, eff. May 25, 1965, 30 F.R. 7035, 79 Stat. 1317, set out in the Appendix to Title 5, Government Organization and Employees. Functions of offices eliminated were already vested in Secretary of the Treasury by Reorg. Plan No. 26 of 1950, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5. -CROSS- CROSS REFERENCES Foreign letters carried out of the mails, see section 602 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 602. ------DocID 24343 Document 585 of 1438------ -CITE- 18 USC Sec. 1700 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1700. Desertion of mails -STATUTE- Whoever, having taken charge of any mail, voluntarily quits or deserts the same before he has delivered it into the post office at the termination of the route, or to some known mail carrier, messenger, agent, or other employee in the Postal Service authorized to receive the same, shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 322 (Mar. 4, 1909, ch. 321, Sec. 199, 35 Stat. 1126). Minor changes were made in phraseology. ------DocID 24344 Document 586 of 1438------ -CITE- 18 USC Sec. 1701 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1701. Obstruction of mails generally -STATUTE- Whoever knowingly and willfully obstructs or retards the passage of the mail, or any carrier or conveyance carrying the mail, shall be fined not more than $100 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 324, 325 (Mar. 4, 1909, ch. 321, Sec. 201, 202, 35 Stat. 1127). Sections 324 and 325 of title 18, U.S.C., 1940 ed., were consolidated with changes of phraseology necessary to effect consolidation. Words 'carriage, horse, driver or', 'car, steamboat', and 'or vessel' were omitted as covered by 'any carrier or conveyance'. The punishment provision is derived from said section 324 rather than from section 325 which provided only a fine of not more than $100 and related only to ferrymen. -CROSS- CROSS REFERENCES Temporary employees of the postal service or carriers with custody, see section 1008 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 1008. ------DocID 24345 Document 587 of 1438------ -CITE- 18 USC Sec. 1702 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1702. Obstruction of correspondence -STATUTE- Whoever takes any letter, postal card, or package out of any post office or any authorized depository for mail matter, or from any letter or mail carrier, or which has been in any post office or authorized depository, or in the custody of any letter or mail carrier, before it has been delivered to the person to whom it was directed, with design to obstruct the correspondence, or to pry into the business or secrets of another, or opens, secretes, embezzles, or destroys the same, shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 317 (Mar. 4, 1909, ch. 321, Sec. 194, 35 Stat. 1125; Feb. 25, 1925, ch. 318, 43 Stat. 977; Aug. 26, 1935, ch. 693, 49 Stat. 867; Aug. 7, 1939, ch. 557, 53 Stat. 1256). Section 317 of said title 18, U.S.C., 1940 ed., was incorporated in this and section 1708 of this title. Minor changes were made in phraseology. ------DocID 24346 Document 588 of 1438------ -CITE- 18 USC Sec. 1703 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1703. Delay or destruction of mail or newspapers -STATUTE- (a) Whoever, being a Postal Service officer or employee, unlawfully secretes, destroys, detains, delays, or opens any letter, postal card, package, bag, or mail entrusted to him or which shall come into his possession, and which was intended to be conveyed by mail, or carried or delivered by any carrier or other employee of the Postal Service, or forwarded through or delivered from any post office or station thereof established by authority of the Postmaster General or the Postal Service, shall be fined not more than $500 or imprisoned not more than five years, or both. (b) Whoever, being a Postal Service officer or employee, improperly detains, delays, or destroys any newspaper, or permits any other person to detain, delay, or destroy the same, or opens, or permits any other person to open, any mail or package of newspapers not directed to the office where he is employed; or Whoever, without authority, opens, or destroys any mail or package of newspapers not directed to him, shall be fined not more than $100 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 778; May 24, 1949, ch. 139, Sec. 37, 63 Stat. 95; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(16), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 318, 319 (Mar. 4, 1909, ch. 321, Sec. 195, 196, 35 Stat. 1125, 1126). Section consolidated sections 318 and 319 of said title 18, U.S.C., 1940 ed. The embezzlement and theft provisions of each were incorporated in sections 1709 and 1710 of this title. Minor changes were made in phraseology. 1949 ACT This section (section 37) corrects typographical errors in section 1703 of title 18, U.S.C. AMENDMENTS 1970 - Subsec. (a). Pub. L. 91-375, Sec. 6(j)(16)(A), amended subsec. (a) generally, which prior to amendment read as follows: 'Whoever, being a postmaster or Postal Service employee, unlawfully detains, delays, or opens any letter, postal card, package, bag, or mail intrusted to him or which shall come into his possession, and which was intended to be conveyed by mail, or carried or delivered by any carrier or other employee of the Postal Service, or forwarded through or delivered from any post office or station thereof established by authority of the Postmaster General; or secretes, or destroys any such letter, postal card, package, bag, or mail, shall be fined not more than $500 or imprisoned not more than five years, or both.' Subsec. (b). Pub. L. 91-375, Sec. 6(j)(16)(B), substituted 'Postal Service officer or employee' for 'postmaster or Postal Service employee'. 1949 - Subsec. (a). Act May 24, 1949, Sec. 37(a), substituted 'secretes' for 'secrets'. Subsec. (b). Act May 24, 1949, Sec. 37(b), substituted 'newspapers' for 'newspaper'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24347 Document 589 of 1438------ -CITE- 18 USC Sec. 1704 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1704. Keys or locks stolen or reproduced -STATUTE- Whoever steals, purloins, embezzles, or obtains by false pretense any key suited to any lock adopted by the Post Office Department or the Postal Service and in use on any of the mails or bags thereof, or any key to any lock box, lock drawer, or other authorized receptacle for the deposit or delivery of mail matter; or Whoever knowingly and unlawfully makes, forges, or counterfeits any such key, or possesses any such mail lock or key with the intent unlawfully or improperly to use, sell, or otherwise dispose of the same, or to cause the same to be unlawfully or improperly used, sold, or otherwise disposed of; or Whoever, being engaged as a contractor or otherwise in the manufacture of any such mail lock or key, delivers any finished or unfinished lock or the interior part thereof, or key, used or designed for use by the department, to any person not duly authorized under the hand of the Postmaster General and the seal of the Post Office Department or the Postal Service, to receive the same, unless the person receiving it is the contractor for furnishing the same or engaged in the manufacture thereof in the manner authorized by the contract, or the agent of such manufacturer - Shall be fined not more than $500 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 778; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(17), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 314 (Mar. 4, 1909, ch. 321, Sec. 191, 35 Stat. 1125). Reference to persons aiding, causing or assisting was omitted. Such persons are principals under section 2 of this title. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 inserted 'or the Postal Service' after 'Post Office Department' in first and third pars. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24348 Document 590 of 1438------ -CITE- 18 USC Sec. 1705 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1705. Destruction of letter boxes or mail -STATUTE- Whoever willfully or maliciously injures, tears down or destroys any letter box or other receptacle intended or used for the receipt or delivery of mail on any mail route, or breaks open the same or willfully or maliciously injures, defaces or destroys any mail deposited therein, shall be fined not more than $1,000 or imprisoned not more than three years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 779; May 24, 1949, ch. 139, Sec. 38, 63 Stat. 95.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 321 (Mar. 4, 1909, ch. 321, Sec. 198, 35 Stat. 1126; May 18, 1916, ch. 126, Sec. 10, 39 Stat. 162; July 28, 1916, ch. 261, Sec. 1, 39 Stat. 418; May 7, 1934, ch. 220, Sec. 1, 48 Stat. 667). Words 'or shall willfully take or steal such mail from or out of such letter box or other receptacle' were omitted as covered by section 1702 of this title. Prosecutions for theft of mail matter are invariably made under that section whereas this section is used as basis for prosecutions for malicious mischief to mail boxes or receptacles. By Postal Regulations (1928), section 700, paragraph 2, an ordinary letter box is within this section and also section 1702 of this title. Huebner v. United States (C.C.A. 1928, 28 F. 2d 929). Reference to persons assisting or aiding was omitted. Such persons are principals under definitive section 2 of this title. Minor changes were made in phraseology. 1949 ACT As amended by this section (section 38) of the bill, section 1705 of title 18, U.S.C., is brought more closely into conformity with the original statute from which it was derived by eliminating an inadvertent reference to a 'conveyance' which was not in the original statute. (See S. Rept. No. 133, 81st Cong.) AMENDMENTS 1949 - Act May 24, 1949, struck out reference to a 'conveyance' which was not in original statute. ------DocID 24349 Document 591 of 1438------ -CITE- 18 USC Sec. 1706 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1706. Injury to mail bags -STATUTE- Whoever tears, cuts, or otherwise injures any mail bag, pouch, or other thing used or designed for use in the conveyance of the mail, or draws or breaks any staple or loosens any part of any lock, chain, or strap attached thereto, with intent to rob or steal any such mail, or to render the same insecure, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 779.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 312 (Mar. 4, 1909, ch. 321, Sec. 189, 35 Stat. 1124). A fine of '$1,000' was substituted for '$500' thus increasing the maximum to correspond with other comparable sections. (See section 1705 of this title.) Minor verbal changes were made. ------DocID 24350 Document 592 of 1438------ -CITE- 18 USC Sec. 1707 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1707. Theft of property used by Postal Service -STATUTE- Whoever steals, purloins, or embezzles any property used by the Postal Service, or appropriates any such property to his own or any other than its proper use, or conveys away any such property to the hindrance or detriment of the public service, shall be fined not more than $1,000 or imprisoned not more than three years, or both; but if the value of such property does not exceed $100, he shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 779; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(18), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 313 (Mar. 4, 1909, ch. 321, Sec. 190, 35 Stat. 1124). The phrase 'used by' was substituted for 'in use by or belonging to' in order to limit the application of the section to property used by the Post Office Department. Theft of public property belonging to governmental departments is covered by section 641 of this title. A fine of '$1,000' was substituted for '$200,' thus increasing the maximum to conform with other comparable sections. (See section 1705 of this title.) The smaller penalty for an offense involving property valued at $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) Minor changes in phraseology were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Post Office Department'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24351 Document 593 of 1438------ -CITE- 18 USC Sec. 1708 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1708. Theft or receipt of stolen mail matter generally -STATUTE- Whoever steals, takes, or abstracts, or by fraud or deception obtains, or attempts so to obtain, from or out of any mail, post office, or station thereof, letter box, mail receptacle, or any mail route or other authorized despository for mail matter, or from a letter or mail carrier, any letter, postal card, package, bag, or mail, or abstracts or removes from any such letter, package, bag, or mail, any article or thing contained therein, or secretes, embezzles, or destroys any such letter, postal card, package, bag, or mail, or any article or thing contained therein; or Whoever steals, takes, or abstracts, or by fraud or deception obtains any letter, postal card, package, bag, or mail, or any article or thing contained therein which has been left for collection upon or adjacent to a collection box or other authorized depository of mail matter; or Whoever buys, receives, or conceals, or unlawfully has in his possession, any letter, postal card, package, bag, or mail, or any article or thing contained therein, which has been so stolen, taken, embezzled, or abstracted, as herein described, knowing the same to have been stolen, taken, embezzled, or abstracted - Shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 779; May 24, 1949, ch. 139, Sec. 39, 63 Stat. 95; July 1, 1952, ch. 535, 66 Stat. 314.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 317, 321 (Mar. 4, 1909, ch. 321, Sec. 194, 198, 35 Stat. 1125, 1126; May 18, 1916, ch. 126, Sec. 10, 39 Stat. 162; July 28, 1916, ch. 261, Sec. 1, 39 Stat. 418; Feb. 25, 1925, ch. 318, 43 Stat. 977; May 7, 1934, ch. 220, Sec. 1, 48 Stat. 667; Aug. 26, 1935, ch. 693, 49 Stat. 867; Aug. 7, 1939, ch. 557, 53 Stat. 1256). Each of these two sections has been divided. Provisions relating to theft or larceny of mail were placed in this section. Words 'letter box, mail receptacle, or any mail route' are from section 321 of title 18, U.S.C., 1940 ed. Such receptacles are authorized depositaries. (See Rosen v. United States, N.Y. 1917, 38 S.Ct. 148, 245 U.S. 467, 62 L.Ed. 406, and Foster v. Biddle, C.C.A. Kan. 1926, 14 F.2d 280, involving indictment under section 317 of title 18, U.S.C., 1940 ed.) No cases are reported of prosecutions for mail theft under section 321 of title 18, U.S.C., 1940 ed., which relates primarily to malicious mischief respecting letter boxes. Language omitted from section 317 of title 18, U.S.C., 1940 ed., and all of section 321 of title 18, U.S.C., 1940 ed., except that above quoted, was incorporated in sections 1702 and 1705 of this title. Words 'or aids in buying, receiving, or concealing' were omitted as unnecessary in view of the definition of principal in section 2 of this title. The smaller penalty for an offense involving $100 or less was added. (See sections 641 and 645 of this title.) Minor changes were made in phraseology. 1949 ACT This section (section 39) corrects a typographical error in section 1708 of title 18, U.S.C. AMENDMENTS 1952 - Act July 1, 1952, made any thefts or receipt of stolen mail a felony regardless of the monetary value of the thing stolen. 1949 - Act May 24, 1949, substituted 'buys' for 'buy' in third par. -CROSS- CROSS REFERENCES Larceny from mail, see section 2114 of this title. Temporary employees of the postal service or carriers with custody, see section 1008 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 1008. ------DocID 24352 Document 594 of 1438------ -CITE- 18 USC Sec. 1709 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1709. Theft of mail matter by officer or employee -STATUTE- Whoever, being a Postal Service officer or employee, embezzles any letter, postal card, package, bag, or mail, or any article or thing contained therein entrusted to him or which comes into his possession intended to be conveyed by mail, or carried or delivered by any carrier, messenger, agent, or other person employed in any department of the Postal Service, or forwarded through or delivered from any post office or station thereof established by authority of the Postmaster General or of the Postal Service; or steals, abstracts, or removes from any such letter, package, bag, or mail, any article or thing contained therein, shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 780; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(19)(A), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 318 (Mar. 4, 1909, ch. 321, Sec. 195, 35 Stat. 1125). The provisions of said section 318 of title 18, U.S.C., 1940 ed., were incorporated in this section and section 1703 of this title. The fine of '$500' was increased to '$2,000' as more proportionate to the imprisonment provision and to conform with other comparable sections. (See sections 1702 and 1708 of this title.) Changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'officer' for 'postmaster' in section catchline, and in text substituted 'Postal Service officer or employee' for 'postmaster or Postal Service employee' and 'entrusted' for 'intrusted' and inserted 'or of the Postal Service' after 'Postmaster General'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24353 Document 595 of 1438------ -CITE- 18 USC Sec. 1710 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1710. Theft of newspapers -STATUTE- Whoever, being a Postal Service officer or employee, takes or steals any newspaper or package of newspapers from any post office or from any person having custody thereof, shall be fined not more than $100 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 780; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(20), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 319 (Mar. 4, 1909, ch. 321, Sec. 196, 35 Stat. 1126). Theft provisions alone are retained in this section. Those relating to other offenses were incorporated in section 1703 of this title. Words 'mail or' following 'steals any' were omitted as covered by section 1709 of this title. Changes were made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service officer or employee' for 'postmaster or Postal Service employee'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24354 Document 596 of 1438------ -CITE- 18 USC Sec. 1711 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1711. Misappropriation of postal funds -STATUTE- Whoever, being a Postal Service officer or employee, loans, uses, pledges, hypothecates, or converts to his own use, or deposits in any bank, or exchanges for other funds or property, except as authorized by law, any money or property coming into his hands or under his control in any manner, in the execution or under color of his office, employment, or service, whether or not the same shall be the money or property of the United States; or fails or refuses to remit to or deposit in the Treasury of the United States or in a designated depository, or to account for or turn over to the proper officer or agent, any such money or property, when required to do so by law or the regulations of the Postal Service, or upon demand or order of the Postal Service, either directly or through a duly authorized officer or agent, is guilty of embezzlement; and every such person, as well as every other person advising or knowingly participating therein, shall be fined in a sum equal to the amount or value of the money or property embezzled or imprisoned not more than ten years, or both; but if the amount or value thereof does not exceed $100, he shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not prohibit any Postal Service officer or employee from depositing, under the direction of the Postal Service, in a national bank designated by the Secretary of the Treasury for that purpose, to his own credit as Postal Service officer or employee any funds in his charge, nor prevent his negotiating drafts or other evidences of debt through such bank, or through United States disbursing officers, or otherwise, when instructed or required so to do by the Postal Service, for the purpose of remitting surplus funds from one post office to another. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 780; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(21), 84 Stat. 778.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 355 (Mar. 4, 1909, ch. 321, Sec. 225, 35 Stat. 1133; June 10, 1921, ch. 18, Sec. 304, 42 Stat. 24). Said section 355 was divided into two sections, this section and section 3498 of this title. The smaller punishment for an offense involving $100 or less was added. (See reviser's notes under sections 641 and 645 of this title.) Changes of phraseology only were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service officer or employee' and 'Postal Service' for 'postmaster or Postal Service employee' and 'Post Office Department' in first par., 'Postal Service officer or employee' for 'Postmaster' in two places in second par., and 'Postal Service' for 'Postmaster General' once in first par. after 'order of the' and twice in second par., respectively. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24355 Document 597 of 1438------ -CITE- 18 USC Sec. 1712 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1712. Falsification of postal returns to increase compensation -STATUTE- Whoever, being a Postal Service officer or employee, makes a false return, statement, or account to any officer of the United States, or makes a false entry in any record, book, or account, required by law or the rules or regulations of the Postal Service to be kept in respect of the business or operations of any post office or other branch of the Postal Service, for the purpose of fraudulently increasing his compensation or the compensation of the postmaster or any employee in a post office; or Whoever, being a Postal Service officer or employee in any post office or station thereof, for the purpose of increasing the emoluments or compensation of his office, induces, or attempts to induce, any person to deposit mail matter in, or forward in any manner for mailing at, the office where such officer or employee is employed, knowing such matter to be properly mailable at another post office - Shall be fined not more than $500 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 780; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(22), 84 Stat. 779.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 329 and on section 172 of title 39, U.S.C., 1940 ed., The Postal Service (Aug. 4, 1886, ch. 901, Sec. 3, 24 Stat. 221; Mar. 4, 1909, ch. 321, Sec. 206, 35 Stat. 1128; June 10, 1921, ch. 18, Sec. 304, 42 Stat. 24). Said sections were consolidated. The texts of the two sections were substantially identical except that said section 172 of title 39, U.S.C., 1940 ed., provided that 'whenever, upon evidence deemed satisfactory to him, the Postmaster General shall determine that any such false return has been made, he may, by order, fix absolutely the compensation of the postmaster for such special delivery during any quarter or quarters which he shall deem affected by such false return, and the General Accounting Office shall adjust the postmaster's account accordingly', the words 'General Accounting Office' having been substituted for 'Auditor' on the authority of the act of June 10, 1921, shown in the credits above. This particular language was omitted because such powers and duties as it prescribes would devolve upon the Postmaster General without legislation and also because said section 172 of Title 39, which was derived from the act of August 4, 1886, shown in the credits above, was impliedly repealed by the general repealing clause of section 341 of the Criminal Code of 1909. Section 208 of that Code contained the provisions which formed the basis for said section 329 of Title 18. Reference in said section 329 of title 18, U.S.C., 1940 ed., to persons assisting, causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal changes were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service officer or employee' for 'postmaster or Postal Service employee' and 'Postal Service' for 'Post Office Department' after 'rules or regulations of the' in first par. and 'Postal Service officer or employee' and 'officer or employee' for 'postmaster or employee' and 'postmaster or other person' in second par., respectively. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24356 Document 598 of 1438------ -CITE- 18 USC Sec. 1713 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1713. Issuance of money orders without payment -STATUTE- Whoever, being an officer or employee of the Postal Service, issues a money order without having previously received the money therefor, shall be fined not more than $500. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 781; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(23), 84 Stat. 779.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 333 (Mar. 4, 1909, ch. 321, Sec. 210, 35 Stat. 1129). Minor change was made in phraseology. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'an officer or employee of the Postal Service' for 'a postmaster or other person employed in any branch of the Postal Service'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24357 Document 599 of 1438------ -CITE- 18 USC Sec. 1714 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- (Sec. 1714. Repealed. Pub. L. 101-647, title XII, Sec. 1210(b), Nov. 29, 1990, 104 Stat. 4832) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 781, provided that certain foreign divorce information was nonmailable. ------DocID 24358 Document 600 of 1438------ -CITE- 18 USC Sec. 1715 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1715. Firearms as nonmailable; regulations -STATUTE- Pistols, revolvers, and other firearms capable of being concealed on the person are nonmailable and shall not be deposited in or carried by the mails or delivered by any officer or employee of the Postal Service. Such articles may be conveyed in the mails, under such regulations as the Postal Service shall prescribe, for use in connection with their official duty, to officers of the Army, Navy, Air Force, Coast Guard, Marine Corps, or Organized Reserve Corps; to officers of the National Guard or Militia of a State, Territory, or District; to officers of the United States or of a State, Territory, or District whose official duty is to serve warrants of arrest or commitments; to employees of the Postal Service; to officers and employees of enforcement agencies of the United States; and to watchmen engaged in guarding the property of the United States, a State, Territory, or District. Such articles also may be conveyed in the mails to manufacturers of firearms or bona fide dealers therein in customary trade shipments, including such articles for repairs or replacement of parts, from one to the other, under such regulations as the Postal Service shall prescribe. Whoever knowingly deposits for mailing or delivery, or knowingly causes to be delivered by mail according to the direction thereon, or at any place to which it is directed to be delivered by the person to whom it is addressed, any pistol, revolver, or firearm declared nonmailable by this section, shall be fined not more than $1,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 781; May 24, 1949, ch. 139, Sec. 40, 63 Stat. 95; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(24), 84 Stat. 779.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 361 (Feb. 8, 1927, ch. 75, Sec. 1, 44 Stat. 1059; May 15, 1939, ch. 134, 53 Stat. 744; Mar. 7, 1942, ch. 160, 56 Stat. 141). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in phraseology. 1949 ACT This section (section 40) inserts 'Air Force,' in section 1715 of title 18, U.S.C., in view of the establishment in 1947 of this separate branch of the armed forces, and substitutes, 'Organized' for 'Officers' ', preceding 'Reserve Corps', to conform to section 2 of title 10, U.S.C., as amended by the act of March 25, 1948 (ch. 157, Sec. 1, 62 Stat. 87), which grouped all reserve branches into a reserve component called the Organized Reserve Corps. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Postmaster General' after 'such regulations as the' in two places and 'officer or employee of' for 'postmaster, letter carrier, or other person in' in first par., respectively. 1949 - Act May 24, 1949, inserted 'Air Force' after 'Navy' and substituted 'Organized' for 'Officers' ' before 'Reserve Corps' in first par, to make section applicable to the Air Force and to conform to the grouping of all reserve branches into a single reserve component. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Firearms provisions of sections 921 to 928 of this title as not modifying or affecting this section, see Modification of Other Laws note set out under section 921 of this title. Firearms shipments or transportation by licensed importers, licensed manufacturers, and licensed dealers for use in connection with official duties not unlawful when conveyed in the mails, see section 922 of this title. Seizure and disposition of nonmailable matter, see section 3001 et. seq. of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 922 of this title; title 39 section 3001. ------DocID 24359 Document 601 of 1438------ -CITE- 18 USC Sec. 1716 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1716. Injurious articles as nonmailable -STATUTE- (a) All kinds of poison, and all articles and compositions containing poison, and all poisonous animals, insects, reptiles, and all explosives, inflammable materials, infernal machines, and mechanical, chemical, or other devices or compositions which may ignite or explode, and all disease germs or scabs, and all other natural or artificial articles, compositions, or material which may kill or injure another, or injure the mails or other property, whether or not sealed as first-class matter, are nonmailable matter and shall not be conveyed in the mails or delivered from any post office or station thereof, nor by any officer or employee of the Postal Service. (b) The Postal Service may permit the transmission in the mails, under such rules and regulations as it shall prescribe as to preparation and packing, of any such articles which are not outwardly or of their own force dangerous or injurious to life, health, or property. (c) The Postal Service is authorized and directed to permit the transmission in the mails, under regulations to be prescribed by it, of live scorpions which are to be used for purposes of medical research or for the manufacture of antivenom. Such regulations shall include such provisions with respect to the packaging of such live scorpions for transmission in the mails as the Postal Service deems necessary or desirable for the protection of Postal Service personnel and of the public generally and for ease of handling by such personnel and by any individual connected with such research or manufacture. Nothing contained in this paragraph shall be construed to authorize the transmission in the mails of live scorpions by means of aircraft engaged in the carriage of passengers for compensation or hire. (d) The transmission in the mails of poisonous drugs and medicines may be limited by the Postal Service to shipments of such articles from the manufacturer thereof or dealer therein to licensed physicians, surgeons, dentists, pharmacists, druggists, cosmetologists, barbers, and veterinarians under such rules and regulations as it shall prescribe. (e) The transmission in the mails of poisons for scientific use, and which are not outwardly dangerous or of their own force dangerous or injurious to life, health, or property, may be limited by the Postal Service to shipments of such articles between the manufacturers thereof, dealers therein, bona fide research or experimental scientific laboratories, and such other persons who are employees of the Federal, a State, or local government, whose official duties are comprised, in whole or in part, of the use of such poisons, and who are designated by the head of the agency in which they are employed to receive or send such articles, under such rules and regulations as the Postal Service shall prescribe. (f) All spirituous, vinous, malted, fermented, or other intoxicating liquors of any kind are nonmailable and shall not be deposited in or carried through the mails. (g) All knives having a blade which opens automatically (1) by hand pressure applied to a button or other device in the handle of the knife, or (2) by operation of inertia, gravity, or both, are nonmailable and shall not be deposited in or carried by the mails or delivered by any officer or employee of the Postal Service. Such knives may be conveyed in the mails, under such regulations as the Postal Service shall prescribe - (1) to civilian or Armed Forces supply or procurement officers and employees of the Federal Government ordering, procuring, or purchasing such knives in connection with the activities of the Federal Government; (2) to supply or procurement officers of the National Guard, the Air National Guard, or militia of a State, Territory, or the District of Columbia ordering, procuring, or purchasing such knives in connection with the activities of such organizations; (3) to supply or procurement officers or employees of the municipal government of the District of Columbia or of the government of any State or Territory, or any county, city, or other political subdivision of a State or Territory, ordering, procuring, or purchasing such knives in connection with the activities of such government; and (4) to manufacturers of such knives or bona fide dealers therein in connection with any shipment made pursuant to an order from any person designated in paragraphs (1), (2), and (3). The Postal Service may require, as a condition of conveying any such knife in the mails, that any person proposing to mail such knife explain in writing to the satisfaction of the Postal Service that the mailing of such knife will not be in violation of this section. (h) Any advertising, promotional, or sales matter which solicits or induces the mailing of anything declared nonmailable by this section is likewise nonmailable unless such matter contains wrapping or packaging instructions which are in accord with regulations promulgated by the Postal Service. (i)(1) Any ballistic knife shall be subject to the same restrictions and penalties provided under subsection (g) for knives described in the first sentence of that subsection. (2) As used in this subsection, the term 'ballistic knife' means a knife with a detachable blade that is propelled by a spring-operated mechanism. Whoever knowingly deposits for mailing or delivery, or knowingly causes to be delivered by mail, according to the direction thereon, or at any place at which it is directed to be delivered by the person to whom it is addressed, anything declared nonmailable by this section, unless in accordance with the rules and regulations authorized to be prescribed by the Postal Service, shall be fined not more than $1,000 or imprisoned not more than one year, or both. Whoever knowingly deposits for mailing or delivery, or knowingly causes to be delivered by mail, according to the direction thereon or at any place to which it is directed to be delivered by the person to whom it is addressed, anything declared nonmailable by this section, whether or not transmitted in accordance with the rules and regulations authorized to be prescribed by the Postal Service, with intent to kill or injure another, or injure the mails or other property, shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. Whoever is convicted of any crime prohibited by this section, which has resulted in the death of any person, shall be subject also to the death penalty or to imprisonment for life, if the jury shall in its discretion so direct, or, in the case of a plea of guilty, or a plea of not guilty where the defendant has waived a trial by jury, if the court in its discretion, shall so order. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 781; May 8, 1952, ch. 246, 66 Stat. 67; June 29, 1955, ch. 224, 69 Stat. 191; Sept. 2, 1957, Pub. L. 85-268, 71 Stat. 594; Aug. 12, 1958, Pub. L. 85-623, Sec. 5, 72 Stat. 562; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(25), 84 Stat. 779; Dec. 15, 1971, Pub. L. 92-191, Sec. 1, 85 Stat. 647; Oct. 27, 1986, Pub. L. 99-570, title X, Sec. 10003, 100 Stat. 3207-167.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 340 (Mar. 4, 1909. ch. 321, Sec. 217, 35 Stat. 1131; May 25, 1920, ch. 196, 41 Stat. 620; Jan. 11, 1929, ch. 53, 45 Stat. 1072; June 19, 1934, ch. 650, 48 Stat. 1063). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. The maximum of 'twenty years' was reduced to 'ten years' as more consistent with such comparable sections as sections 111 and 1113 of this title. Minor changes were made in phraseology. AMENDMENTS 1986 - Subsec. (i). Pub. L. 99-570 added subsec. (i). 1971 - Subsecs. (a) to (g). Pub. L. 92-191 designated existing seven paragraphs preceding the penal provisions as subsecs. (a) to (g), respectively. Subsec. (h). Pub. L. 92-191 added subsec. (h). 1970 - First par. Pub. L. 91-375, Sec. 6(j)(25)(B)(ii), substituted 'officer or employee of the Postal Service' for 'letter carrier'. Second par. Pub. L. 91-375, Sec. 6(j)(25)(A), substituted 'Postal Service' and 'it shall prescribe' for 'Postmaster General' and 'he shall prescribe'. Third par. Pub. L. 91-375, Sec. 6(j)(25)(A), substituted 'Postal Service' for 'Postmaster General' in two places, 'prescribed by it' for 'prescribed by him', 'antivenom' for 'antivenin', 'necessary or desirable' for 'necessary or advisable', and 'Postal Service personnel' for 'Post Office Department personnel'. Fourth par. Pub. L. 91-375, Sec. 6(j)(25)(A), substituted 'Postal Service' and 'it shall prescribe' for 'Postmaster General' and 'he shall prescribe', respectively, and struck out the comma after 'veterinarians'. Fifth par. Pub. L. 91-375 Sec. 6(j)(25)(B)(i) substituted 'Postal Service' for 'Postmaster General' in two places. Seventh par. Pub. L. 91-375, Sec. 6(j)(25)(B)(i), (iii), substituted 'Postal Service' for 'Postmaster General' in three places, and 'officer or employee of the Postal Service' for 'postmaster, letter carrier, or other person in the postal service', respectively. Eighth to tenth pars. Pub. L. 91-375, Sec. 6(j)(25)(B)(i), substituted 'Postal Service' for 'Postmaster General'. 1958 - Pub. L. 85-623 inserted paragraph prohibiting mailing of switchblade knives except in connection with Armed Forces or other Government orders. 1957 - Pub. L. 85-268 reduced penalty from two to one year for mailing nonmailable articles; increased penalty from ten to twenty years for mailing nonmailable matter with intent to kill or injure another or injure the mails or other property but where death does not result; and provided death penalty or life imprisonment for mailing nonmailable matter resulting in death. 1955 - Act June 29, 1955, inserted paragraph to permit the transportation in the mails of live scorpions for certain purposes. 1952 - Act May 8, 1952, inserted fourth paragraph to extend the Postmaster General's authority as it relates to the transmission of poisonous drugs through the mails for scientific purposes. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-570 effective 30 days after Oct. 27, 1986, see section 10004 of Pub. L. 99-570, set out as an Effective Date note under section 1245 of Title 15, Commerce and Trade. EFFECTIVE DATE OF 1971 AMENDMENT Section 3 of Pub. L. 92-191 provided that: 'The amendments made by this Act (amending this section and section 3001 of Title 39, Postal Service) shall become effective at the beginning of the third calendar month following the date of enactment of this Act (Dec. 15, 1971) or on the date section 3001 of title 39, United States Code, becomes effective (July 1, 1971) pursuant to section 15(a) of Public Law 91-375 (set out as an Effective Date note preceding section 101 of title 39), whichever is the later.' EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. EFFECTIVE DATE OF 1958 AMENDMENT Amendment by Pub. L. 85-623 effective on sixtieth day after Aug. 12, 1958, see Effective Date note set out under section 1241 of Title 15, Commerce and Trade. HAZARDOUS SUBSTANCES Federal Hazardous Substances Act as not modifying this section, see Pub. L. 86-613, Sec. 17, July 12, 1960, 74 Stat. 380, set out as a note under section 1261 of Title 15, Commerce and Trade. -CROSS- CROSS REFERENCES Mailing of packages containing any plant or plant product into a State maintaining terminal inspection thereof, without marking the contents of such package on the outside, prohibited, see section 166 of Title 7, Agriculture. Seizure and disposition of nonmailable matter, see section 3001 et seq. of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 3001. ------DocID 24360 Document 602 of 1438------ -CITE- 18 USC Sec. 1716A -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1716A. Nonmailable locksmithing devices and motor vehicle master keys -STATUTE- (a) Whoever knowingly deposits for mailing or delivery, or knowingly causes to be delivered by mail according to the direction thereon, or at any place to which it is directed to be delivered by the person to whom it is addressed, any matter declared to be nonmailable by section 3002 of title 39, shall be fined under this title or imprisoned not more than one year, or both. (b) Whoever knowingly deposits for mailing or delivery, causes to be delivered by mail, or causes to be delivered by any interstate mailing or delivery other than by the United States Postal Service, any matter declared to be nonmailable by section 3002a of title 39, shall be fined under this title, imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 90-560, Sec. 2(1), Oct. 12, 1968, 82 Stat. 997, and amended Pub. L. 91-375, Aug. 12, 1970, Sec. 6(j)(26), 84 Stat. 780; Pub. L. 100-690, title VII, Sec. 7090(c), Nov. 18, 1988, 102 Stat. 4410; Pub. L. 101-647, title XXXV, Sec. 3551, Nov. 29, 1990, 104 Stat. 4926.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted 'shall be fined under this title or' for 'shall be under this title'. 1988 - Pub. L. 100-690 inserted 'locksmithing devices and' in section catchline, designated existing provisions as subsec. (a), substituted 'under this title' for 'fined not more than $1,000, or', and added subsec. (b). 1970 - Pub. L. 91-375 substituted 'section 3002' for 'section 4010' of title 39. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. EFFECTIVE DATE Section 3 of Pub. L. 90-560 provided that: 'The amendments made by the first section and section 2 of this Act (enacting this section and section 4010 of former Title 39, The Postal Service) shall become effective on the sixtieth day after the date of enactment of this Act (Oct. 12, 1968).' ------DocID 24361 Document 603 of 1438------ -CITE- 18 USC Sec. 1716B -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1716B. Nonmailable plants -STATUTE- Whoever knowingly deposits for mailing or delivery, or knowingly causes to be delivered by mail, according to the direction thereon, or at any place at which it is directed to be delivered by the person to whom it is addressed, anything declared nonmailable by section 3014(b) of title 39, unless in accordance with the rules and regulations prescribed by the Postal Service under section 3014(c) of such title, shall be fined under this title, or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 100-574, Sec. 1(b)(1), Oct. 31, 1988, 102 Stat. 2893.) -MISC1- EFFECTIVE DATE Section effective Oct. 31, 1989, see section 4 of Pub. L. 100-574, set out as a note under section 3014 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 3014. ------DocID 24362 Document 604 of 1438------ -CITE- 18 USC Sec. 1716C -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1716C. Forged agricultural certifications -STATUTE- Whoever forges or counterfeits any certification authorized under any rules or regulations prescribed under section 3014(c) of title 39 with intent to make it appear that such is a genuine certification, or makes or knowingly uses or sells, or possesses with intent to use or sell, any forged or counterfeited certification so authorized, or device for imprinting any such certification, shall be fined under this title, or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 100-574, Sec. 2(a), Oct. 31, 1988, 102 Stat. 2893.) -MISC1- EFFECTIVE DATE Section effective Oct. 31, 1989, see section 4 of Pub. L. 100-574, set out as a note under section 3014 of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 3014. ------DocID 24363 Document 605 of 1438------ -CITE- 18 USC Sec. 1717 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1717. Letters and writings as nonmailable -STATUTE- (a) Every letter, writing, circular, postal card, picture, print, engraving, photograph, newspaper, pamphlet, book, or other publication, matter or thing, in violation of sections 499, 506, 793, 794, 915, 954, 956, 957, 960, 964, 1017, 1542, 1543, 1544 or 2388 of this title or which contains any matter advocating or urging treason, insurrection, or forcible resistance to any law of the United States is nonmailable and shall not be conveyed in the mails or delivered from any post office or by any letter carrier. (b) Whoever uses or attempts to use the mails or Postal Service for the transmission of any matter declared by this section to be nonmailable, shall be fined not more than $5,000 or imprisoned not more than ten years or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 782; Sept. 2, 1960, Pub. L. 86-682, Sec. 12(b), 74 Stat. 708; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(27), 84 Stat. 780; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3552(a), 104 Stat. 4926.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 343, 344, 345, 346 (June 15, 1917, ch. 30, title XII, Sec. 1-3, title XIII, Sec. 1, 40 Stat. 230, 231; Mar. 28, 1940, ch. 72, Sec. 9, 54 Stat. 80). Section consolidates said sections 343-345 of title 18, U.S.C., 1940 ed. The provision as to opening letters was incorporated in paragraph (c). Venue provisions in said section 345 of title 18, U.S.C., 1940 ed., were omitted as covered by section 3237 of this title. Section 346 of title 18, U.S.C., 1940 ed., defining 'United States' was omitted. It is incorporated, however, in section 5 of this title. References in text to other sections do not include definitive sections. Only those susceptible of violation are cited. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in arrangement, translation, and phraseology. AMENDMENTS 1990 - Pub. L. 101-647 struck out '; opening letters' after 'nonmailable' in section catchline. 1970 - Subsec. (b). Pub. L. 91-375 struck out 'of the United States' after 'Postal Service'. 1960 - Subsec. (c). Pub. L. 86-682 repealed subsec. (c) which related to the opening of letters, effective Sept. 1, 1960. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Seizure and disposition of nonmailable matter, see section 3001 et. seq. of Title 39, Postal Service. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 614; title 39 section 3001. ------DocID 24364 Document 606 of 1438------ -CITE- 18 USC Sec. 1718 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- (Sec. 1718. Repealed. Pub. L. 101-647, title XII, Sec. 1210(c), Nov. 29, 1990, 104 Stat. 4832) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 782; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(28), 84 Stat. 780, provided that libelous matter on wrappers or envelopes was nonmailable. ------DocID 24365 Document 607 of 1438------ -CITE- 18 USC Sec. 1719 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1719. Franking privilege -STATUTE- Whoever makes use of any official envelope, label, or indorsement authorized by law, to avoid the payment of postage or registry fee on his private letter, packet, package, or other matter in the mail, shall be fined not more than $300. -SOURCE- (June 25, 1948, ch. 645. 62 Stat. 783.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 357 (Mar. 4, 1909, ch. 321, Sec. 227, 35 Stat. 1134). Minor verbal change was made. Section 746(f) of title 8, U.S.C., 1940 ed., Aliens and Nationality, providing same penalty for misuse of franking privilege in naturalization service, should be repealed as covered by this section. The proviso in section 337 of title 39, U.S.C., 1940 ed., The Postal Service, should also be repealed for the same reason. -CROSS- CROSS REFERENCES Franking privilege, see section 3201 et seq. of Title 39, Postal Service. ------DocID 24366 Document 608 of 1438------ -CITE- 18 USC Sec. 1720 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1720. Canceled stamps and envelopes -STATUTE- Whoever uses or attempts to use in payment of postage, any canceled postage stamp, whether the same has been used or not, or removes, attempts to remove, or assists in removing, the canceling or defacing marks from any postage stamp, or the superscription from any stamped envelope, or postal card, that has once been used in payment of postage, with the intent to use the same for a like purpose, or to sell or offer to sell the same, or knowingly possesses any such postage stamp, stamped envelope, or postal card, with intent to use the same or knowingly sells or offers to sell any such postage stamp, stamped envelope, or postal card, or uses or attempts to use the same in payment of postage; or Whoever unlawfully and willfully removes from any mail matter any stamp attached thereto in payment of postage; or Whoever knowingly uses in payment of postage, any postage stamp, postal card, or stamped envelope, issued in pursuance of law, which has already been used for a like purpose - Shall be fined not more than $500 or imprisoned not more than one year, or both; but if he is a person employed in the Postal Service, he shall be fined not more than $500 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 783.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 328 (Mar. 4, 1909, ch. 321, Sec. 205, 35 Stat. 1127). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal changes were made. -CROSS- CROSS REFERENCES Forfeiture of counterfeit paraphernalia, see section 492 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 492 of this title. ------DocID 24367 Document 609 of 1438------ -CITE- 18 USC Sec. 1721 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1721. Sale or pledge of stamps -STATUTE- Whoever, being a Postal Service officer or employee, knowingly and willfully: uses or disposes of postage stamps, stamped envelopes, or postal cards entrusted to his care or custody in the payment of debts, or in the purchase of merchandise or other salable articles, or pledges or hypothecates the same or sells or disposes of them except for cash; or sells or disposes of postage stamps or postal cards for any larger or less sum than the values indicated on their faces; or sells or disposes of stamped envelopes for a larger or less sum than is charged therefor by the Postal Service for like quantities; or sells or disposes of postage stamps, stamped envelopes, or postal cards at any point or place outside of the delivery of the office where such officer or employee is employed; or for the purpose of increasing the emoluments, or compensation of any such officer or employee, inflates or induces the inflation of the receipts of any post office or any station or branch thereof; or sells or disposes of postage stamps, stamped envelopes, or postal cards, otherwise than as provided by law or the regulations of the Postal Service; shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 783; Aug. 1, 1956, ch. 818, 70 Stat. 784; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(29), 84 Stat. 780.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 331 of title 18 and section 364 of title 39, The Postal Service, both U.S.C., 1940 ed. (R.S. Sec. 3920; Mar. 4, 1909, ch. 321, Sec. 208, 35 Stat. 1128). Said sections were consolidated with only minor changes in phraseology. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service officer or employee' for 'postmaster or postal service employee', 'Postal Service' for 'Post Office Department' in two places, 'officer or employee' for 'postmaster or other person', and 'any such officer or employee' for 'the postmaster or any employee of a post office or station or branch thereof', respectively. 1956 - Act Aug. 1, 1956, broadened the class of postal employees subject to penalties prescribed by this section and broadened the prohibition to include the inflation of receipts by means other than the disposing of stamps, stamped envelopes, or postal cards. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24368 Document 610 of 1438------ -CITE- 18 USC Sec. 1722 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1722. False evidence to secure second-class rate -STATUTE- Whoever knowingly submits to the Postal Service or to any officer or employee of the Postal Service, any false evidence relative to any publication for the purpose of securing the admission thereof at the second-class rate, for transportation in the mails, shall be fined not more than $500. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 783; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(30), 84 Stat. 780.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 353 (Mar. 4, 1909, ch. 321, Sec. 223, 35 Stat. 1133). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal change was made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'the Postal Service or to any officer or employee of the Postal Service' for 'any postmaster or to the Post Office Department or any officer of the Postal Service'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24369 Document 611 of 1438------ -CITE- 18 USC Sec. 1723 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1723. Avoidance of postage by using lower class matter -STATUTE- Matter of the second, third, or fourth class containing any writing or printing in addition to the original matter, other than as authorized by law, shall not be admitted to the mails, nor delivered, except upon payment of postage for matter of the first class, deducting therefrom any amount which may have been prepaid by stamps affixed, unless by direction of a duly authorized officer of the Postal Service such postage shall be remitted. Whoever knowingly conceals or incloses any matter of a higher class in that of a lower class, and deposits the same for conveyance by mail, at a less rate than would be charged for such higher class matter, shall be fined not more than $100. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 784; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(31), 84 Stat. 780.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 351 (Mar. 4, 1909, ch. 321, Sec. 221, 35 Stat. 1132). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal changes were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'a duly authorized officer of the Postal Service' for 'Postmaster General'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24370 Document 612 of 1438------ -CITE- 18 USC Sec. 1724 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1724. Postage on mail delivered by foreign vessels -STATUTE- Except as otherwise provided by treaty or convention the Postal Service may require the transportation by any steamship of mail between the United States and any foreign port at the compensation fixed under authority of law. Upon refusal by the master or the commander of such steamship or vessel to accept the mail, when tendered by the Postal Service or its representative, the collector or other officer of the port empowered to grant clearance, on notice of the refusal aforesaid, shall withhold clearance, until the collector or other officer of the port is informed by the Postal Service or its representative that the master or commander of the steamship or vessel has accepted the mail or that conveyance by his steamship or vessel is no longer required by the Postal Service. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 784; Sept. 25, 1951, ch. 413, Sec. 1(4), 65 Stat. 336; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(32), 84 Stat. 780.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 326 (Mar. 4, 1909, ch. 321, Sec. 203, 35 Stat. 1127; Feb. 6, 1929, ch. 157, 45 Stat. 1153). AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' and 'Postal Service or its representative' for 'Postmaster General' and 'Postmaster General or his representative', respectively, in two places. 1951 - Act Sept. 25, 1951, repealed former first paragraph relating to penalties for failure to pay postage on or unlawful conveyance of mail to or from any part of the United States by foreign vessels. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24371 Document 613 of 1438------ -CITE- 18 USC Sec. 1725 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1725. Postage unpaid on deposited mail matter -STATUTE- Whoever knowingly and willfully deposits any mailable matter such as statements of accounts, circulars, sale bills, or other like matter, on which no postage has been paid, in any letter box established, approved, or accepted by the Postal Service for the receipt or delivery of mail matter on any mail route with intent to avoid payment of lawful postage thereon, shall for each such offense be fined not more than $300. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 784; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(33), 84 Stat. 780.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 321a (May 7, 1934, ch. 220, Sec. 2, 48 Stat. 667). Reference to persons aiding or assisting was struck out as unnecessary since such persons are made principals by section 2 of this title. Minor verbal changes were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Postmaster General'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24372 Document 614 of 1438------ -CITE- 18 USC Sec. 1726 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1726. Postage collected unlawfully -STATUTE- Whoever, being a postmaster or other person authorized to receive the postage of mail matter, fraudulently demands or receives any rate of postage or gratuity or reward other than is provided by law for the postage of such mail matter, shall be fined not more than $100 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 784.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 330 (Mar. 4, 1909, ch. 321, Sec. 207, 35 Stat. 1128). Minor verbal changes were made. ------DocID 24373 Document 615 of 1438------ -CITE- 18 USC Sec. 1727 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- (Sec. 1727. Repealed. Pub. L. 90-384, Sec. 1(a), July 5, 1968, 82 Stat. 292) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 785, provided for a fine of not more than $50 for postage accounting violations. SAVINGS PROVISION Section 2 of Pub. L. 90-384 provided that: 'Nothing in this Act (repealing this section) shall be construed to affect in any way any prosecution for any offense occurring prior to the date of enactment of such Act (July 5, 1968).' ------DocID 24374 Document 616 of 1438------ -CITE- 18 USC Sec. 1728 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1728. Weight of mail increased fraudulently -STATUTE- Whoever places any matter in the mails during the regular weighing period, for the purpose of increasing the weight of the mail, with intent to cause an increase in the compensation of the railroad mail carrier over whose route such mail may pass, shall be fined not more than $20,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 785.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 358 (Mar. 4, 1909, ch. 321, Sec. 228, 35 Stat. 1134). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal changes were made. ------DocID 24375 Document 617 of 1438------ -CITE- 18 USC Sec. 1729 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1729. Post office conducted without authority -STATUTE- Whoever, without authority from the Postal Service, sets up or professes to keep any office or place of business bearing the sign, name, or title of post office, shall be fined not more than $500. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 785; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(34), 84 Stat. 780.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 302 (Mar. 4, 1909, ch. 321, Sec. 179, 35 Stat. 1123). Minor verbal changes were made. AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Postmaster General'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Establishing post offices, see section 401 et seq. of Title 39, Postal Service. ------DocID 24376 Document 618 of 1438------ -CITE- 18 USC Sec. 1730 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1730. Uniforms of carriers -STATUTE- Whoever, not being connected with the letter-carrier branch of the Postal Service, wears the uniform or badge which may be prescribed by the Postal Service to be worn by letter carriers, shall be fined not more than $100 or imprisoned not more than six months, or both. The provisions of the preceding paragraph shall not apply to an actor or actress in a theatrical, television, or motion-picture production who wears the uniform or badge of the letter-carrier branch of the Postal Service while portraying a member of that service. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 785; July 21, 1968, Pub. L. 90-413, 82 Stat. 396; Aug. 12, 1970, Pub. L. 91-375, Sec. 6(j)(35), 84 Stat. 780; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1210(a), 104 Stat. 4832.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 310 (Mar. 4, 1909, ch. 321, Sec. 187, 35 Stat. 1124). Minor verbal change was made. AMENDMENTS 1990 - Pub. L. 101-647 struck out ', if the portrayal does not tend to discredit that service' before period at end. 1970 - Pub. L. 91-375 substituted 'Postal Service' for 'Postmaster General' before 'to be worn' in first par. 1968 - Pub. L. 90-413 inserted provision exempting an actor or actress in a theatrical, television, or motion-picture production who wears the uniform or badge of the letter-carrier branch of the Postal Service from the penalties imposed by this section. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. -CROSS- CROSS REFERENCES Uniform for carriers, see section 1001 of Title 39, Postal Service. ------DocID 24377 Document 619 of 1438------ -CITE- 18 USC Sec. 1731 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1731. Vehicles falsely labeled as carriers -STATUTE- It shall be unlawful to paint, print, or in any manner to place upon or attach to any steamboat or other vessel, or any car, stagecoach, vehicle, or other conveyance, not actually used in carrying the mail, the words 'United States Mail', or any words, letters, or characters of like import; or to give notice, by publishing in any newspaper or otherwise, that any steamboat or other vessel, or any car, stagecoach, vehicle, or other conveyance, is used in carrying the mail, when the same is not actually so used. Whoever violates, and every owner, receiver, lessee, or managing operator who suffers, or permits the violation of, any provision of this section, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 785.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 311 (Mar. 4, 1909, ch. 321, Sec. 188, 35 Stat. 1124). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. The punishment provision was rewritten to conform more closely with comparable offenses in other sections. (See sections 1729 and 1730 of this title.) Minor verbal changes were made. ------DocID 24378 Document 620 of 1438------ -CITE- 18 USC Sec. 1732 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1732. Approval of bond or sureties by postmaster -STATUTE- Whoever, being a postmaster, affixes his signature to the approval of any bond of a bidder, or to the certificate of sufficiency of sureties in any contract, before the said bond or contract is signed by the bidder or contractor and his sureties, or knowingly, or without the exercise of due diligence, approves any bond of a bidder with insufficient sureties, or knowingly makes any false or fraudulent certificate, shall be fined not more than $5,000 or imprisoned not more than one year, or both; and shall be dismissed from office and disqualified from holding the office of postmaster. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 785.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 352 (Mar. 4, 1909, ch. 321, Sec. 222, 35 Stat. 1133). Minor verbal changes were made. ------DocID 24379 Document 621 of 1438------ -CITE- 18 USC Sec. 1733 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1733. Mailing periodical publications without prepayment of postage -STATUTE- Whoever, except as permitted by law, knowingly mails any periodical publication without the prepayment of postage, or, being an officer or employee of the Postal Service, knowingly permits any periodical publication to be mailed without prepayment of postage, shall be fined not more than $1,000, or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 86-682, Sec. 7, Sept. 2, 1960, 74 Stat. 705, and amended Pub. L. 91-375, Sec. 6(j)(36)(A), Aug. 12, 1970, 84 Stat. 780.) -MISC1- AMENDMENTS 1970 - Pub. L. 91-375 substituted 'Mailing periodical publications without prepayment of postage' for 'Affidavits relating to second class mail' as section catchline, struck out subsec. (a) penalty provision for fine of not more than $1,000 for each refusal to make affidavits relating to second class mail when tendering for mailing such mail without any affidavits, and reenacted subsec. (b) as the section without any subsection designation, inserting ', except as permitted by law,' and substituting 'periodical publication' for 'second class mail' in two places, 'prepayment of postage' for 'payment of postage' where first appearing, and 'officer or employee of the Postal Service' for 'postmaster or postal official'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by Board of Governors of United States Postal Service and published by it in Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. EFFECTIVE DATE Section effective Sept. 1, 1960, see section 11 of Pub. L. 86-682. ------DocID 24380 Document 622 of 1438------ -CITE- 18 USC Sec. 1734 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1734. Editorials and other matter as 'advertisements' -STATUTE- Whoever, being an editor or publisher, prints in a publication entered as second class mail, editorial or other reading matter for which he has been paid or promised a valuable consideration, without plainly marking the same 'advertisement' shall be fined not more than $500. -SOURCE- (Added Pub. L. 86-682, Sec. 7, Sept. 2, 1960, 74 Stat. 706.) -MISC1- EFFECTIVE DATE Section effective Sept. 1, 1960, see section 11 of Pub. L. 86-682. ------DocID 24381 Document 623 of 1438------ -CITE- 18 USC Sec. 1735 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1735. Sexually oriented advertisements -STATUTE- (a) Whoever - (1) willfully uses the mails for the mailing, carriage in the mails, or delivery of any sexually oriented advertisement in violation of section 3010 of title 39, or willfully violates any regulations of the Board of Governors issued under such section; or (2) sells, leases, rents, lends, exchanges, or licenses the use of, or, except for the purpose expressly authorized by section 3010 of title 39, uses a mailing list maintained by the Board of Governors under such section; shall be fined not more than $5,000 or imprisoned not more than five years, or both, for the first offense, and shall be fined not more than $10,000 or imprisoned not more than ten years, or both, for any second or subsequent offense. (b) For the purposes of this section, the term 'sexually oriented advertisement' shall have the same meaning as given it in section 3010(d) of title 39. -SOURCE- (Added Pub. L. 91-375, Sec. 6(j)(37)(A), Aug. 12, 1970, 84 Stat. 781.) -MISC1- EFFECTIVE DATE Section effective on first day of sixth month which begins after Aug. 12, 1970, see section 15(b) of Pub. L. 91-375, set out as a note preceding section 101 of Title 39, Postal Service. ------DocID 24382 Document 624 of 1438------ -CITE- 18 USC Sec. 1736 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1736. Restrictive use of information -STATUTE- (a) No information or evidence obtained by reason of compliance by a natural person with any provision of section 3010 of title 39, or regulations issued thereunder, shall, except as provided in subsection (c) of this section, be used, directly or indirectly, as evidence against that person in a criminal proceeding. (b) The fact of the performance of any act by an individual in compliance with any provision of section 3010 of title 39, or regulations issued thereunder, shall not be deemed the admission of any fact, or otherwise be used, directly or indirectly, as evidence against that person in a criminal proceeding, except as provided in subsection (c) of this section. (c) Subsections (a) and (b) of this section shall not preclude the use of any such information or evidence in a prosecution or other action under any applicable provision of law with respect to the furnishing of false information. -SOURCE- (Added Pub. L. 91-375, Sec. 6(j)(37)(A), Aug. 12, 1970, 84 Stat. 781.) -MISC1- EFFECTIVE DATE Section effective on first day of sixth month which begins after Aug. 12, 1970, see section 15(b) of Pub. L. 91-375, set out as a note preceding section 101 of Title 39, Postal Service. ------DocID 24383 Document 625 of 1438------ -CITE- 18 USC Sec. 1737 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1737. Manufacturer of sexually related mail matter -STATUTE- (a) Whoever shall print, reproduce, or manufacture any sexually related mail matter, intending or knowing that such matter will be deposited for mailing or delivery by mail in violation of section 3008 or 3010 of title 39, or in violation of any regulation of the Postal Service issued under such section, shall be fined not more than $5,000 or imprisoned not more than five years, or both, for the first offense, and shall be fined not more than $10,000 or imprisoned not more than ten years, or both, for any second or subsequent offense. (b) As used in this section, the term 'sexually related mail matter' means any matter which is within the scope of section 3008(a) or 3010(d) of title 39. -SOURCE- (Added Pub. L. 91-375, Sec. 6(j)(37)(A), Aug. 12, 1970, 84 Stat. 781.) -MISC1- EFFECTIVE DATE Section effective on first day of sixth month which begins after Aug. 12, 1970, see section 15(b) of Pub. L. 91-375, set out as a note preceding section 101 of Title 39, Postal Service. ------DocID 24384 Document 626 of 1438------ -CITE- 18 USC Sec. 1738 -EXPCITE- TITLE 18 PART I CHAPTER 83 -HEAD- Sec. 1738. Mailing private identification documents without a disclaimer -STATUTE- (a) Whoever, being in the business of furnishing identification documents for valuable consideration, and in the furtherance of that business, uses the mails for the mailing, carriage in the mails, or delivery of, or causes to be transported in interstate or foreign commerce, any identification document - (1) which bears a birth date or age purported to be that of the person named in such identification document; and (2) knowing that such document fails to carry diagonally printed clearly and indelibly on both the front and back 'NOT A GOVERNMENT DOCUMENT' in capital letters in not less than twelve point type; shall be fined not more than $1,000, imprisoned not more than one year, or both. (b) For purposes of this section the term 'identification document' means a document which is of a type intended or commonly accepted for the purpose of identification of individuals and which is not issued by or under the authority of a government. -SOURCE- (Added Pub. L. 97-398, Sec. 4(a), Dec. 31, 1982, 96 Stat. 2011.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 39 section 3001. ------DocID 24385 Document 627 of 1438------ -CITE- 18 USC CHAPTER 84 -EXPCITE- TITLE 18 PART I CHAPTER 84 -HEAD- CHAPTER 84 - PRESIDENTIAL AND PRESIDENTIAL STAFF ASSASSINATION, KIDNAPING, AND ASSAULT -MISC1- Sec. 1751. Presidential and Presidential staff assassination, kidnaping, and assault; penalties. 1752. Temporary residences and offices of the President and others. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3553, Nov. 29, 1990, 104 Stat. 4926, added item 1752. 1982 - Pub. L. 97-285, Sec. 4(b), (c), Oct. 6, 1982, 96 Stat. 1220, inserted 'and Presidential staff' after 'Presidential' in chapter heading and in item 1751. ------DocID 24386 Document 628 of 1438------ -CITE- 18 USC Sec. 1751 -EXPCITE- TITLE 18 PART I CHAPTER 84 -HEAD- Sec. 1751. Presidential and Presidential staff assassination, kidnaping, and assault; penalties -STATUTE- (a) Whoever kills (1) any individual who is the President of the United States, the President-elect, the Vice President, or, if there is no Vice President, the officer next in the order of succession to the Office of the President of the United States, the Vice President-elect, or any person who is acting as President under the Constitution and laws of the United States, or (2) any person appointed under section 105(a)(2)(A) of title 3 employed in the Executive Office of the President or appointed under section 106(a)(1)(A) of title 3 employed in the Office of the Vice President, shall be punished as provided by sections 1111 and 1112 of this title. (b) Whoever kidnaps any individual designated in subsection (a) of this section shall be punished (1) by imprisonment for any term of years or for life, or (2) by death or imprisonment for any term of years or for life, if death results to such individual. (c) Whoever attempts to kill or kidnap any individual designated in subsection (a) of this section shall be punished by imprisonment for any term of years or for life. (d) If two or more persons conspire to kill or kidnap any individual designated in subsection (a) of this section and one or more of such persons do any act to effect the object of the conspiracy, each shall be punished (1) by imprisonment for any term of years or for life, or (2) by death or imprisonment for any term of years or for life, if death results to such individual. (e) Whoever assaults any person designated in subsection (a)(1) shall be fined not more than $10,000, or imprisoned not more than ten years, or both. Whoever assaults any person designated in subsection (a)(2) shall be fined not more than $5,000, or imprisoned not more than one year, or both; and if personal injury results, shall be fined not more than $10,000, or imprisoned not more than ten years, or both. (f) The terms 'President-elect' and 'Vice-President-elect' as used in this section shall mean such persons as are the apparent successful candidates for the offices of President and Vice President, respectively, as ascertained from the results of the general elections held to determine the electors of President and Vice President in accordance with title 3, United States Code, sections 1 and 2. (g) The Attorney General of the United States, in his discretion is authorized to pay an amount not to exceed $100,000 for information and services concerning a violation of subsection (a)(1). Any officer or employee of the United States or of any State or local government who furnishes information or renders service in the performance of his official duties shall not be eligible for payment under this subsection. (h) If Federal investigative or prosecutive jurisdiction is asserted for a violation of this section, such assertion shall suspend the exercise of jurisdiction by a State or local authority, under any applicable State or local law, until Federal action is terminated. (i) Violations of this section shall be investigated by the Federal Bureau of Investigation. Assistance may be requested from any Federal, State, or local agency, including the Army, Navy, and Air Force, any statute, rule, or regulation to the contrary notwithstanding. (j) In a prosecution for an offense under this section the Government need not prove that the defendant knew that the victim of the offense was an official protected by this section. (k) There is extraterritorial jurisdiction over the conduct prohibited by this section. -SOURCE- (Added Pub. L. 89-141, Sec. 1, Aug. 28, 1965, 79 Stat. 580, and amended Pub. L. 97-285, Sec. 3, 4(a), Oct. 6, 1982, 96 Stat. 1220.) -MISC1- AMENDMENTS 1982 - Pub. L. 97-285, Sec. 4(a), inserted 'and Presidential staff' after 'Presidential' in section catchline. Subsec. (a). Pub. L. 97-285, Sec. 3(a), inserted '(1)' after 'Whoever kills' and 'or (2) any person appointed under section 105(a)(2)(A) of title 3 employed in the Executive Office of the President or appointed under section 106(a)(1)(A) of title 3 employed in the Office of the Vice President,' after 'laws of the United States'. Subsec. (e). Pub. L. 97-285, Sec. 3(b), substituted '(a)(1)' for '(a)' and inserted provision that whoever assaults any person designated in subsec. (a)(2) of this section shall be fined not more than $5,000, or imprisoned not more than one year, or both; and if personal injury results, shall be fined not more than $10,000, or imprisoned not more than ten years, or both. Subsec. (g). Pub. L. 97-285, Sec. 3(c), substituted 'subsection (a)(1)' for 'this section' after 'a violation of'. Subsecs. (j), (k). Pub. L. 97-285, Sec. 3(d), added subsecs. (j) and (k). -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 209, 2516, 4247 of this title; title 5 section 8112. ------DocID 24387 Document 629 of 1438------ -CITE- 18 USC Sec. 1752 -EXPCITE- TITLE 18 PART I CHAPTER 84 -HEAD- Sec. 1752. Temporary residences and offices of the President and others -STATUTE- (a) It shall be unlawful for any person or group of persons - (1) willfully and knowingly to enter or remain in (i) any building or grounds designated by the Secretary of the Treasury as temporary residences of the President or other person protected by the Secret Service or as temporary offices of the President and his staff or of any other person protected by the Secret Service, or (ii) any posted, cordoned off, or otherwise restricted area of a building or grounds where the President or other person protected by the Secret Service is or will be temporarily visiting, in violation of the regulations governing ingress or egress thereto: (2) with intent to impede or disrupt the orderly conduct of Government business or official functions, to engage in disorderly or disruptive conduct in, or within such proximity to, any building or grounds designated in paragraph (1) when, or so that, such conduct, in fact, impedes or disrupts the orderly conduct of Government business or official functions; (3) willfully and knowingly to obstruct or impede ingress or egress to or from any building, grounds, or area designated or enumerated in paragraph (1); or (4) willfully and knowingly to engage in any act of physical violence against any person or property in any building, grounds, or area designated or enumerated in paragraph (1). (b) Violation of this section, and attempts or conspiracies to commit such violations, shall be punishable by a fine not exceeding $500 or imprisonment not exceeding six months, or both. (c) Violation of this section, and attempts or conspiracies to commit such violations, shall be prosecuted by the United States attorney in the Federal district court having jurisdiction of the place where the offense occurred. (d) The Secretary of the Treasury is authorized - (1) to designate by regulations the buildings and grounds which constitute the temporary residences of the President or other person protected by the Secret Service and the temporary offices of the President and his staff or of any other person protected by the Secret Service, and (2) to prescribe regulations governing ingress or egress to such buildings and grounds and to posted, cordoned off, or otherwise restricted areas where the President or other person protected by the Secret Service is or will be temporarily visiting. (e) None of the laws of the United States or of the several States and the District of Columbia shall be superseded by this section. (f) As used in this section, the term 'other person protected by the Secret Service' means any person whom the United States Secret Service is authorized to protect under section 3056 of this title when such person has not declined such protection. -SOURCE- (Added Pub. L. 91-644, title V, Sec. 18, Jan. 2, 1971, 84 Stat. 1891, and amended Pub. L. 97-308, Sec. 1, Oct. 14, 1982, 96 Stat. 1451; Pub. L. 98-587, Sec. 3(b), Oct. 30, 1984, 98 Stat. 3112.) -MISC1- AMENDMENTS 1984 - Subsec. (f). Pub. L. 98-587 amended subsec. (f) generally, substituting 'any person whom the United States Secret Service is authorized to protect under section 3056 of this title when such person has not declined such protection' for 'any person authorized by section 3056 of this title or by Public Law 90-331, as amended, to receive the protection of the United States Secret Service when such person has not declined such protection pursuant to section 3056 of this title or pursuant to Public Law 90-331, as amended'. 1982 - Pub. L. 97-308, Sec. 1(a), substituted 'Temporary residences and offices of the President and others' for 'Temporary residence of the President' in section catchline. Subsec. (a)(1)(i). Pub. L. 97-308, Sec. 1(b), made one's presence unlawful at designated temporary residences and temporary offices of any other person protected by the Secret Service. Subsec. (a)(1)(ii). Pub. L. 97-308, Sec. 1(c), inserted 'or other person protected by the Secret Service' after 'President'. Subsec. (d)(1). Pub. L. 97-308, Sec. 1(d), authorized regulations for designation of the temporary residences and the temporary offices of any other person protected by the Secret Service. Subsec. (d)(2). Pub. L. 97-308, Sec. 1(e), inserted 'or other person protected by the Secret Service' after 'President'. Subsec. (f). Pub. L. 97-308, Sec. 1(f), added subsec. (f). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 24388 Document 630 of 1438------ -CITE- 18 USC CHAPTER 85 -EXPCITE- TITLE 18 PART I CHAPTER 85 -HEAD- CHAPTER 85 - PRISON-MADE GOODS -MISC1- Sec. 1761. Transportation or importation. 1762. Marking packages. ------DocID 24389 Document 631 of 1438------ -CITE- 18 USC Sec. 1761 -EXPCITE- TITLE 18 PART I CHAPTER 85 -HEAD- Sec. 1761. Transportation or importation -STATUTE- (a) Whoever knowingly transports in interstate commerce or from any foreign country into the United States any goods, wares, or merchandise manufactured, produced, or mined, wholly or in part by convicts or prisoners, except convicts or prisoners on parole, supervised release, or probation, or in any penal or reformatory institution, shall be fined not more than $1,000 or imprisoned not more than one year, or both. (b) This chapter shall not apply to agricultural commodities or parts for the repair of farm machinery, nor to commodities manufactured in a Federal, District of Columbia, or State institution for use by the Federal Government, or by the District of Columbia, or by any State or Political subdivision of a State. (c) In addition to the exceptions set forth in subsection (b) of this section, this chapter shall not apply to goods, wares, or merchandise manufactured, produced, or mined by convicts or prisoners who - (1) are participating in - one of not more than 50 non-Federal prison work pilot projects designated by the Director of the Bureau of Justice Assistance; and (FOOTNOTE 1) (FOOTNOTE 1) So in original. The word 'and' probably should appear at end of par. (3) rather than at end of par. (1). (2) have, in connection with such work, received wages at a rate which is not less than that paid for work of a similar nature in the locality in which the work was performed, except that such wages may be subject to deductions which shall not, in the aggregate, exceed 80 per centum of gross wages, and shall be limited as follows: (A) taxes (Federal, State, local); (B) reasonable charges for room and board, as determined by regulations issued by the chief State correctional officer, in the case of a State prisoner. (FOOTNOTE 2) (FOOTNOTE 2) So in original. The period probably should be a semicolon. (C) allocations for support of family pursuant to State statute, court order, or agreement by the offender; (D) contributions to any fund established by law to compensate the victims of crime of not more than 20 per centum but not less than 5 per centum of gross wages; (3) have not solely by their status as offenders, been deprived of the right to participate in benefits made available by the Federal or State Government to other individuals on the basis of their employment, such as workmen's compensation. However, such convicts or prisoners shall not be qualified to receive any payments for unemployment compensation while incarcerated, notwithstanding any other provision of the law to the contrary; (FOOTNOTE 1) (4) have participated in such employment voluntarily and have agreed in advance to the specific deductions made from gross wages pursuant to this section, and all other financial arrangements as a result of participation in such employment. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 785; June 19, 1968, Pub. L. 90-351, title I, Sec. 819(a), formerly Sec. 827(a), as added Dec. 27, 1979, Pub. L. 96-157, Sec. 2, 93 Stat. 1215, and renumbered Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 609B(f), 98 Stat. 2093; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 223(c), 609K, 98 Stat. 2028, 2102; Apr. 2, 1987, Pub. L. 100-17, title I, Sec. 112(b)(3), 101 Stat. 149; Nov. 29, 1990, Pub. L. 101-647, title XXIX, Sec. 2906, 104 Stat. 4914.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 396a, 396b (July 24, 1935, ch. 412, Sec. 1, 49 Stat. 494; Oct. 14, 1940, ch. 872, 54 Stat. 1134; July 9, 1941, ch. 283, 55 Stat. 581). Section consolidates sections 396a and 396b of title 18, U.S.C., 1940 ed. Each section related to the same subject matter and defined the same offense. Section 396a of title 18, U.S.C., 1940 ed., was enacted later and superseded section 396b of title 18, U.S.C., 1940 ed. Reference to persons aiding, causing or assisting was omitted. Such persons are principals under section 2 of this title. Reference to states, territories, specific places, etc., were omitted. This was made possible by insertion of words 'interstate commerce or from any foreign country into the United States,' and by definitive section 10 of this title. Subsection (b) was rewritten to eliminate ambiguity and uncertainty by expressly making the exceptive language apply to the entire chapter and by permitting State institutions to manufacture goods for the Federal Government and the District of Columbia and vice versa. In such subsections, the words 'penal and correctional' and 'penal or correctional,' preceding 'institutions' and 'institution,' respectively, were omitted as surplusage. Minor changes in phraseology were made. AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647, Sec. 2906(1), (2), substituted 'In addition to the exceptions set forth in subsection (b) of this section, this chapter shall not apply to goods, wares, or merchandise manufactured, produced, or mined by convicts or prisoners who' for 'In addition to the exceptions set forth in subsection (b) of this section, this chapter shall also not apply to goods, wares, or merchandise manufactured, produced, or mined by convicts or prisoners participating in a program of not more than twenty pilot projects designated by the Director of the Bureau of Justice Assistance and who' in introductory provisions, added par. (1), and redesignated former pars. (1) to (3) as (2) to (4), respectively. Subsec. (c)(2)(B). Pub. L. 101-647, Sec. 2906(3), amended subpar. (B) generally. Prior to amendment, subpar. (B) read as follows: 'reasonable charges for room and board as determined by regulations which shall be issued by the Chief State correctional officer;'. 1987 - Subsec. (d). Pub. L. 100-17 struck out subsec. (d) which read as follows: 'Notwithstanding any law to the contrary, materials produced by convict labor may be used in the construction of any highways or portion of highways located on Federal-aid systems, as described in section 103 of title 23, United States Code.' 1984 - Subsec. (a). Pub. L. 98-473, Sec. 223(c), inserted ', supervised release,' after 'parole'. Subsec. (c). Pub. L. 98-473, Sec. 609K(a), substituted 'twenty' for 'seven' and 'Director of the Bureau of Justice Assistance' for 'Administrator of the Law Enforcement Assistance Administration'. Subsec. (d). Pub. L. 98-473, Sec. 609K(b), added subsec. (d). 1979 - Subsec. (c). Pub. L. 90-351 added subsec. (c). EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 223(c) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. REPORTS BY SECRETARY OF LABOR Section 2908 of Pub. L. 101-647 provided that: 'The Secretary of Labor shall submit to the Congress not later than March 1, 1991, and not less often than annually thereafter, reports which describe in detail the extent and manner of compliance by State Prison Industry Enhancement Certification programs with the requirements set forth in 18 U.S.C. 1761(c).' EXEMPTIONS TO FEDERAL RESTRICTIONS ON MARKETABILITY OF PRISON-MADE GOODS Pub. L. 90-351, title I, Sec. 819(c), formerly Sec. 827(c), as added Pub. L. 96-157, Sec. 2, Dec. 27, 1979, 93 Stat. 1215, renumbered and amended Pub. L. 98-473, title II, Sec. 609B(f), (o), Oct. 12, 1984, 98 Stat. 2093, 2096, provided that: 'The provisions of section 1761 of title 18, United States Code, and of the first section of the Act of June 30, 1936 (49 Stat. 2036; 41 U.S.C. 35), commonly known as the Walsh-Healey Act, creating exemptions to Federal restrictions on marketability of prison-made goods, as amended from time to time, shall not apply unless - '(1) representatives of local union central bodies or similar labor union organizations have been consulted prior to the initiation of any project qualifying of any exemption created by this section; and '(2) such paid inmate employment will not result in the displacement of employed workers, or be applied in skills, crafts, or trades in which there is a surplus of available gainful labor in the locality, or impair existing contracts for services.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Divesting prison-made goods of interstate character, see section 11507 of Title 49, Transportation. Forfeiture of goods, see section 1762 of this title. Jurisidiction and venue of offenses begun in one district and completed in another, see section 3237 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1762 of this title; title 41 section 35. ------DocID 24390 Document 632 of 1438------ -CITE- 18 USC Sec. 1762 -EXPCITE- TITLE 18 PART I CHAPTER 85 -HEAD- Sec. 1762. Marking packages -STATUTE- (a) All packages containing any goods, wares, or merchandise manufactured, produced, or mined wholly or in part by convicts or prisoners, except convicts or prisoners on parole or probation, or in any penal or reformatory institution, when shipped or transported in interstate or foreign commerce shall be plainly and clearly marked, so that the name and address of the shipper, the name and address of the consignee, the nature of the contents, and the name and location of the penal or reformatory institution where produced wholly or in part may be readily ascertained on an inspection of the outside of such package. (b) Whoever violates this section shall be fined not more than $1,000, and any goods, wares, or merchandise transported in violation of this section or section 1761 of this title shall be forfeited to the United States, and may be seized and condemned by like proceedings as those provided by law for the seizure and forfeiture of property imported into the United States contrary to law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 786.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 396c, 396d, 396e (July 24, 1935, ch. 412, Sec. 2, 3, 4, 49 Stat. 494, 495). Section consolidates sections 396c, 396d, and 396e of title 18, U.S.C., 1940 ed. Words 'upon conviction thereof' were deleted as unnecessary, since punishment cannot be imposed until after conviction. Words 'transported in violation of this section or section 1761' were added after the word 'merchandise' to continue existing law. The provisions of said section 396e of title 18, U.S.C., 1940 ed., relating to venue, were omitted as covered by section 3237 of this title. Minor changes were made in translations and phraseology. -CROSS- CROSS REFERENCES Divesting prison made goods of interstate character, see section 11507 of Title 49, Transportation. Jurisdiction and venue of offenses begun in one district and completed in another, see section 3237 of this title. ------DocID 24391 Document 633 of 1438------ -CITE- 18 USC CHAPTER 87 -EXPCITE- TITLE 18 PART I CHAPTER 87 -HEAD- CHAPTER 87 - PRISONS -MISC1- Sec. 1791. Providing or possessing contraband in prison. 1792. Mutiny and riot prohibited. 1793. Trespass on Bureau of Prisons reservations and land. AMENDMENTS 1986 - Pub. L. 99-646, Sec. 64(b), Nov. 10, 1986, 100 Stat. 3614, added item 1793. 1984 - Pub. L. 98-473, title II, Sec. 1109(c), Oct. 12, 1984, 98 Stat. 2148, amended analysis generally by revising items 1791 and 1792, and by inserting a second chapter heading which was not executed to text as redundant. -CROSS- CROSS REFERENCES Escape and rescue, see section 751 et seq. of this title. ------DocID 24392 Document 634 of 1438------ -CITE- 18 USC Sec. 1791 -EXPCITE- TITLE 18 PART I CHAPTER 87 -HEAD- Sec. 1791. Providing or possessing contraband in prison -STATUTE- (a) Offense. - Whoever - (1) in violation of a statute or a rule or order issued under a statute, provides to an inmate of a prison a prohibited object, or attempts to do so; or (2) being an inmate of a prison, makes, possesses, or obtains, or attempts to make or obtain, a prohibited object; shall be punished as provided in subsection (b) of this section. (b) Punishment. - The punishment for an offense under this section is a fine under this title or - (1) imprisonment for not more than 20 years, or both, if the object is specified in subsection (d)(1)(C) of this section; (2) imprisonment for not more than 10 years, or both, if the object is specified in subsection (c)(1)(A) of this section; (3) imprisonment for not more than 5 years, or both, if the object is specified in subsection (c)(1)(B) of this section; (4) imprisonment for not more than one year, or both, if the object is specified in subsection (c)(1)(D) or (c)(1)(E) of this section; and (5) imprisonment for not more than 6 months, or both, if the object is specified in subsection (c)(1)(F) of this section. (c) Any punishment imposed under subsection (b) for a violation of this section by an inmate of a prison shall be consecutive to the sentence being served by such inmate at the time the inmate commits such violation. (d) Definitions. - As used in this section - (1) the term 'prohibited object' means - (A) a firearm or destructive device; (B) ammunition, a weapon (other than a firearm or destructive device), or an object that is designed or intended to be used as a weapon or to facilitate escape from a prison; (C) a narcotic drug, lysergic acid diethylamide, or phencyclidine; (D) a controlled substance (other than a controlled substance referred to in subparagraph (C) of this subsection) or an alcoholic beverage; (E) any United States or foreign currency; and (F) any other object that threatens the order, discipline, or security of a prison, or the life, health, or safety of an individual; (2) the terms 'ammunition', 'firearm', and 'destructive device' have, respectively, the meanings given those terms in section 921 of this title; (3) the terms 'controlled substance' and 'narcotic drug' have, respectively, the meanings given those terms in section 102 of the Controlled Substances Act (21 U.S.C. 802); and (4) the term 'prison' means a Federal correctional, detention, or penal facility. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 786; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1109(a), 98 Stat. 2147; Nov. 10, 1986, Pub. L. 99-646, Sec. 52(a), 100 Stat. 3606; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6468(a), (b), 102 Stat. 4376.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753j, 908 (May 14, 1930, ch. 274, Sec. 11, 46 Stat. 327; May 27, 1930, ch. 339, Sec. 8, 46 Stat. 390). Section consolidates sections 753j and 908 of title 18, U.S.C., 1940 ed. The section was broadened to include the taking or sending out of contraband from the institution. This was suggested by representatives of the Federal Bureau of Prisons and the Criminal Division of the Department of Justice. In other respects the section was rewritten without change of substance. The words 'narcotic', 'drug', 'weapon' and 'contraband' were omitted, since the insertion of the words 'contrary to any rule or regulation promulgated by the attorney general' preserves the intent of the original statutes. Words 'guilty of a felony' were deleted as unnecessary in view of definitive section 1 of this title. (See also reviser's note under section 550 of this title.) Minor verbal changes also were made. AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690, Sec. 6468(a), added par. (1), redesignated former pars. (1) to (4) as (2) to (5), respectively, and struck out 'or (c)(1)(C)' after 'subsection (c)(1)(B)' in par. (3) as redesignated. Subsecs. (c), (d). Pub. L. 100-690, Sec. 6468(b), added subsec. (c) and redesignated former subsec. (c) as (d). 1986 - Pub. L. 99-646 amended section generally. Prior to amendment, section read as follows: '(a) Offense. - A person commits an offense if, in violation of a statute, or a regulation, rule, or order issued pursuant thereto - '(1) he provides, or attempts to provide, to an inmate of a Federal penal or correctional facility - '(A) a firearm or destructive device; '(B) any other weapon or object that may be used as a weapon or as a means of facilitating escape; '(C) a narcotic drug as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802); '(D) a controlled substance, other than a narcotic drug, as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802), or an alcoholic beverage; '(E) United States currency; or '(F) any other object; or '(2) being an inmate of a Federal penal or correctional facility, he makes, possesses, procures, or otherwise provides himself with, or attempts to make, possess, procure, or otherwise provide himself with, anything described in paragraph (1). '(b) Grading. - An offense described in this section is punishable by - '(1) imprisonment for not more than ten years, a fine of not more than $25,000, or both, if the object is anything set forth in paragraph (1)(A); '(2) imprisonment for not more than five years, a fine of not more than $10,000, or both, if the object is anything set forth in paragraph (1)(B) or (1)(C); '(3) imprisonment for not more than one year, a fine of not more than $5,000, or both, if the object is anything set forth in paragraph (1)(D) or (1)(E); and '(4) imprisonment for not more than six months, a fine of not more than $1,000, or both, if the object is any other object. '(c) Definitions. - As used in this section, 'firearm' and 'destructive device' have the meaning given those terms, respectively, in 18 U.S.C. 921(a)(3) and (4).' 1984 - Pub. L. 98-473 substituted provisions relating to providing or possessing contraband in prison, grading of offenses and definitions of 'firearm' and 'destructive device' for former provisions relating to traffic in contraband articles. EFFECTIVE DATE OF 1986 AMENDMENT Section 52(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect 30 days after the date of the enactment of this Act (Nov. 10, 1986).' -CROSS- CROSS REFERENCES Bureau of Prisons employees, power to arrest without warrant for violations of this section, see section 3050 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3050 of this title. ------DocID 24393 Document 635 of 1438------ -CITE- 18 USC Sec. 1792 -EXPCITE- TITLE 18 PART I CHAPTER 87 -HEAD- Sec. 1792. Mutiny and riot prohibited -STATUTE- Whoever instigates, connives, willfully attempts to cause, assists, or conspires to cause any mutiny or riot, at any Federal penal, detention, or correctional facility, shall be imprisoned not more than ten years or fined not more than $25,000, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 786; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1109(b), 98 Stat. 2148; Nov. 10, 1986, Pub. L. 99-646, Sec. 53(a), 100 Stat. 3607.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 252 (May 18, 1934, ch. 303, Sec. 1, 48 Stat. 782). Escape provisions of this section were incorporated in section 752 of this title. Reference to persons causing, procuring, aiding and assisting was omitted. Such persons are principals under section 2 of this title. Minor changes were made in translation and phraseology. AMENDMENTS 1986 - Pub. L. 99-646 inserted ', detention,' after 'penal'. 1984 - Pub. L. 98-473 substituted provisions deleting prohibition on bringing dangerous instrumentalities into prison and inserted provision setting forth a maximum $25,000 fine. EFFECTIVE DATE OF 1986 AMENDMENT Section 53(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect 30 days after the enactment of this Act (Nov. 10, 1986).' -CROSS- CROSS REFERENCES Bureau of Prisons employees, power to arrest without warrant for violations of this section, see section 3050 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3050 of this title. ------DocID 24394 Document 636 of 1438------ -CITE- 18 USC Sec. 1793 -EXPCITE- TITLE 18 PART I CHAPTER 87 -HEAD- Sec. 1793. Trespass on Bureau of Prisons reservations and land -STATUTE- Whoever, without lawful authority or permission, goes upon a reservation, land, or a facility of the Bureau of Prisons shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (Added Pub. L. 99-646, Sec. 64(a), Nov. 10, 1986, 100 Stat. 3614.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3050 of this title. ------DocID 24395 Document 637 of 1438------ -CITE- 18 USC CHAPTER 89 -EXPCITE- TITLE 18 PART I CHAPTER 89 -HEAD- CHAPTER 89 - PROFESSIONS AND OCCUPATIONS -MISC1- Sec. 1821. Transportation of dentures. ------DocID 24396 Document 638 of 1438------ -CITE- 18 USC Sec. 1821 -EXPCITE- TITLE 18 PART I CHAPTER 89 -HEAD- Sec. 1821. Transportation of dentures -STATUTE- Whoever transports by mail or otherwise to or within the District of Columbia, the Canal Zone or any Possession of the United States or uses the mails or any instrumentality of interstate commerce for the purpose of sending or bringing into any State or Territory any set of artificial teeth or prosthetic dental appliance or other denture, constructed from any cast or impression made by any person other than, or without the authorization or prescription of, a person licensed to practice dentistry under the laws of the place into which such denture is sent or brought, where such laws prohibit: (1) the taking of impressions or casts of the human mouth or teeth by a person not licensed under such laws to practice dentistry; (2) the construction or supply of dentures by a person other than, or without the authorization or prescription of, a person licensed under such laws to practice dentistry; or (3) the construction or supply of dentures from impressions or casts made by a person not licensed under such laws to practice dentistry - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 786.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 420f, 420g, and 420h (Dec. 24, 1942, ch. 823, Sec. 1, 2, 3, 56 Stat. 1087). This section consolidates the offense, penalty, and definitive provisions of sections 420f, 420g, and 420h of title 18, U.S.C., 1940 ed., as subsections (a) and (b). The definition of 'denture' was omitted as unnecessary in view of the phraseology of the revised section, the context of which makes clear the meaning of dentures referred to. The definition of 'Territory' was omitted as unnecessary. The revised section makes clear the places included in the application of the section without the use of definitions. The definition of 'Interstate Commerce' was likewise omitted as unnecessary in view of definition of interstate commerce in section 10 of this title. Changes of phraseology and arrangement were made, but without change of substance. -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in text, see section 3602(b) of Title 22, Foreign Relations and Intercourse. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction and venue of offenses begun in one district and completed in another, see section 3237 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24397 Document 639 of 1438------ -CITE- 18 USC CHAPTER 91 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- CHAPTER 91 - PUBLIC LANDS -MISC1- Sec. 1851. Coal depredations. 1852. Timber removed or transported. 1853. Trees cut or injured. 1854. Trees boxed for pitch or turpentine. 1855. Timber set afire. 1856. Fires left unattended and unextinguished. 1857. Fences destroyed; livestock entering. 1858. Survey marks destroyed or removed. 1859. Surveys interrupted. 1860. Bids at land sales. 1861. Deception of prospective purchasers. (1862. Repealed.) 1863. Trespass on national forest lands. 1864. Hazardous or injurious devices on Federal lands. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3554, Nov. 29, 1990, 104 Stat. 4927, struck out item 1862 'Trespass on Bull Run National Forest'. 1988 - Pub. L. 100-690, title VI, Sec. 6254(g), Nov. 18, 1988, 102 Stat. 4367, added item 1864. 1949 - Act May 24, 1949, ch. 139, Sec. 41, 63 Stat. 95, substituted in analysis '1859' for '1959', and added item 1863. ------DocID 24398 Document 640 of 1438------ -CITE- 18 USC Sec. 1851 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1851. Coal depredations -STATUTE- Whoever mines or removes coal of any character, whether anthracite, bituminous, or lignite, from beds or deposits in lands of, or reserved to the United States, with intent wrongfully to appropriate, sell, or dispose of the same, shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not interfere with any right or privilege conferred by existing laws of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 787.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 103a, 103b (July 3, 1926, ch. 780, Sec. 1, 2, 44 Stat. 891). Section consolidates sections 103a and 103b of title 18, U.S.C., 1940 ed. Words 'deemed guilty of misdemeanor' were deleted as unnecessary in view of definitive section 1 of this title. (See also reviser's note under section 212 of this title.) Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Entry on coal lands in general, see section 71 et seq. of Title 30, Mineral Lands and Mining. Entry under nonmineral land laws of coal lands with reservation of coal to United States, see section 81 et seq. of Title 30. Lease of mineral deposits within acquired lands, see section 351 et seq. of Title 30. Leases and prospecting permits on lands containing coal, see sections 181 et seq., 201 et seq., of Title 30. ------DocID 24399 Document 641 of 1438------ -CITE- 18 USC Sec. 1852 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1852. Timber removed or transported -STATUTE- Whoever cuts, or wantonly destroys any timber growing on the public lands of the United States; or Whoever removes any timber from said public lands, with intent to export or to dispose of the same; or Whoever, being the owner, master, pilot, operator, or consignee of any vessel, motor vehicle, or aircraft or the owner, director, or agent of any railroad, knowingly transports any timber so cut or removed from said lands, or lumber manufactured therefrom - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not prevent any miner or agriculturist from clearing his land in the ordinary working of his mining claim, or in the preparation of his farm for tillage, or from taking the timber necessary to support his improvements, or the taking of timber for the use of the United States; nor shall it interfere with or take away any right or privilege under any existing law of the United States to cut or remove timber from any public lands. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 787.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 103 (Mar. 4, 1909, ch. 321, Sec. 49, 35 Stat. 1098). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'motor vehicle or aircraft' were inserted in third paragraph to remove any doubt as to scope of section in view of rapidly advancing methods of transportation. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Cutting, destroying, or removing timber - Crater Lake National Park, see section 123 of Title 16, Conservation. Glacier National Park, see sections 162, 162a, and 167 of Title 16. Indian lands, removal from, see section 196 of Title 25, Indians. Mineral lands, see sections 604 to 606 of Title 16, Conservation. National parks in general, see section 3 of Title 16. Notice of unlawful cutting, see section 605 of Title 16. Penalty for unlawful cutting, see section 606 of Title 16. Permits to cut for agricultural, mining or domestic purposes, see sections 45c, 604, 607 to 613 of Title 16. Purpose of cutting, effect on criminality of act, see section 607 of Title 16. Transferee of functions of register and receiver of local land office as required to ascertain legality of cutting or use, see section 605 of Title 16. Yellowstone National Park, see section 38 of Title 16. Yosemite National Park, regulations, see section 53 of Title 16. Seizure of timber exported from Territories of United States, see section 602 of Title 16. Transportation of timber produced by railroad not forbidden, see section 10746 of Title 49, Transportation. ------DocID 24400 Document 642 of 1438------ -CITE- 18 USC Sec. 1853 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1853. Trees cut or injured -STATUTE- Whoever unlawfully cuts, or wantonly injures or destroys any tree growing, standing, or being upon any land of the United States which, in pursuance of law, has been reserved or purchased by the United States for any public use, or upon any Indian reservation, or lands belonging to or occupied by any tribe of Indians under the authority of the United States, or any Indian allotment while the title to the same shall be held in trust by the Government, or while the same shall remain inalienable by the allottee without the consent of the United States, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 787.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 104 (Mar. 4, 1909, ch. 321, Sec. 50, 35 Stat. 1098; June 25, 1910, ch. 431, Sec. 6, 36 Stat. 857). Reference to persons aiding or procuring was deleted as unnecessary since such persons are made principals by section 2 of this title. Maximum fine was increased from $500 to $1,000 to conform to other comparable sections of this chapter. (See sections 1851 and 1852 of this title.) Minor changes were also made in phraseology. -CROSS- CROSS REFERENCES General provisions relating to Indian lands and reservations, see Title 25, Indians. Protection of national forests and violation of rules and regulations relating thereto, see section 551 of Title 16, Conservation. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 16 section 552d. ------DocID 24401 Document 643 of 1438------ -CITE- 18 USC Sec. 1854 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1854. Trees boxed for pitch or turpentine -STATUTE- Whoever cuts, chips, chops, or boxes any tree upon any lands belonging to the United States, or upon any lands covered by or embraced in any unperfected settlement, application, filing, entry, selection, or location, made under any law of the United States, for the purpose of obtaining from such tree any pitch, turpentine, or other substance; or Whoever buys, trades for, or in any manner acquires any pitch, turpentine, or other substance, or any article or commodity made from any such pitch, turpentine, or other substance, with knowledge that the same has been so unlawfully obtained - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 788.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 105 (Mar. 4, 1909, ch. 321, Sec. 51, 35 Stat. 1098). Reference to persons aiding, encouraging, or causing was deleted as unnecessary since such persons are made principals by section 2 of this title. Maximum fine was increased from $500 to $1,000 to conform to other comparable sections of this chapter. (See sections 1851 and 1852 of this title.) Minor changes also were made in phraseology. ------DocID 24402 Document 644 of 1438------ -CITE- 18 USC Sec. 1855 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1855. Timber set afire -STATUTE- Whoever, willfully and without authority, sets on fire any timber, underbrush, or grass or other inflammable material upon the public domain or upon any lands owned or leased by or under the partial, concurrent, or exclusive jurisdiction of the United States, or under contract for purchase or for the acquisition of which condemnation proceedings have been instituted, or upon any Indian reservation or lands belonging to or occupied by any tribe or group of Indians under authority of the United States, or upon any Indian allotment while the title to the same shall be held in trust by the Government, or while the same shall remain inalienable by the allottee without the consent of the United States, shall be fined under this title or imprisoned not more than five years, or both. This section shall not apply in the case of a fire set by an allottee in the reasonable exercise of his proprietary rights in the allotment. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 788; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6254(j), 102 Stat. 4368.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 106 (Mar. 4, 1909, ch. 321, Sec. 52, 35 Stat. 1098; Nov. 15, 1941, ch. 472, Sec. 1, 55 Stat. 763). Surplus verbiage and unnecessary enumerations were omitted. Words 'without authority' were inserted near beginning of section so as to remove any doubt as to scope or meaning of section. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor verbal changes were made. AMENDMENTS 1988 - Pub. L. 100-690 substituted 'under this title' for 'not more than $5,000' in first par. -CROSS- CROSS REFERENCES Protection against fires, see section 594 of Title 16, Conservation. ------DocID 24403 Document 645 of 1438------ -CITE- 18 USC Sec. 1856 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1856. Fires left unattended and unextinguished -STATUTE- Whoever, having kindled or caused to be kindled, a fire in or near any forest, timber, or other inflammable material upon any lands owned, controlled or leased by, or under the partial, concurrent, or exclusive jurisdiction of the United States, including lands under contract for purchase or for the acquisition of which condemnation proceedings have been instituted, and including any Indian reservation or lands belonging to or occupied by any tribe or group of Indians under the authority of the United States, or any Indian allotment while the title to the same is held in trust by the United States, or while the same shall remain inalienable by the allottee without the consent of the United States, leaves said fire without totally extinguishing the same, or permits or suffers said fire to burn or spread beyond his control, or leaves or suffers said fire to burn unattended, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 788.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 107 (Mar. 4, 1909, ch. 321, Sec. 53, 35 Stat. 1908; June 25, 1910, ch. 431, Sec. 6, 36 Stat. 857; Nov. 15, 1941, ch. 472, Sec. 2, 55 Stat. 764). Words 'without hard labor' which followed 'six months' and preceded 'or both' were omitted as unnecessary. (See reviser's note under section 1 of this title.) Enumeration of applicable condemnation statutes was deleted and section extended and made applicable to all lands in process of condemnation by the government. This does no violence to the intent of Congress and clarifies the section considerably. Other changes in phraseology were made. ------DocID 24404 Document 646 of 1438------ -CITE- 18 USC Sec. 1857 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1857. Fences destroyed; livestock entering -STATUTE- Whoever knowingly and unlawfully breaks, opens, or destroys any gate, fence, hedge, or wall inclosing any lands of the United States reserved or purchased for any public use; or Whoever drives any cattle, horses, hogs, or other livestock upon any such lands for the purposes of destroying the grass or trees on said lands, or where they may destroy the said grass or trees; or Whoever knowingly permits his cattle, horses, hogs, or other livestock to enter through any such inclosure upon any such lands of the United States, where such cattle, horses, hogs, or other livestock may or can destroy the grass or trees or other property of the United States on the said lands - Shall be fined not more than $500 or imprisoned not more than one year, or both. This section shall not apply to unreserved public lands. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 788.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 111 (Mar. 4, 1909, ch. 321, Sec. 56, 35 Stat. 1099). Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Driving stock to feed on Indian lands, see section 179 of Title 25, Indians. Grazing lands, see section 315 et seq. of Title 43, Public Lands. Provisions relating to fences and grazing generally, see Title 16, Conservation. ------DocID 24405 Document 647 of 1438------ -CITE- 18 USC Sec. 1858 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1858. Survey marks destroyed or removed -STATUTE- Whoever willfully destroys, defaces, changes, or removes to another place any section corner, quarter-section corner, or meander post, on any Government line of survey, or willfully cuts down any witness tree or any tree blazed to mark the line of a Government survey, or willfully defaces, changes, or removes any monument or bench mark of any Government survey, shall be fined not more than $250 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 789.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 111 (Mar. 4, 1909, ch. 321, Sec. 57, 35 Stat. 1099). Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Survey of public lands, see section 751 et seq. of Title 43, Public Lands. ------DocID 24406 Document 648 of 1438------ -CITE- 18 USC Sec. 1859 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1859. Surveys interrupted -STATUTE- Whoever, by threats or force, interrupts, hinders, or prevents the surveying of the public lands, or of any private land claim which has been or may be confirmed by the United States, by the persons authorized to survey the same in conformity with the instructions of the Director of the Bureau of Land Management, shall be fined not more than $3,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 789; May 24, 1949, ch. 139, Sec. 42, 63 Stat. 95.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 112 (Mar. 4, 1909, ch. 321, Sec. 58, 35 Stat. 1099). Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. 1949 ACT This section (section 42) substitutes, in section 1859 of title 18, U.S.C., 'Director of the Bureau of Land Management' for 'Commissioner of the General Land Office,' in view of the abolishment of the General Land Office, and the office of Commissioner thereof, by 1946 Reorganization Plan No. 3, Sec. 403, effective July 16, 1946 (11 F.R. 7876). Such plan consolidated the functions of the General Land Office and of the Grazing Service to form a new agency, the Bureau of Land Management, in the Department of the Interior and headed by a Director. AMENDMENTS 1949 - Act May 24, 1949, substituted 'Director of the Bureau of Land Management' for 'Commissioner of the General Land Office'. ------DocID 24407 Document 649 of 1438------ -CITE- 18 USC Sec. 1860 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1860. Bids at land sales -STATUTE- Whoever bargains, contracts, or agrees, or attempts to bargain, contract, or agree with another that such other shall not bid upon or purchase any parcel of lands of the United States offered at public sale; or Whoever, by intimidation, combination, or unfair management, hinders, prevents, or attempts to hinder or prevent, any person from bidding upon or purchasing any tract of land so offered for sale - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 789.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 113 (Mar. 4, 1909, ch. 321, Sec. 59, 35 Stat. 1099). Imprisonment provision was reduced from 'two years' to 'one year,' thus placing the offense in the category of misdemeanors which may be prosecuted on information. The lesser punishment seems adequate. Minor changes were made in phraseology and arrangement. ------DocID 24408 Document 650 of 1438------ -CITE- 18 USC Sec. 1861 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1861. Deception of prospective purchasers -STATUTE- Whoever, for a reward paid or promised to him in that behalf, undertakes to locate for an intending purchaser, settler, or entryman any public lands of the United States subject to disposition under the public-land laws, and who willfully and falsely represents to such intending purchaser, settler, or entryman that any tract of land shown to him is public land of the United States subject to sale, settlement, or entry, or that it is of a particular surveyed description, with intent to deceive the person to whom such representation is made, or who, in reckless disregard of the truth, falsely represents to any such person that any tract of land shown to him is public land of the United States subject to sale, settlement, or entry, or that it is of a particular surveyed description, thereby deceiving the person to whom such representation is made, shall be fined not more than $300 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 789.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 114 (Feb. 23, 1917, ch. 115, 39 Stat. 936). Words 'deemed guilty of a misdemeanor and' which preceded 'punished' were omitted as unnecessary in view of definitive section 1 of this title. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The public-land laws, referred to in text, are classified generally to Title 43, Public Lands. ------DocID 24409 Document 651 of 1438------ -CITE- 18 USC Sec. 1862 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- (Sec. 1862. Repealed. Pub. L. 95-200, Sec. 3(c), Nov. 23, 1977, 91 Stat. 1428) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 789, imposed a fine of not more than $500 or imprisonment of not more than six months as the penalty for knowingly trespassing upon the reserve known as the Bull Run National Forest in the Cascade Mountains. See note set out under section 482b of Title 16, Conservation, for the remainder of Pub. L. 95-200, including savings provisions therein, which in addition to repealing this section created the Bull Run Watershed Management Unit, Mount Hood National Forest. ------DocID 24410 Document 652 of 1438------ -CITE- 18 USC Sec. 1863 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1863. Trespass on national forest lands -STATUTE- Whoever, without lawful authority or permission, goes upon any national-forest land while it is closed to the public pursuant to lawful regulation of the Secretary of Agriculture, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (Added May 24, 1949, ch. 139, Sec. 43, 63 Stat. 95.) -MISC1- HISTORICAL AND REVISION NOTES This section (section 43) incorporates in revised title 18, U.S.C., as section 1863 thereof, and with changes in phraseology, the provisions of act of February 10, 1948 (ch. 51, 62 Stat. 19), which was not incorporated in title 18 when the revision was enacted. The phrase 'without hard labor' is omitted from the punishment clause as unnecessary, in conformity with the uniform style of such title. (See reviser's note to sec. 1 of such revised title, appearing in H. Rept. No. 304, April 24, 1947, to accompany H.R. 3190, 80th Cong. (pp. A2, A4 of such report).) The concluding proviso that 'nothing herein shall be construed to limit the authority of the Secretary of Agriculture under other law to otherwise provide for regulating the occupancy and use of national-forest lands and lands administered by the Forest Service', is omitted as surplusage. ------DocID 24411 Document 653 of 1438------ -CITE- 18 USC Sec. 1864 -EXPCITE- TITLE 18 PART I CHAPTER 91 -HEAD- Sec. 1864. Hazardous or injurious devices on Federal lands -STATUTE- (a) Whoever - (1) with the intent to violate the Controlled Substances Act, (2) with the intent to obstruct or harass the harvesting of timber, or (3) with reckless disregard to the risk that another person will be placed in danger of death or bodily injury and under circumstances manifesting extreme indifference to such risk, uses a hazardous or injurious device on Federal land, on an Indian reservation, or on an Indian allotment while the title to such allotment is held in trust by the United States or while such allotment remains inalienable by the allottee without the consent of the United States shall be punished under subsection (b). (b) An individual who violates subsection (a) shall - (1) if death of an individual results, be fined under this title or imprisoned for any term of years or for life, or both; (2) if serious bodily injury to any individual results, be fined under this title or imprisoned for not more than twenty years, or both; (3) if bodily injury to any individual results, be fined under this title or imprisoned for not more than ten years, or both; (4) if damage exceeding $10,000 to the property of any individual results, be fined under this title or imprisoned for not more than ten years, or both; and (5) in any other case, be fined under this title or imprisoned for not more than one year. (c) Any individual who is punished under subsection (b)(3), (4), or (5) after one or more prior convictions under any such subsection shall be fined under this title or imprisoned for not more than ten years, or both. (d) As used in this section - (1) the term 'serious bodily injury' means bodily injury which involves - (A) a substantial risk of death; (B) extreme physical pain; (C) protracted and obvious disfigurement; and (D) protracted loss or impairment of the function of bodily member, organ, or mental faculty; (2) the term 'bodily injury' means - (A) a cut, abrasion, bruise, burn, or disfigurement; (B) physical pain; (C) illness; (D) impairment of the function of a bodily member, organ, or mental faculty; or (E) any other injury to the body, no matter how temporary; and (3) the term 'hazardous or injurious device' means a device, which when assembled or placed, is capable of causing bodily injury, or damage to property, by the action of any person making contact with such device subsequent to the assembly or placement. Such term includes guns attached to trip wires or other triggering mechanisms, ammunition attached to trip wires or other triggering mechanisms, or explosive devices attached to trip wires or other triggering mechanisms, sharpened stakes, lines or wires, lines or wires with hooks attached, nails placed so that the sharpened ends are positioned in an upright manner, or tree spiking devices including spikes, nails, or other objects hammered, driven, fastened, or otherwise placed into or on any timber, whether or not severed from the stump. -SOURCE- (Added Pub. L. 100-690, title VI, Sec. 6254(f), Nov. 18, 1988, 102 Stat. 4366, and amended Pub. L. 101-647, title XXXV, Sec. 3555, Nov. 29, 1990, 104 Stat. 4927.) -REFTEXT- REFERENCES IN TEXT The Controlled Substances Act, referred to in subsec. (a)(1), is title II of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1242, as amended, which is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. -MISC2- AMENDMENTS 1990 - Subsec. (d)(1)(D), (E). Pub. L. 101-647 struck out 'and' at end of subpar. (D) and substituted '; and' for period at end of subpar. (E). ------DocID 24412 Document 654 of 1438------ -CITE- 18 USC CHAPTER 93 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- CHAPTER 93 - PUBLIC OFFICERS AND EMPLOYEES -MISC1- Sec. 1901. Collecting or disbursing officer trading in public property. 1902. Disclosure of crop information and speculation thereon. 1903. Speculation in stocks or commodities affecting crop insurance. 1904. Disclosure of information or speculation in securities affecting Reconstruction Finance Corporation. 1905. Disclosure of confidential information generally. 1906. Disclosure of information from a bank examination report. 1907. Disclosure of information by farm credit examiner. 1908. Disclosure of information by National Agricultural Credit Corporation examiner. 1909. Examiner performing other services. 1910. Nepotism in appointment of receiver or trustee. 1911. Receiver mismanaging property. 1912. Unauthorized fees for inspection of vessels. 1913. Lobbying with appropriated moneys. (1914. Repealed.) 1915. Compromise of customs liabilities. 1916. Unauthorized employment and disposition of lapsed appropriations. 1917. Interference with civil service examinations. 1918. Disloyalty and asserting the right to strike against the Government. 1919. False statement to obtain unemployment compensation for Federal service. 1920. False statement to obtain Federal employees' compensation. 1921. Receiving Federal employees' compensation after marriage. 1922. False or withheld report concerning Federal employees' compensation. 1923. Fraudulent receipt of payments of missing persons. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3556, Nov. 29, 1990, 104 Stat. 4927, substituted 'from a bank examination report' for 'by bank examiner' in item 1906 and struck out item 1914 'Salary of Government officials and employees payable only by United States'. 1966 - Pub. L. 89-554, Sec. 3(c), Sept. 6, 1966, 80 Stat. 608, added items 1916 to 1923. -CROSS- CROSS REFERENCES Bribery and graft, see section 201 et seq. of this title. Embezzlement and theft, see section 641 et seq. of this title. Government employee having interest in Indian contracts, see section 437 of this title. Officers - Interested in claims against Government, see section 205 of this title. Receiving compensation in matters relating to proceedings, contracts, claims, etc., see section 203 of this title. Postal employee having interest in mail contract, see section 440 of this title. Purchase of claims for fees by court officials, see section 291 of this title. ------DocID 24413 Document 655 of 1438------ -CITE- 18 USC Sec. 1901 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1901. Collecting or disbursing officer trading in public property -STATUTE- Whoever, being an officer of the United States concerned in the collection or the disbursement of the revenues thereof, carries on any trade or business in the funds or debts of the United States, or of any State, or in any public property of either, shall be fined not more than $3,000 or imprisoned not more than one year, or both; and shall be removed from office, and be incapable of holding any office under the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 790.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 192 (Mar. 4, 1909, ch. 321, Sec. 103, 35 Stat. 1107). Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 593, 2071, 2381, 2385, and 2387 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 26 section 7214. ------DocID 24414 Document 656 of 1438------ -CITE- 18 USC Sec. 1902 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1902. Disclosure of crop information and speculation thereon -STATUTE- Whoever, being an officer, employee or person acting for or on behalf of the United States or any department or agency thereof, and having by virtue of his office, employment or position, become possessed of information which might influence or affect the market value of any product of the soil grown within the United States, which information is by law or by the rules of such department or agency required to be withheld from publication until a fixed time, willfully imparts, directly or indirectly, such information, or any part thereof, to any person not entitled under the law or the rules of the department or agency to receive the same; or, before such information is made public through regular official channels, directly or indirectly speculates in any such product by buying or selling the same in any quantity, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. No person shall be deemed guilty of a violation of any such rules, unless prior to such alleged violation he shall have had actual knowledge thereof. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 790.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 214 (Mar. 4, 1909, ch. 321, Sec. 123, 35 Stat. 1110). Words 'agency thereof' were inserted in lieu of 'office thereof' at beginning of section in conformity with section 6 of this title. Minor changes were made in phraseology. ------DocID 24415 Document 657 of 1438------ -CITE- 18 USC Sec. 1903 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1903. Speculation in stocks or commodities affecting crop insurance -STATUTE- Whoever, while acting in any official capacity in the administration of any Act of Congress relating to crop insurance or to the Federal Crop Insurance Corporation speculates in any agricultural commodity or product thereof, to which such enactments apply, or in contracts relating thereto, or in the stock or membership interests of any association or corporation engaged in handling, processing, or disposing of any such commodity or product, shall be fined not more than $10,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 790.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1514(b) of title 7, U.S.C., 1940 ed., Agriculture (Feb. 16, 1938, ch. 30, title V, Sec. 514(b), 52 Stat. 76). Words 'upon conviction thereof' were omitted as surplusage since punishment can be imposed only after a conviction. Minor changes were made in phraseology and translations. ------DocID 24416 Document 658 of 1438------ -CITE- 18 USC Sec. 1904 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1904. Disclosure of information or speculation in securities affecting Reconstruction Finance Corporation -STATUTE- Whoever, being connected in any capacity with the Reconstruction Finance Corporation, gives any unauthorized information concerning any future action or plan of the said Corporation which might affect the value of securities, or, having such knowledge, invests or speculates, directly or indirectly in the securities or property of any company, bank, or corporatiion receiving loans or other assistance from the said Corporation, shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 791.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 616(c) of title 15, U.S.C., 1940 ed., Commerce and Trade (Jan. 22, 1932, ch. 8, Sec. 16(c), 47 Stat. 11, 12). Minor changes were made in translations and phraseology. -TRANS- ABOLITION OF RECONSTRUCTION FINANCE CORPORATION Section 6(a) of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat. 647, set out in the Appendix to Title 5, Government Organization and Employees, abolished the Reconstruction Finance Corporation. ------DocID 24417 Document 659 of 1438------ -CITE- 18 USC Sec. 1905 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1905. Disclosure of confidential information generally -STATUTE- Whoever, being an officer or employee of the United States or of any department or agency thereof, or agent of the Department of Justice as defined in the Antitrust Civil Process Act (15 U.S.C. 1311-1314), publishes, divulges, discloses, or makes known in any manner or to any extent not authorized by law any information coming to him in the course of his employment or official duties or by reason of any examination or investigation made by, or return, report or record made to or filed with, such department or agency or officer or employee thereof, which information concerns or relates to the trade secrets, processes, operations, style of work, or apparatus, or to the identity, confidential statistical data, amount or source of any income, profits, losses, or expenditures of any person, firm, partnership, corporation, or association; or permits any income return or copy thereof or any book containing any abstract or particulars thereof to be seen or examined by any person except as provided by law; shall be fined not more than $1,000, or imprisoned not more than one year, or both; and shall be removed from office or employment. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 791; Sept. 12, 1980, Pub. L. 96-349, Sec. 7(b), 94 Stat. 1158.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 176b of title 15, U.S.C., 1940 ed., Commerce and Trade; section 216 of title 18, U.S.C., 1940 ed.; section 1335 of title 19, U.S.C., 1940 ed., Customs Duties (R.S. Sec. 3167; Aug. 27, 1894, ch. 349, Sec. 24, 28 Stat. 557; Feb. 26, 1926, ch. 27, Sec. 1115, 44 Stat. 117; June 17, 1930, ch. 497, title III, Sec. 335, 46 Stat. 701; Jan. 27, 1938, ch. 11, Sec. 2, 52 Stat. 8). Section consolidates section 176b of title 15, U.S.C., 1940 ed., Commerce and Trade; section 216 of title 18, U.S.C., 1940 ed., and section 1335 of title 19, U.S.C., 1940 ed., Customs Duties. Words 'or of any department or agency thereof' and words 'such department or agency' were inserted so as to eliminate any possible ambiguity as to scope of section. (See definition of 'department' and 'agency' in section 6 of this title.) References to the offenses as misdemeanors, contained in all of said sections, were omitted in view of definitive section 1 of this title. The provisions of section 216 of title 18, U.S.C., 1940 ed., relating to publication of income tax data by 'any person', were omitted as covered by section 55(f)(1) of title 26, U.S.C., 1940 ed., Internal Revenue Code. Minor changes were made in translations and phraseology. -REFTEXT- REFERENCES IN TEXT The Antitrust Civil Process Act, referred to in text, is Pub. L. 87-664, Sept. 19, 1962, 76 Stat. 548, as amended, which is classified generally to chapter 34 (Sec. 1311 et seq.) of Title 15, Commerce and Trade. For complete classification of this Act to the Code, see Short Title note set out under section 1311 of Title 15 and Tables. -MISC2- AMENDMENTS 1980 - Pub. L. 96-349 provided for punishment and removal from office of an agent of the Department of Justice as defined in the Antitrust Civil Process Act for disclosure of confidential information. -CROSS- CROSS REFERENCES Disclosure of income information by shareholders, see section 7213 of Title 26, Internal Revenue Code. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 5 section 3374; title 7 sections 136h, 509, 958, 5662; title 15 sections 330b, 771, 773, 796, 1193, 1335a, 1401, 1418, 1914, 1944, 1990d, 2008, 2029, 2055, 2217, 2613; title 21 sections 360ll, 360nn; title 26 section 7213; title 29 section 664; title 30 section 1423; title 33 sections 1318, 1320, 1322, 1369, 1513; title 42 sections 300j-4, 2210b, 4912, 5916, 5919, 6274, 6921, 6927, 6991d, 7135, 7412, 7542, 7607, 7621, 9208, 9310, 9604, 9660, 11023, 11042; title 46 section 4309; title 49 section 11161; title 49 App. sections 1681, 1905, 2010. ------DocID 24418 Document 660 of 1438------ -CITE- 18 USC Sec. 1906 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1906. Disclosure of information from a bank examination report -STATUTE- Whoever, being an examiner, public or private, or a General Accounting Office employee with access to bank examination report information under section 714 of title 31, discloses the names of borrowers or the collateral for loans of any member bank of the Federal Reserve System, any bank insured by the Federal Deposit Insurance Corporation, any branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or any organization operating under section 25 or section 25(a) of the Federal Reserve Act, examined by him or subject to General Accounting Office audit under section 714 of title 31 to other than the proper officers of such bank, branch, agency, or organization, without first having obtained the express permission in writing from the Comptroller of the Currency as to a national bank or a Federal branch or Federal agency (as such terms are defined in paragraphs (5) and (6) of section 1(b) of the International Banking Act of 1978), the Board of Governors of the Federal Reserve System as to a State member bank, an uninsured State branch or State agency (as such terms are defined in paragraphs (11) and (12) of section 1(b) of the International Banking Act of 1978), or an organization operating under section 25 or section 25(a) of the Federal Reserve Act, or the Federal Deposit Insurance Corporation as to any other insured bank, including any insured branch (as defined in section 3(s) of the Federal Deposit Insurance Act),, (FOOTNOTE 1) or from the board of directors of such bank or organization, except when ordered to do so by a court of competent jurisdiction, or by direction of the Congress of the United States, or either House thereof, or any committee of Congress or either House duly authorized or as authorized by section 714 of title 31 shall be fined not more than $5,000 or imprisoned not more than one year or both. (FOOTNOTE 1) So in original. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 791; July 21, 1978, Pub. L. 95-320, Sec. 3, 92 Stat. 393; Sept. 13, 1982, Pub. L. 97-258, Sec. 3(e)(1), 96 Stat. 1064; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(k), 104 Stat. 4911.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 594 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22 (second and third sentences of second paragraph), 38 Stat. 272, 273; Sept. 26, 1918, ch. 177, Sec. 5 (22(b), second paragraph), 40 Stat. 970; Aug. 23, 1935, ch. 614, Sec. 326(b), 49 Stat. 716). Other provisions of section 594 of title 12, U.S.C., 1940 ed., Banks and Banking, were consolidated with similar provisions from other sections, to form section 1909 of this title. Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in text, is classified to section 3101 of Title 12, Banks and Banking. Section 25 of the Federal Reserve Act, referred to in text, is classified to subchapter I (Sec. 601 et seq.) of chapter 6 of Title 12. Section 25(a) of the Federal Reserve Act is classified to subchapter II (Sec. 611 et seq.) of chapter 6 of Title 12. Section 3(s) of the Federal Deposit Insurance Act, referred to in text, is classified to section 1813(s) of Title 12. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647 substituted 'System, any bank insured' for 'System, or bank insured' and inserted ', any branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), or any organization operating under section 25 or section 25(a) of the Federal Reserve Act,' after 'by the Federal Deposit Insurance Corporation', 'branch, agency, or organization,' after 'proper officers of such bank,', 'or a Federal branch or Federal agency (as such terms are defined in paragraphs (5) and (6) of section 1(b) of the International Banking Act of 1978)' after 'national bank', ', an uninsured State branch or State agency (as such terms are defined in paragraphs (11) and (12) of section 1(b) of the International Banking Act of 1978), or an organization operating under section 25 or section 25(a) of the Federal Reserve Act' after 'as to a State member bank', ', including any insured branch (as defined in section 3(s) of the Federal Deposit Insurance Act),' after 'any other insured bank', and 'or organization' after 'board of directors of such bank'. 1982 - Pub. L. 97-258 substituted 'section 714 of title 31' for 'section 117(e) of the Accounting and Auditing Act of 1950' wherever appearing. 1978 - Pub. L. 95-320 substituted 'from a bank examination report' for 'by bank examiner' in section catchline and, in text, substituted 'public or private, or a General Accounting Office employee with access to bank examination report information under section 117(e) of the Accounting and Auditing Act of 1950, discloses' for 'public or private, discloses', 'examined by him or subject to General Accounting Office audit under section 117(e) of the Accounting and Auditing Act of 1950 to other than' for ', examined by him, to other than', and 'either House duly authorized or as authorized by section 117(e) of the Accounting and Auditing Act of 1950 shall be fined' for 'either House duly authorized, shall be fined'. -TRANS- EXCEPTION AS TO TRANSFER OF FUNCTIONS Functions vested by any provision of law in Comptroller of the Currency, referred to in this section, were not included in transfer of functions of officers, agencies and employees of Department of the Treasury to Secretary of the Treasury, made by Reorg. Plan No. 26, of 1950, Sec. 1, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Civil liability of officers or directors of member banks of the Federal Reserve System, for violating or permitting violation of this section, see section 503 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 503. ------DocID 24419 Document 661 of 1438------ -CITE- 18 USC Sec. 1907 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1907. Disclosure of information by farm credit examiner -STATUTE- Whoever, being a farm credit examiner or any examiner, public or private, discloses the names of borrowers of any Federal land bank association or Federal land bank, or any organization examined by him under the provisions of law relating to Federal intermediate credit banks, to other than the proper officers of such institution or organization, without first having obtained express permission in writing from the Land Bank Commissioner or from the board of directors of such institution or organization, except when ordered to do so by a court of competent jurisdiction or by direction of the Congress of the United States or either House thereof, or any committee of Congress or either House duly authorized, shall be fined not more than $5,000 or imprisoned not more than one year, or both; and shall be disqualified from holding office as a farm credit examiner. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 791; Aug. 18, 1959, Pub. L. 86-168, title I, Sec. 104(h), 73 Stat. 387; Oct. 12, 1982, Pub. L. 97-297, Sec. 4(c), 96 Stat. 1318.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 983 and 1124 of title 12, U.S.C., 1940 ed., Banks and Banking (July 17, 1916, ch. 245, Sec. 31 (third and fourth sentences of third paragraph), 39 Stat. 383; July 17, 1916, ch. 245, Sec. 211(d) (part of first sentence), as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1460; June 16, 1933, ch. 98, Sec. 80(a), 48 Stat. 273). Section 983 of title 12, U.S.C., 1940 ed., Banks and Banking, does not include the term 'farm credit examiner,' as used in this section, but it relates thereto as is indicated by sections 951 and 952 of said title. Section 1124 of title 12, U.S.C., 1940 ed., Banks and Banking, which was taken from a chapter in that title dealing with Federal intermediate credit banks, also relates to farm credit examiners as is indicated by section 1093 thereof. Even so, it was deemed advisable to retain the reference to any examiner 'public or private,' as used in said section 1124. For clarification, the types of associations, banks, and organizations to which section relates, were enumerated wherever referred to, and words 'examined by him under the provisions of law relating to Federal intermediate credit banks' were inserted. In addition, changes were made in phraseology. The provisions relating to disqualification from holding office as an incident to violation were contained in section 1124 of title 12, U.S.C., 1940 ed., Banks and Banking. For bribery and other provisions of section 1124 of title 12, U.S.C., 1940 ed., Banks and Banking, see sections 218 and 1909 of this title. Other provisions of said section 983 of title 12, U.S.C., 1940 ed., were incorporated in section 221 of this title. AMENDMENTS 1982 - Pub. L. 97-297 substituted 'or Federal land bank' for ', Federal land bank, or joint-stock land bank'. 1959 - Pub. L. 86-168 substituted 'Federal land bank associations' for 'national farm loan association'. EFFECTIVE DATE OF 1959 AMENDMENT Amendment by Pub. L. 86-168 effective Dec. 31, 1959, see section 104(k) of Pub. L. 86-168. -TRANS- ABOLITION OF OFFICE OF LAND BANK COMMISSIONER The office of Land Bank Commissioner was abolished by section 636f of Title 12, Banks and Banking. -CROSS- CROSS REFERENCES Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal land banks, joint-stock land banks and national farm loan associations are concerned, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title. ------DocID 24420 Document 662 of 1438------ -CITE- 18 USC Sec. 1908 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1908. Disclosure of information by National Agricultural Credit Corporation examiner -STATUTE- Whoever, being an examiner appointed under the provisions of law relating to National Agricultural Credit Corporations, discloses the names of borrowers of any organization examined by him, to other than the proper officers of such organization, without first having obtained express permission in writing from the Comptroller of the Currency or from the board of directors of such organization, except when ordered to do so by a court of competent jurisdiction or by direction of the Congress of the United States or either House thereof, or any committee of Congress or either House duly authorized, shall be fined not more than $5,000 or imprisoned not more than one year, or both; and shall be disqualified from holding office as such examiner. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 792.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1314 of title 12, U.S.C., 1940 ed., Banks and Banking (Mar. 4, 1923, ch. 252, title II, Sec. 216(d), 42 Stat. 1472). Minor changes of phraseology were made. Other provisions of section 1314 of title 12, U.S.C., 1940 ed., Banks and Banking, are incorporated in sections 218 and 1909 of this title. -TRANS- EXCEPTION AS TO TRANSFER OF FUNCTIONS Functions vested by any provision of law in Comptroller of the Currency, referred to in this section, were not included in transfer of functions of officers, agencies, and employees of Department of the Treasury to Secretary of the Treasury, made by Reorg. Plan No. 26, of 1950, Sec. 1, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5, Government Organization and Employees. -MISC5- NATIONAL AGRICULTURAL CREDIT CORPORATION Title II of the Agricultural Credits Act, act Mar. 4, 1923, ch. 252, title II, Sec. 201-217, 42 Stat. 1461, which authorized the creation of national agricultural credit corporations, was repealed by Pub. L. 86-230, Sept. 8, 1959, Sec. 24, 73 Stat. 466. Prior to such repeal, act June 16, 1933, ch. 101, Sec. 77, 48 Stat. 292, had prohibited the creation, after June 16, 1933, of national agricultural credit corporations authorized to be formed under the Agricultural Credits Act. ------DocID 24421 Document 663 of 1438------ -CITE- 18 USC Sec. 1909 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1909. Examiner performing other services -STATUTE- Whoever, being a national-bank examiner, Federal Deposit Insurance Corporation examiner, farm credit examiner, or an examiner of National Agricultural Credit Corporations, performs any other service, for compensation, for any bank or banking or loan association, or for any officer, director, or employee thereof, or for any person connected therewith in any capacity, shall be fined not more than $5,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 792.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 594, 656a, 952, 981, 1093, 1124, 1243, and 1314 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 22, fourth sentence of first paragraph, and third sentence of second paragraph, 38 Stat. 272; July 17, 1916, ch. 245, Sec. 28, 31 (third sentence of first paragraph), 39 Stat. 381, 383; July 17, 1916, ch. 245, Sec. 208(c), 211(d), second sentence, as added Mar. 4, 1923, ch. 252, Sec. 2, 42 Stat. 1459, 1460; Sept. 26, 1918, ch. 177, Sec. 5 ('22(b)') 40 Stat. 970; Mar. 4, 1923, ch. 252, title II, Sec. 209(c), 216(d) (second sentence), 42 Stat. 1468, 1472; Ex. Ord. No. 6084, Mar. 27, 1933; June 16, 1933, ch. 98, Sec. 80(a), 48 Stat. 273; Aug. 23, 1935, ch. 614, Sec. 326(b), 49 Stat. 716; Aug. 19, 1937, ch. 704, Sec. 20, 50 Stat. 710). Section 594 of title 12, U.S.C., 1940 ed., Banks and Banking, first paragraph, related to national-bank examiners and Federal Deposit Insurance Corporation examiners, and provided punishment for several offenses including the offense of performing services, for compensation, other than their regular duties. Section 656a of said title 12 is authority for the designation 'farm credit examiner' included in this section, and section 1093 of said title authorizes farm credit examiners to conduct examinations in connection with contemplated transactions of Federal intermediate credit banks, to which section 1124 of said title relates. Sections 981 and 1124 of title 12, U.S.C., 1940 ed., Banks and Banking, which relate to farm credit examiners, and section 1314 of said title, which relates to National Agricultural Credit Corporation examiners, all prohibit the performance of services, for compensation, other than regular duties. They do not specifically provide punishment for violation of such prohibition, but the provisions of said section 594 of said title, relating to national-bank examiners and Federal Deposit Insurance Corporation examiners, which does provide punishment for the same offense, are extended to the former two types of examiners by sections 952 and 1243 thereof. The remaining provisions of sections 594, 981, 1124, and 1314 of title 12, U.S.C., 1940 ed., Banks and Banking, relating to unlawful disclosure of the names of borrowers or the collateral for loans, false statements in applications for loans, overvaluation of securities, and acceptance of loans or gratuities, were separated and transferred according to subject matter to sections 218, 1014, 1906-1908 of this title, where, insofar as possible, they were consolidated with similar provisions from other sections. Minor changes were made in phraseology. NATIONAL AGRICULTURAL CREDIT CORPORATION Title II of the Agricultural Credits Act, act Mar. 4, 1923, ch. 252, title II, Sec. 201-217, 42 Stat. 1461, which authorized the creation of national agricultural credit corporations, was repealed by Pub. L. 86-230, Sept. 8, 1959, Sec. 24, 73 Stat. 466. Prior to such repeal, act June 16, 1933, ch. 101, Sec. 77, 48 Stat. 292, had prohibited the creation, after June 16, 1933, of national agricultural credit corporations authorized to be formed under the Agricultural Credits Act. -CROSS- CROSS REFERENCES Civil liability of officers or directors of member banks of the Federal Reserve System, for violating or permitting violation of this section, see section 503 of Title 12, Banks and Banking. Secret Service, detection, arrest and delivery into custody of any person violating this section in so far as the Federal Deposit Insurance Corporation, Federal land banks, joint-stock land banks and national farm loan associations are concerned, see section 3056 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3056 of this title; title 12 section 503. ------DocID 24422 Document 664 of 1438------ -CITE- 18 USC Sec. 1910 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1910. Nepotism in appointment of receiver or trustee -STATUTE- Whoever, being a judge of any court of the United States, appoints as receiver, or trustee, any person related to such judge by consanguinity, or affinity, within the fourth degree - Shall be fined not more than $10,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 792.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 531 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Aug. 25, 1937, ch. 777, 50 Stat. 810). Minor changes were made in phraseology. ------DocID 24423 Document 665 of 1438------ -CITE- 18 USC Sec. 1911 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1911. Receiver mismanaging property -STATUTE- Whoever, being a receiver, trustee, or manager in possession of any property in any cause pending in any court of the United States, willfully fails to manage and operate such property according to the requirements of the valid laws of the State in which such property shall be situated, in the same manner that the owner or possessor thereof would be bound to do if in possession thereof, shall be fined not more than $3,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 792.) -MISC1- HISTORICAL AND REVISION NOTES Based upon section 124 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 65, 36 Stat. 1104). Word 'trustee' was inserted after 'receiver' so as to make it clear that persons holding such office are included in the enumeration of court officers who are subject to the provisions of this section. Changes were made in phraseology and arrangement, but without change of substance or meaning. Other provisions of section 124 of title 28, U.S.C., 1940 ed., were retained in that title. -CROSS- CROSS REFERENCES Bribery, generally, see section 201 et seq. of this title. Civil actions against trustees and receivers, see section 959 of Title 28, Judiciary and Judicial Procedure. Embezzlement, see section 645 of this title. Fee agreements, punishment, see section 155 of this title. Investigation of violation of laws, see section 3057 of this title. Management of property by trustees and receivers according to State laws, see section 959 of Title 28, Judiciary and Judicial Procedure. National banks, embezzlement or misapplication of funds, see section 656 of this title. ------DocID 24424 Document 666 of 1438------ -CITE- 18 USC Sec. 1912 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1912. Unauthorized fees for inspection of vessels -STATUTE- Whoever, being an officer, employee, or agent of the United States or any agency thereof, engaged in inspection of vessels, upon any pretense, receives any fee or reward for his services, except what is allowed to him by law, shall be fined not more than $500 or imprisoned not more than six months, or both; and shall forfeit his office. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 792.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 196 (Mar. 4, 1909, ch. 321, Sec. 107, 35 Stat. 1107). The phrase 'officer or employee of the United States or any agency thereof' was substituted for the phrase 'inspector of steamboats' in view of 1946 Reorganization Plan No. 3, eff. July 16, 1946, 11 F.R. 7875, 60 Stat. 1097, abolishing inspectors and transferring their functions to the Coast Guard. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Inspection of steam vessels, see section 3301 et seq. of Title 46, Shipping. ------DocID 24425 Document 667 of 1438------ -CITE- 18 USC Sec. 1913 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1913. Lobbying with appropriated moneys -STATUTE- No part of the money appropriated by any enactment of Congress shall, in the absence of express authorization by Congress, be used directly or indirectly to pay for any personal service, advertisement, telegram, telephone, letter, printed or written matter, or other device, intended or designed to influence in any manner a Member of Congress, to favor or oppose, by vote or otherwise, any legislation or appropriation by Congress, whether before or after the introduction of any bill or resolution proposing such legislation or appropriation; but this shall not prevent officers or employees of the United States or of its departments or agencies from communicating to Members of Congress on the request of any Member or to Congress, through the proper official channels, requests for legislation or appropriations which they deem necessary for the efficient conduct of the public business. Whoever, being an officer or employee of the United States or of any department or agency thereof, violates or attempts to violate this section, shall be fined not more than $500 or imprisoned not more than one year, or both; and after notice and hearing by the superior officer vested with the power of removing him, shall be removed from office or employment. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 792.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 201 (July 11, 1919, ch. 6, Sec. 6, 41 Stat. 68). Reference to 'department' and 'agency' was added in three instances after the words 'United States' to remove doubt as to the scope of the section. (See definitions of 'department' and 'agency' in section 6 of this title.) Reference to the offense as a misdemeanor was omitted as unnecessary in view of the definitive section 1 of this title. Words 'on conviction thereof' were omitted as surplusage since punishment can be imposed only after conviction. Minor changes were made in phraseology. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 5 section 3374; title 29 section 796i. ------DocID 24426 Document 668 of 1438------ -CITE- 18 USC Sec. 1914 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- (Sec. 1914. Repealed. Pub. L. 87-849, Sec. 2, Oct. 23, 1962, 76 Stat. 1126) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 793, related to salary of Government officials and employees payable only by United States. Section was supplanted by section 209 of this title. EFFECTIVE DATE OF REPEAL Repeal effective 90 days after Oct. 23, 1962, see section 4 of Pub. L. 87-849, set out as an Effective Date note under section 201 of this title. ------DocID 24427 Document 669 of 1438------ -CITE- 18 USC Sec. 1915 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1915. Compromise of customs liabilities -STATUTE- Whoever, being an officer of the United States, without lawful authority compromises or abates or attempts to compromise or abate any claim of the United States arising under the customs laws for any fine, penalty or forfeiture, or in any manner relieves or attempts to relieve any person, vessel, vehicle, merchandise or baggage therefrom, shall be fined not more than $5,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 793.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 1616 of title 19, U.S.C., 1940 ed., Customs Duties (June 17, 1930, ch. 497, title IV, Sec. 616, 46 Stat. 757). Designation of the offense as a felony was omitted as unnecessary in view of definitive section 1 of this title. (See reviser's note under section 550 of this title.) Words 'and upon conviction thereof' were also omitted as unnecessary, since punishment could not be imposed until after conviction. Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The customs laws, referred to in text, are classified generally to Title 19, Customs Duties. ------DocID 24428 Document 670 of 1438------ -CITE- 18 USC Sec. 1916 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1916. Unauthorized employment and disposition of lapsed appropriations -STATUTE- Whoever - (1) violates the provision of section 3103 of title 5 that an individual may be employed in the civil service in an Executive department at the seat of Government only for services actually rendered in connection with and for the purposes of the appropriation from which he is paid; or (2) violates the provision of section 5501 of title 5 that money accruing from lapsed salaries or from unused appropriations for salaries shall be covered into the Treasury of the United States; shall be fined not more than $1,000 or imprisoned not more than one year. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 608.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 47 (less so Aug. 23, 1912, ch. much as relates to 350, Sec. 5 (less removal). so much as relates to removal), 37 Stat. 414. 5 U.S.C. 50 (2d sentence, less so much as relates to removal). ------------------------------- The statement of the acts prohibited is supplied from section 4 of the Act of Aug. 5, 1882, ch. 389, 22 Stat. 255, as amended June 22, 1906, ch. 3514, Sec. 6, 8, 34 Stat. 449, and Sept. 23, 1950, ch. 1010, Sec. 7, 64 Stat. 986, which is codified in sections 3103 and 5501 of title 5, United States Code. The words 'upon conviction thereof' are omitted as unnecessary because punishment can be imposed only after conviction. ------DocID 24429 Document 671 of 1438------ -CITE- 18 USC Sec. 1917 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1917. Interference with civil service examinations -STATUTE- Whoever, being a member or employee of the United States Civil Service Commission or an individual in the public service, willfully and corruptly - (1) defeats, deceives, or obstructs an individual in respect of his right of examination according to the rules prescribed by the President under title 5 for the administration of the competitive service and the regulations prescribed by the Commission under section 1302(a) of title 5; (2) falsely marks, grades, estimates, or reports on the examination or proper standing of an individual examined; (3) makes a false representation concerning the mark, grade, estimate, or report on the examination or proper standing of an individual examined, or concerning the individual examined; or (4) furnishes to an individual any special or secret information for the purpose of improving or injuring the prospects or chances of an individual examined, or to be examined, being appointed, employed, or promoted; shall, for each offense, be fined not less than $100 nor more than $1,000 or imprisoned not less than ten days nor more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 609.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 637. Jan. 16, 1883, ch. 27, Sec. 5, 22 Stat. 405. ------------------------------- The section is rewritten to conform to the style of title 18. The words 'a member or employee of the United States Civil Service Commission' are coextensive with and substituted for 'Civil Service Commissioner, examiner, copyist, or messenger'. The references to actions in concert with others to violate this section are omitted in view of the crime of conspiracy contained in chapter 19 of title 18. In paragraph (1), the words 'the rules prescribed by the President under title 5 for the administration of the competitive service and the regulations prescribed by the Commission under section 1302(a) of title 5' are substituted for 'any such rules or regulations' to provide the basis of reference. The words 'be deemed guilty of a misdemeanor' are omitted as unnecessary in view of the definitive section 1 of this title. (See reviser's note under 18 U.S.C. 212, 1964 ed.) The words 'and upon conviction thereof' are omitted as unnecessary because punishment can be imposed only after conviction. The words 'or both' are substituted for 'or by both such fine and imprisonment'. -TRANS- TRANSFER OF FUNCTIONS Functions vested by statute in United States Civil Service Commission transferred to Director of Office of Personnel Management (except as otherwise specified) by Reorg. Plan No. 2 of 1978, Sec. 102, 43 F.R. 36037, 92 Stat. 3783, set out under section 1101 of Title 5, Government Organization and Employees, effective Jan. 1, 1979, as provided by section 1-102 of Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055, set out under section 1101 of Title 5. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 3622. ------DocID 24430 Document 672 of 1438------ -CITE- 18 USC Sec. 1918 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1918. Disloyalty and asserting the right to strike against the Government -STATUTE- Whoever violates the provision of section 7311 of title 5 that an individual may not accept or hold a position in the Government of the United States or the government of the District of Columbia if he - (1) advocates the overthrow of our constitutional form of government; (2) is a member of an organization that he knows advocates the overthrow of our constitutional form of government; (3) participates in a strike, or asserts the right to strike, against the Government of the United States or the government of the District of Columbia; or (4) is a member of an organization of employees of the Government of the United States or of individuals employed by the government of the District of Columbia that he knows asserts the right to strike against the Government of the United States or the government of the District of Columbia; shall be fined not more than $1,000 or imprisoned not more than one year and a day, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 609.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 118r. Aug. 9, 1955, ch. 690, Sec. 3, 69 Stat. 625. (Uncodified.) June 29, 1956, ch. 479, Sec. 3 (as applicable to the Act of Aug. 9, 1955, ch. 690, Sec. 3, 69 Stat. 625), 70 Stat. 453. ------------------------------- The section is rewritten to conform to the style of title 18. The statement of the acts prohibited is supplied from the Act of Aug. 9, 1955, ch. 690, Sec. 1, 69 Stat. 624, which is codified in section 7311 of title 5, United States Code. The words 'From and after July 1, 1956', appearing in the Act of June 29, 1956, are omitted as executed. The words 'shall be guilty of a felony' are omitted as unnecessary in view of the definitive section 1 of this title. (See reviser's note under section 550 of this title.) ------DocID 24431 Document 673 of 1438------ -CITE- 18 USC Sec. 1919 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1919. False statement to obtain unemployment compensation for Federal service -STATUTE- Whoever makes a false statement or representation of a material fact knowing it to be false, or knowingly fails to disclose a material fact, to obtain or increase for himself or for any other individual any payment authorized to be paid under chapter 85 of title 5 or under an agreement thereunder, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 609.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 42 U.S.C. 1368(a). Sept. 1, 1954, ch. 1212, Sec. 4(a) 'Sec. 1508(a)', 68 Stat. 1135. ------------------------------- The words 'under chapter 85 of title 5' are substituted for 'under this title' (Title XV of the Social Security Act, as amended) to reflect the codification of the Title in title 5, United States Code. ------DocID 24432 Document 674 of 1438------ -CITE- 18 USC Sec. 1920 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1920. False statement to obtain Federal employees' compensation -STATUTE- Whoever makes, in an affidavit or report required by section 8106 of title 5 or in a claim for compensation under subchapter I of chapter 81 of title 5, a statement, knowing it to be false, is guilty of perjury and shall be fined not more than $2,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 610.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 789. Sept. 7, 1916, ch. 458, Sec. 39, 39 Stat. 749. Oct. 14, 1949, ch. 691, Sec. 103(b), 63 Stat. 855. ------------------------------- The word 'That' in the Act of Sept. 7, 1916, is omitted as unnecessary. The words 'under section 8106 of title 5' are substituted for 'under section 754 of this title' to reflect the codification of the section in title 5, United States Code. The words 'a claim for compensation under subchapter I of chapter 81 of title 5' are substituted for 'any claim for compensation' for clarity. The words 'or both' are substituted for 'or by both such fine and imprisonment'. Minor changes in phraseology are made to conform to the style of title 18. ------DocID 24433 Document 675 of 1438------ -CITE- 18 USC Sec. 1921 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1921. Receiving Federal employees' compensation after marriage -STATUTE- Whoever, being entitled to compensation under sections 8107-8113 and 8133 of title 5 and whose compensation by the terms of those sections stops or is reduced on his marriage or on the marriage of his dependent, accepts after such marriage any compensation or payment to which he is not entitled shall be fined not more than $2,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 610.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 760(L). Sept. 7, 1916, ch. 458, Sec. 10(L) 39 Stat. 745. Oct. 14, 1949, ch. 691, Sec. 106(e), 63 Stat. 860. ------------------------------- The word 'Whoever' is substituted for 'If any person' to conform to the style of title 18. The words 'under sections 8107-8113 and 8133 of title 55' are substituted for 'under this section or section 755 or 756 of this title' to reflect the codification of the sections in title 5, United States Code. The words 'or both' are substituted for 'or by both such fine and imprisonment'. ------DocID 24434 Document 676 of 1438------ -CITE- 18 USC Sec. 1922 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1922. False or withheld report concerning Federal employees' compensation -STATUTE- Whoever, being an officer or employee of the United States charged with the responsibility for making the reports of the immediate superior specified by section 8120 of title 5, willfully fails, neglects, or refuses to make any of the reports, or knowingly files a false report, or induces, compels, or directs an injured employee to forego filing of any claim for compensation or other benefits provided under subchapter I of chapter 81 of title 5 or any extension or application thereof, or willfully retains any notice, report, claim, or paper which is required to be filed under that subchapter or any extension or application thereof, or regulations prescribed thereunder, shall be fined not more than $500 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 610.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 774(b). Sept. 13, 1960, Pub. L. 86-767, Sec. 206, 74 Stat. 908. ------------------------------- The words 'the reports of the immediate superior specified in section 8120 of title 5' are substituted for 'the reports specified in subsection (a) of this section' to reflect the codification of that subsection in title 5, United States Code. The words 'subchapter I of chapter 81 of title 5' and 'that subchapter' are substituted for 'sections 751-756, 757-781, 783-791, and 793 of this title' and 'said sections', respectively, to reflect the codification of the sections in title 5, United States Code. The words 'shall be guilty of a misdemeanor' are omitted as unnecessary in view of the definitive section 1 of this title. (See reviser's note under 18 U.S.C. 212, 1964 ed.) The words 'and upon conviction thereof' are omitted as unnecessary because punishment can be imposed only after conviction. ------DocID 24435 Document 677 of 1438------ -CITE- 18 USC Sec. 1923 -EXPCITE- TITLE 18 PART I CHAPTER 93 -HEAD- Sec. 1923. Fraudulent receipt of payments of missing persons -STATUTE- Whoever obtains or receives any money, check, or allotment under - (1) subchapter VII of chapter 55 of title 5; or (2) chapter 10 of title 37; without being entitled thereto, with intent to defraud, shall be fined not more than $2,000 or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 89-554, Sec. 3(d), Sept. 6, 1966, 80 Stat. 610.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 50A U.S.C. 1008. Mar. 7, 1942, ch. 166, Sec. 8, 56 Stat. 145. ------------------------------- Clauses (1) and (2) are substituted for the words 'under this Act' to reflect the codification of the Act. The portion of the Act which is applicable to civilian officers and employees and their dependents is codified in subchapter VII of chapter 55 of title 5, United States Code. The portion of the Act which is applicable to members of the uniformed services and their dependents is codified in chapter 10 of title 37, United States Code. ------DocID 24436 Document 678 of 1438------ -CITE- 18 USC CHAPTER 95 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- CHAPTER 95 - RACKETEERING -MISC1- Sec. 1951. Interference with commerce by threats or violence. 1952. Interstate and foreign travel or transportation in aid of racketeering enterprises. 1953. Interstate transportation of wagering paraphernalia. 1954. Offer, acceptance, or solicitation to influence operations of employee benefit plan. 1955. Prohibition of illegal gambling businesses. 1956. Laundering of monetary instruments. 1957. Engaging in monetary transactions in property derived from specified unlawful activity. 1958. Use of interstate commerce facilities in the commission of murder-for-hire. 1959. Violent crimes in aid of racketeering activity. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7053(c), Nov. 18, 1988, 102 Stat. 4402, redesignated items 1952A and 1952B as 1958 and 1959, respectively, and transferred them to the end of the table of sections. 1986 - Pub. L. 99-570, title I, Sec. 1352(b), Oct. 27, 1986, 100 Stat. 3207-21, added items 1956 and 1957. 1984 - Pub. L. 98-473, title II, Sec. 1002(b), Oct. 12, 1984, 98 Stat. 2137, added items 1952A and 1952B. 1970 - Pub. L. 91-452, title VIII, Sec. 803(b), Oct. 15, 1970, 84 Stat. 938, added item 1955. 1962 - Pub. L. 87-420, Sec. 17(f), Mar. 20, 1962, 76 Stat. 43, added item 1954. 1961 - Pub. L. 87-228, Sec. 1(b), Sept. 13, 1961, 75 Stat. 499, added item 1952. Pub. L. 87-218, Sec. 1, Sept. 13, 1961, 75 Stat. 492, added item 1953. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3582 of this title; title 7 section 12a. ------DocID 24437 Document 679 of 1438------ -CITE- 18 USC Sec. 1951 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1951. Interference with commerce by threats or violence -STATUTE- (a) Whoever in any way or degree obstructs, delays, or affects commerce or the movement of any article or commodity in commerce, by robbery or extortion or attempts or conspires so to do, or commits or threatens physical violence to any person or property in furtherance of a plan or purpose to do anything in violation of this section shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. (b) As used in this section - (1) The term 'robbery' means the unlawful taking or obtaining of personal property from the person or in the presence of another, against his will, by means of actual or threatened force, or violence, or fear of injury, immediate or future, to his person or property, or property in his custody or possession, or the person or property of a relative or member of his family or of anyone in his company at the time of the taking or obtaining. (2) The term 'extortion' means the obtaining of property from another, with his consent, induced by wrongful use of actual or threatened force, violence, or fear, or under color of official right. (3) The term 'commerce' means commerce within the District of Columbia, or any Territory or Possession of the United States; all commerce between any point in a State, Territory, Possession, or the District of Columbia and any point outside thereof; all commerce between points within the same State through any place outside such State; and all other commerce over which the United States has jurisdiction. (c) This section shall not be construed to repeal, modify or affect section 17 of Title 15, sections 52, 101-115, 151-166 of Title 29 or sections 151-188 of Title 45. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 793.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 420a-420e-1 (June 18, 1934, ch. 569, Sec. 1-6, 48 Stat. 979, 980; July 3, 1946, ch. 537, 60 Stat. 420). Section consolidates sections 420a to 420e-1 of Title 18, U.S.C., 1940 ed., with changes in phraseology and arrangement necessary to effect consolidation. Provisions designating offense as felony were omitted as unnecessary in view of definitive section 1 of this title. (See reviser's note under section 550 of this title.) Subsection (c) of the revised section is derived from title II of the 1946 amendment. It substitutes references to specific sections of the United States Code, 1940 ed., in place of references to numerous acts of Congress, in conformity to the style of the revision bill. Subsection (c) as rephrased will preclude any construction of implied repeal of the specified acts of Congress codified in the sections enumerated. The words 'attempts or conspires so to do' were substituted for sections 3 and 4 of the 1946 act, omitting as unnecessary the words 'participates in an attempt' and the words 'or acts in concert with another or with others', in view of section 2 of this title which makes any person who participates in an unlawful enterprise or aids or assists the principal offender, or does anything towards the accomplishment of the crime, a principal himself. Words 'shall, upon conviction thereof,' were omitted as surplusage, since punishment cannot be imposed until a conviction is secured. -REFTEXT- REFERENCES IN TEXT Sections 101-115 of Title 29, referred to in subsec. (c), is a reference to act Mar. 23, 1932, ch. 90, 47 Stat. 70, popularly known as the Norris-LaGuardia Act. For complete classification of this Act to the Code, see Short Title note set out under section 101 of Title 29, Labor, and Tables. Section 11 of that act, formerly classified to section 111 of Title 29, was repealed and reenacted as section 3692 of this title by act June 25, 1948, ch. 645, Sec. 21, 62 Stat. 862, eff. Sept. 1, 1948. Section 12 of that act, formerly classified to section 112 of Title 29, was repealed by act June 25, 1948, and is covered by rule 42(b) of the Federal Rules of Criminal Procedure, set out in Appendix to this title. Section 164 of Title 45, included within the reference in subsec. (c) to sections 151-188 of Title 45, was repealed by act Oct. 10, 1940, ch. 851, Sec. 4, 54 Stat. 1111. See section 5 of Title 41, Public Contracts. Section 186 of Title 45, included within the reference in subsec. (c) to sections 151-188 of Title 45, was omitted from the Code. -MISC2- SHORT TITLE This section is popularly known as the 'Hobbs Act'. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title; title 29 section 1111. ------DocID 24438 Document 680 of 1438------ -CITE- 18 USC Sec. 1952 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1952. Interstate and foreign travel or transportation in aid of racketeering enterprises -STATUTE- (a) Whoever travels in interstate or foreign commerce or uses the mail or any facility in interstate or foreign commerce, with intent to - (1) distribute the proceeds of any unlawful activity; or (2) commit any crime of violence to further any unlawful activity; or (3) otherwise promote, manage, establish, carry on, or facilitate the promotion, management, establishment, or carrying on, of any unlawful activity, and thereafter performs or attempts to perform any of the acts specified in subparagraphs (1), (2), and (3), shall be fined not more than $10,000 or imprisoned for not more than five years, or both. (b) As used in this section (i) 'unlawful activity' means (1) any business enterprise involving gambling, liquor on which the Federal excise tax has not been paid, narcotics or controlled substances (as defined in section 102(6) of the Controlled Substances Act), or prostitution offenses in violation of the laws of the State in which they are committed or of the United States, (2) extortion, bribery, or arson in violation of the laws of the State in which committed or of the United States, or (3) any act which is indictable under subchapter II of chapter 53 of title 31, United States Code, or under section 1956 or 1957 of this title and (ii) the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. (c) Investigations of violations under this section involving liquor shall be conducted under the supervison of the Secretary of the Treasury. -SOURCE- (Added Pub. L. 87-228, Sec. 1(a), Sept. 13, 1961, 75 Stat. 498, and amended Pub. L. 89-68, July 7, 1965, 79 Stat. 212; Pub. L. 91-513, title II, Sec. 701(i)(2), Oct. 27, 1970, 84 Stat. 1282; Pub. L. 99-570, title I, Sec. 1365(a), Oct. 27, 1986, 100 Stat. 3207-35; Pub. L. 101-647, title XII, Sec. 1205(i), title XVI, Sec. 1604, Nov. 29, 1990, 104 Stat. 4831, 4843.) -REFTEXT- REFERENCES IN TEXT Section 102(6) of the Controlled Substances Act, referred to in subsec. (b)(i)(1), is classified to section 802(6) of Title 21, Food and Drugs. -MISC2- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 1604, inserted 'the mail or' after 'uses' and struck out 'including the mail,' before 'with intent' in introductory provisions. Subsec. (b). Pub. L. 101-647, Sec. 1205(i), inserted '(i)' after 'As used in this section' and added cl. (ii). 1986 - Subsec. (b)(3). Pub. L. 99-570 added cl. (3). 1970 - Subsec. (b)(1). Pub. L. 91-513, Sec. 701(i)(2)(A), inserted 'or controlled substances (as defined in section 102(6) of the Controlled Substances Act)'. Subsec. (c). Pub. L. 91-513, Sec. 701(i)(2)(B), struck out reference to investigations involving narcotics. 1965 - Subsec. (b)(2). Pub. L. 89-68 made section applicable to travel in aid of arson. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-513 effective on first day of seventh calendar month that begins after Oct. 26, 1970, see section 704 of Pub. L. 91-513, set out as an Effective Date note under section 801 of Title 21, Food and Drugs. SAVINGS PROVISION Amendment by Pub. L. 91-513 not to affect or abate any prosecutions for any violation of law or any civil seizures or forfeitures and injunctive proceedings commenced prior to the effective date of such amendment, and all administrative proceedings pending before the former Bureau of Narcotics and Dangerous Drugs on Oct. 27, 1970, were to be continued and brought to final determination in accord with laws and regulations in effect prior to Oct. 27, 1970, see section 702 of Pub. L. 91-513, set out as a Savings Provision note under section 321 of Title 21, Food and Drugs. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24439 Document 681 of 1438------ -CITE- 18 USC Sec. 1952A -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- (Sec. 1952A. Renumbered Sec. 1958) ------DocID 24440 Document 682 of 1438------ -CITE- 18 USC Sec. 1952B -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- (Sec. 1952B. Renumbered Sec. 1959) ------DocID 24441 Document 683 of 1438------ -CITE- 18 USC Sec. 1953 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1953. Interstate transportation of wagering paraphernalia -STATUTE- (a) Whoever, except a common carrier in the usual course of its business, knowingly carries or sends in interstate or foreign commerce any record, paraphernalia, ticket, certificate, bills, slip, token, paper, writing, or other device used, or to be used, or adapted, devised, or designed for use in (a) bookmaking; or (b) wagering pools with respect to a sporting event; or (c) in a numbers, policy, bolita, or similar game shall be fined not more than $10,000 or imprisoned for not more than five years or both. (b) This section shall not apply to (1) parimutuel betting equipment, parimutuel tickets where legally acquired, or parimutuel materials used or designed for use at racetracks or other sporting events in connection with which betting is legal under applicable State law, or (2) the transportation of betting materials to be used in the placing of bets or wagers on a sporting event into a State in which such betting is legal under the statutes of that State, or (3) the carriage or transportation in interstate or foreign commerce of any newspaper or similar publication, or (4) equipment, tickets, or materials used or designed for use within a State in a lottery conducted by that State acting under authority of State law, or (5) the transportation in foreign commerce to a destination in a foreign country of equipment, tickets, or materials designed to be used within that foreign country in a lottery which is authorized by the laws of that foreign country. (c) Nothing contained in this section shall create immunity from criminal prosecution under any laws of any State, Commonwealth of Puerto Rico, territory, possession, or the District of Columbia. (d) For the purposes of this section (1) 'State' means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any territory or possession of the United States; and (2) 'foreign country' means any empire, country, dominion, colony, or protectorate, or any subdivision thereof (other than the United States, its territories or possessions). (e) For the purposes of this section 'lottery' means the pooling of proceeds derived from the sale of tickets or chances and allotting those proceeds or parts thereof by chance to one or more chance takers or ticket purchasers. 'Lottery' does not include the placing or accepting of bets or wagers on sporting events or contests. -SOURCE- (Added Pub. L. 87-218, Sec. 1, Sept. 13, 1961, 75 Stat. 492, and amended Pub. L. 93-583, Sec. 3, Jan. 2, 1975, 88 Stat. 1916; Pub. L. 96-90, Sec. 2, Oct. 23, 1979, 93 Stat. 698.) -MISC1- AMENDMENTS 1979 - Subsec. (b)(5). Pub. L. 96-90, Sec. 2(1), added cl. (5). Subsecs. (d), (e). Pub. L. 96-90, Sec. 2(2), added subsecs. (d) and (e). 1975 - Subsec. (b)(4). Pub. L. 93-583 added cl. (4). -CROSS- CROSS REFERENCES Mailing lottery tickets or related matter, see section 1302 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1302, 1961 of this title. ------DocID 24442 Document 684 of 1438------ -CITE- 18 USC Sec. 1954 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1954. Offer, acceptance, or solicitation to influence operations of employee benefit plan -STATUTE- Whoever being - (1) an administrator, officer, trustee, custodian, counsel, agent, or employee of any employee welfare benefit plan or employee pension benefit plan; or (2) an officer, counsel, agent, or employee of an employer or an employer any of whose employees are covered by such plan; or (3) an officer, counsel, agent, or employee of an employee organization any of whose members are covered by such plan; or (4) a person who, or an officer, counsel, agent, or employee of an organization which, provides benefit plan services to such plan receives or agrees to receive or solicits any fee, kickback, commission, gift, loan, money, or thing of value because of or with intent to be influenced with respect to, any of the actions, decisions, or other duties relating to any question or matter concerning such plan or any person who directly or indirectly gives or offers, or promises to give or offer, any fee, kickback, commission, gift, loan, money, or thing of value prohibited by this section, shall be fined not more than $10,000 or imprisoned not more than three years, or both: Provided, That this section shall not prohibit the payment to or acceptance by any person of bona fide salary, compensation, or other payments made for goods or facilities actually furnished or for services actually performed in the regular course of his duties as such person, administrator, officer, trustee, custodian, counsel, agent, or employee of such plan, employer, employee organization, or organization providing benefit plan services to such plan. As used in this section, the term (a) 'any employee welfare benefit plan' or 'employee pension benefit plan' means any employee welfare benefit plan or employee pension benefit plan, respectively, subject to any provision of title I of the Employee Retirement Income Security Act of 1974, and (b) 'employee organization' and 'administrator' as defined respectively in sections 3(4) and (3)(16) of the Employee Retirement Income Security Act of 1974. -SOURCE- (Added Pub. L. 87-420, Sec. 17(e), Mar. 20, 1962, 76 Stat. 42, and amended Pub. L. 91-452, title II, Sec. 225, Oct. 15, 1970, 84 Stat. 930; Pub. L. 93-406, title I, Sec. 111(a)(2)(C), Sept. 2, 1974, 88 Stat. 852.) -REFTEXT- REFERENCES IN TEXT The Employee Retirement Income Security Act of 1974, referred to in text, is Pub. L. 93-406, Sept. 2, 1974, 88 Stat. 832, as amended. Title I of the Employee Retirement Income Security Act of 1974, referred to in text, is classified generally to subchapter I (Sec. 1001 et seq.) of chapter 18 of Title 29, Labor. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of Title 29 and Tables. Section 3(4) of the Employee Retirement Income Security Act of 1974, referred to in text, is classified to section 1002(4) of Title 29. Section (3)(16) of the Employee Retirement Income Security Act of 1974, referred to in text, probably means section 3(16) of the Employee Retirement Income Security Act of 1974, which is classified to section 1002(16) of Title 29. -MISC2- AMENDMENTS 1974 - Pub. L. 93-406 substituted 'any employee welfare benefit plan or employee pension benefit plan, respectively, subject to any provision of title I of the Employee Retirement Income Security Act of 1974' for 'any such plan subject to the provisions of the Welfare and Pension Plans Disclosure Act, as amended' and 'sections 3(4) and (3)(16) of the Employee Retirement Income Security Act of 1974' for 'sections 3(3) and 5(b)(1) and (2) of the Welfare and Pension Plans Disclosure Act, as amended'. 1970 - Pub. L. 91-452 struck out letter designation '(a)' preceding first sentence and struck out subsec. (b) which related to the immunity from prosecution of any witness compelled to testify or produce evidence after claiming his privilege against self-incrimination. See section 6001 et seq. of this title. EFFECTIVE DATE OF 1974 AMENDMENT Amendment by Pub. L. 93-406 effective Jan. 1, 1975, except as provided in section 1031(b)(2) of Title 29, Labor, see section 1031 of Title 29. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-452 effective on sixtieth day following Oct. 15, 1970, and not to affect any immunity to which any individual is entitled under this section by reason of any testimony given before sixtieth day following Oct. 15, 1970, see section 260 of Pub. L. 91-452, set out as an Effective Date; Savings Provision note under sections 6001 of this title. EFFECTIVE DATE Section effective 90 days after Mar. 20, 1962, see section 19 of Pub. L. 87-420, set out as a note under section 664 of this title. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title; title 29 sections 1031, 1111. ------DocID 24443 Document 685 of 1438------ -CITE- 18 USC Sec. 1955 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1955. Prohibition of illegal gambling businesses -STATUTE- (a) Whoever conducts, finances, manages, supervises, directs, or owns all or part of an illegal gambling business shall be fined not more than $20,000 or imprisoned not more than five years, or both. (b) As used in this section - (1) 'illegal gambling business' means a gambling business which - (i) is a violation of the law of a State or political subdivision in which it is conducted; (ii) involves five or more persons who conduct, finance, manage, supervise, direct, or own all or part of such business; and (iii) has been or remains in substantially continuous operation for a period in excess of thirty days or has a gross revenue of $2,000 in any single day. (2) 'gambling' includes but is not limited to pool-selling, bookmaking, maintaining slot machines, roulette wheels or dice tables, and conducting lotteries, policy, bolita or numbers games, or selling chances therein. (3) 'State' means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any territory or possession of the United States. (c) If five or more persons conduct, finance, manage, supervise, direct, or own all or part of a gambling business and such business operates for two or more successive days, then, for the purpose of obtaining warrants for arrests, interceptions, and other searches and seizures, probable cause that the business receives gross revenue in excess of $2,000 in any single day shall be deemed to have been established. (d) Any property, including money, used in violation of the provisions of this section may be seized and forfeited to the United States. All provisions of law relating to the seizures, summary, and judicial forfeiture procedures, and condemnation of vessels, vehicles, merchandise, and baggage for violation of the customs laws; the disposition of such vessels, vehicles, merchandise, and baggage or the proceeds from such sale; the remission or mitigation of such forfeitures; and the compromise of claims and the award of compensation to informers in respect of such forfeitures shall apply to seizures and forfeitures incurred or alleged to have been incurred under the provisions of this section, insofar as applicable and not inconsistent with such provisions. Such duties as are imposed upon the collector of customs or any other person in respect to the seizure and forfeiture of vessels, vehicles, merchandise, and baggage under the customs laws shall be performed with respect to seizures and forfeitures of property used or intended for use in violation of this section by such officers, agents, or other persons as may be designated for that purpose by the Attorney General. (e) This section shall not apply to any bingo game, lottery, or similar game of chance conducted by an organization exempt from tax under paragraph (3) of subsection (c) of section 501 of the Internal Revenue Code of 1986, as amended, if no part of the gross receipts derived from such activity inures to the benefits of any private shareholder, member, or employee of such organization except as compensation for actual expenses incurred by him in the conduct of such activity. -SOURCE- (Added Pub. L. 91-452, title VIII, Sec. 803(a), Oct. 15, 1970, 84 Stat. 937, and amended Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.) -REFTEXT- REFERENCES IN TEXT The customs laws, referred to in subsec. (d), are classified generally to Title 19, Customs Duties. Paragraph (3) of subsection (c) of section 501 of the Internal Revenue Code of 1986, referred to in subsec. (e), is classified to section 501(c)(3) of Title 26, Internal Revenue Code. -MISC2- AMENDMENTS 1986 - Subsec. (e). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. -TRANS- TRANSFER OF FUNCTIONS Offices of collector of customs, comptroller of customs, surveyor of customs, and appraiser of merchandise in Bureau of Customs of Department of the Treasury to which appointments were required to be made by President with advice and consent of Senate ordered abolished, with such offices to be terminated not later than Dec. 31, 1966, by Reorg. Plan No. 1 of 1965, eff. May 25, 1965, 30 F.R. 7035, 79 Stat. 1317, set out in the Appendix to Title 5, Government Organization and Employees. Functions of offices eliminated were already vested in Secretary of the Treasury by Reorg. Plan No. 26 of 1950, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5. -MISC5- PRIORITY OF STATE LAWS Enactment of this section as not indicating an intent on the part of the Congress to occupy the field in which this section operates to the exclusion of State of local law on the same subject matter, or to relieve any person of any obligation imposed by any State or local law, see section 811 of Pub. L. 91-452, set out as a Priority of State Laws note under section 1511 of this title. COMMISSION ON REVIEW OF NATIONAL POLICY TOWARD GAMBLING Sections 804-809 of Pub. L. 91-452 established Commission on Review of National Policy Toward Gambling, provided for its membership and compensation of members and staff, empowered Commission to subpoena witnesses and grant immunity, required Commission to make a study of gambling in United States and existing Federal, State, and local policy and practices with respect to prohibition and taxation of gambling activities and to make a final report of its findings and recommendations to President and to Congress within four years of its establishment, and provided for its termination sixty days after submission of final report. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24444 Document 686 of 1438------ -CITE- 18 USC Sec. 1956 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1956. Laundering of monetary instruments -STATUTE- (a)(1) Whoever, knowing that the property involved in a financial transaction represents the proceeds of some form of unlawful activity, conducts or attempts to conduct such a financial transaction which in fact involves the proceeds of specified unlawful activity - (A)(i) with the intent to promote the carrying on of specified unlawful activity; or (ii) with intent to engage in conduct constituting a violation of section 7201 or 7206 of the Internal Revenue Code of 1986; or (B) knowing that the transaction is designed in whole or in part - (i) to conceal or disguise the nature, the location, the source, the ownership, or the control of the proceeds of specified unlawful activity; or (ii) to avoid a transaction reporting requirement under State or Federal law, shall be sentenced to a fine of not more than $500,000 or twice the value of the property involved in the transaction, whichever is greater, or imprisonment for not more than twenty years, or both. (2) Whoever transports, transmits, or transfers, or attempts to transport, transmit, or transfer a monetary instrument or funds from a place in the United States to or through a place outside the United States or to a place in the United States from or through a place outside the United States - (A) with the intent to promote the carrying on of specified unlawful activity; or (B) knowing that the monetary instrument or funds involved in the transportation represent the proceeds of some form of unlawful activity and knowing that such transportation is designed in whole or in part - (i) to conceal or disguise the nature, the location, the source, the ownership, or the control of the proceeds of specified unlawful activity; or (ii) to avoid a transaction reporting requirement under State or Federal law, shall be sentenced to a fine of $500,000 or twice the value of the monetary instrument or funds involved in the transportation, whichever is greater, or imprisonment for not more than twenty years, or both. For the purpose of the offense described in subparagraph (B), the defendant's knowledge may be established by proof that a law enforcement officer represented the matter specified in subparagraph (B) as true, and the defendant's subsequent statements or actions indicate that the defendant believed such representations to be true. (3) Whoever, with the intent - (A) to promote the carrying on of specified unlawful activity; (B) to conceal or disguise the nature, location, source, ownership, or control of property believed to be the proceeds of specified unlawful activity; or (C) to avoid a transaction reporting requirement under State or Federal law, conducts or attempts to conduct a financial transaction involving property represented by a law enforcement officer to be the proceeds of specified unlawful activity, or property used to conduct or facilitate specified unlawful activity, shall be fined under this title or imprisoned for not more than 20 years, or both. For purposes of this paragraph and paragraph (2), the term 'represented' means any representation made by a law enforcement officer or by another person at the direction of, or with the approval of, a Federal official authorized to investigate or prosecute violations of this section. (b) Whoever conducts or attempts to conduct a transaction described in subsection (a)(1), or a transportation described in subsection (a)(2), is liable to the United States for a civil penalty of not more than the greater of - (1) the value of the property, funds, or monetary instruments involved in the transaction; or (2) $10,000. (c) As used in this section - (1) the term 'knowing that the property involved in a financial transaction represents the proceeds of some form of unlawful activity' means that the person knew the property involved in the transaction represented proceeds from some form, though not necessarily which form, of activity that constitutes a felony under State, Federal, or foreign law, regardless of whether or not such activity is specified in paragraph (7); (2) the term 'conducts' includes initiating, concluding, or participating in initiating, or concluding a transaction; (3) the term 'transaction' includes a purchase, sale, loan, pledge, gift, transfer, delivery, or other disposition, and with respect to a financial institution includes a deposit, withdrawal, transfer between accounts, exchange of currency, loan, extension of credit, purchase or sale of any stock, bond, certificate of deposit, or other monetary instrument, or any other payment, transfer, or delivery by, through, or to a financial institution, by whatever means effected; (4) the term 'financial transaction' means (A) a transaction (i) involving the movement of funds by wire or other means or (ii) involving one or more monetary instruments, which in any way or degree affects interstate or foreign commerce, or (B) a transaction involving the use of a financial institution which is engaged in, or the activities of which affect, interstate or foreign commerce in any way or degree; (5) the term 'monetary instruments' means (i) coin or currency of the United States or of any other country, travelers' checks, personal checks, bank checks, and money orders, or (ii) investment securities or negotiable instruments, in bearer form or otherwise in such form that title thereto passes upon delivery; (6) the term 'financial institution' has the definition given that term in section 5312(a)(2) of title 31, United States Code, and the regulations promulgated thereunder; (7) the term 'specified unlawful activity' means - (A) any act or activity constituting an offense listed in section 1961(1) of this title except an act which is indictable under subchapter II of chapter 53 of title 31; (B) with respect to a financial transaction occurring in whole or in part in the United States, an offense against a foreign nation involving the manufacture, importation, sale, or distribution of a controlled substance (as such term is defined for the purposes of the Controlled Substances Act); (C) any act or acts constituting a continuing criminal enterprise, as that term is defined in section 408 of the Controlled Substances Act (21 U.S.C. 848); (D) an offense under section 152 (relating to concealment of assets; false oaths and claims; bribery), section 215 (relating to commissions or gifts for procuring loans), any of sections 500 through 503 (relating to certain counterfeiting offenses), section 513 (relating to securities of States and private entities), section 542 (relating to entry of goods by means of false statements), section 545 (relating to smuggling goods into the United States), section 549 (relating to removing goods from Customs custody), section 641 (relating to public money, property, or records), section 656 (relating to theft, embezzlement, or misapplication by bank officer or employee), section 657 (relating to lending, credit, and insurance institutions), section 658 (relating to property mortgaged or pledged to farm credit agencies), section 666 (relating to theft or bribery concerning programs receiving Federal funds), section 793, 794, or 798 (relating to espionage), section 875 (relating to interstate communications), section 1005 (relating to fraudulent bank entries), 1006 (relating to fraudulent Federal credit institution entries), 1007 (relating to Federal Deposit Insurance transactions), 1014 (relating to fraudulent loan or credit applications), 1032 (relating to concealment of assets from conservator, receiver, or liquidating agent of financial institution), section 1201 (relating to kidnaping), section 1203 (relating to hostage taking), section 1341 (relating to mail fraud) or section 1343 (relating to wire fraud) affecting a financial institution, section 1344 (relating to bank fraud), section 2113 or 2114 (relating to bank and postal robbery and theft), or section 2319 (relating to copyright infringement) of this title, a felony violation of the Chemical Diversion and Trafficking Act of 1988 (relating to precursor and essential chemicals), section 590 of the Tariff Act of 1930 (19 U.S.C. 1590) (relating to aviation smuggling), section 1822 of the Mail Order Drug Paraphernalia Control Act (100 Stat. 3207-51; 21 U.S.C. 857) (relating to transportation of drug paraphernalia), section 38(c) (relating to criminal violations) of the Arms Export Control Act, section 11 (relating to violations) of the Export Administration Act of 1979, section 206 (relating to penalties) of the International Emergency Economic Powers Act, or section 16 (relating to offenses and punishment) of the Trading with the Enemy Act; or ENVIRONMENTAL CRIMES (E) a felony violation of the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.), the Ocean Dumping Act (33 U.S.C. 1401 et seq.), the Act to Prevent Pollution from Ships (33 U.S.C. 1901 et seq.), the Safe Drinking Water Act (42 U.S.C. 300f et seq.), or the Resources Conservation and Recovery Act (42 U.S.C. 6901 et seq.).. (FOOTNOTE 1) (FOOTNOTE 1) So in original. (8) the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. (d) Nothing in this section shall supersede any provision of Federal, State, or other law imposing criminal penalties or affording civil remedies in addition to those provided for in this section. (e) Violations of this section may be investigated by such components of the Department of Justice as the Attorney General may direct, and by such components of the Department of the Treasury as the Secretary of the Treasury may direct, as appropriate and, with respect to offenses over which the United States Postal Service has jurisdiction, by the Postal Service. Such authority of the Secretary of the Treasury and the Postal Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury, the Postal Service, and the Attorney General. Violations of this section involving offenses described in paragraph (c)(7)(E) may be investigated by such components of the Department of Justice as the Attorney General may direct, and the National Enforcement Investigations Center of the Evironmental Protection Agency. (f) There is extraterritorial jurisdiction over the conduct prohibited by this section if - (1) the conduct is by a United States citizen or, in the case of a non-United States citizen, the conduct occurs in part in the United States; and (2) the transaction or series of related transactions involves funds or monetary instruments of a value exceeding $10,000. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1352(a), Oct. 27, 1986, 100 Stat. 3207-18, and amended Pub. L. 100-690, title VI, Sec. 6183, 6465, 6466, 6469(a)(1), 6471(a), (b), title VII, Sec. 7031, Nov. 18, 1988, 102 Stat. 4354, 4375, 4377, 4378, 4398; Pub. L. 101-647, title I, Sec. 105-108, title XII, Sec. 1205(j), title XIV, Sec. 1402, 1404, title XXV, Sec. 2506, title XXXV, Sec. 3557, Nov. 29, 1990, 104 Stat. 4791, 4792, 4831, 4835, 4862, 4927.) -REFTEXT- REFERENCES IN TEXT Sections 7201 and 7206 of the Internal Revenue Code of 1986, referred to in subsec. (a)(1)(A)(ii), are classified, respectively, to sections 7201 and 7206 of Title 26, Internal Revenue Code. The Controlled Substances Act, referred to in subsec. (c)(7)(B), is title II of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1242, as amended, which is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. The Chemical Diversion and Trafficking Act of 1988, referred to in subsec. (c)(7)(D), is subtitle A (Sec. 6051-6061) of title VI of Pub. L. 100-690, Nov. 18, 1988, 102 Stat. 4312. For complete classification of subtitle A to the Code, see Short Title of 1988 Amendment note set out under section 801 of Title 21 and Tables. Section 38(c) of the Arms Export Control Act, referred to in subsec. (c)(7)(D), is classified to section 2778(c) of Title 22, Foreign Relations and Intercourse. Section 11 of the Export Administration Act of 1979, referred to in subsec. (c)(7)(D), is classified to section 2410 of Title 50, Appendix, War and National Defense. Section 206 of the International Emergency Economic Powers Act, referred to in subsec. (c)(7)(D), is classified to section 1705 of Title 50. Section 16 of the Trading with the Enemy Act, referred to in subsec. (c)(7)(D), is classified to section 16 of Title 50, Appendix. The Federal Water Pollution Control Act, referred to in subsec. (c)(7)(E), is act June 30, 1948, ch. 758, as amended generally by Pub. L. 92-500, Sec. 2, Oct. 18, 1972, 86 Stat. 816, which is classified generally to chapter 26 (Sec. 1251 et seq.) of Title 33, Navigation and Navigable Waters. For complete classification of this Act to the Code, see Short Title note set out under section 1251 of Title 33 and Tables. The Ocean Dumping Act, referred to in subsec. (c)(7)(E), also known as the Marine Protection, Research, and Sanctuaries Act of 1972, is Pub. L. 92-532, Oct. 23, 1972, 86 Stat. 1052, as amended, which is classified principally to chapter 27 (Sec. 1401 et seq.) of Title 33. For complete classification of this Act to the Code, see Short Title note set out under section 1401 of Title 33 and Tables. The Act to Prevent Pollution from Ships, referred to in subsec. (c)(7)(E), is Pub. L. 96-478, Oct. 21, 1980, 94 Stat. 2297, as amended, which is classified principally to chapter 33 (Sec. 1901 et seq.) of Title 33. For complete classification of this Act to the Code, see Short Title note set out under section 1901 of Title 33 and Tables. The Safe Drinking Water Act, referred to in subsec. (c)(7)(E), is Pub. L. 93-523, Dec. 16, 1974, 88 Stat. 1660, as amended, which is classified principally to subchapter XII (Sec. 300f et seq.) of chapter 6A of Title 42, The Public Health and Welfare. For complete classification of this Act to the Code, see Short Title of 1974 Amendment note set out under section 201 of Title 42 and Tables. The Resources Conservation and Recovery Act, referred to in subsec. (c)(7)(E), probably means the Resource Conservation and Recovery Act of 1976, Pub. L. 94-580, Oct. 21, 1976, 90 Stat. 2796, as amended, which is classified generally to chapter 82 (Sec. 6901 et seq.) of Title 42. For complete classification of this Act to the Code, see Short Title note set out under section 6901 of Title 42 and Tables. -MISC2- AMENDMENTS 1990 - Subsec. (a)(2). Pub. L. 101-647, Sec. 108(1), inserted at end 'For the purpose of the offense described in subparagraph (B), the defendant's knowledge may be established by proof that a law enforcement officer represented the matter specified in subparagraph (B) as true, and the defendant's subsequent statements or actions indicate that the defendant believed such representations to be true.' Subsec. (a)(3). Pub. L. 101-647, Sec. 108(2), inserted 'and paragraph (2)' after 'this paragraph' in last sentence. Subsec. (c)(1). Pub. L. 101-647, Sec. 106, substituted 'State, Federal, or foreign' for 'State or Federal'. Subsec. (c)(4). Pub. L. 101-647, Sec. 1402, inserted '(A)' before 'a transaction' the first place it appears, '(B)' before 'a transaction' the second place it appears, '(i)' before 'involving' the first place it appears, and '(ii)' before 'involving' the second place it appears. Subsec. (c)(5). Pub. L. 101-647, Sec. 105, amended par. (5) generally. Prior to amendment, par. (5) read as follows: 'the term 'monetary instruments' means coin or currency of the United States or of any other country, travelers' checks, personal checks, bank checks, money orders, investment securities in bearer form or otherwise in such form that title thereto passes upon delivery, and negotiable instruments in bearer form or otherwise in such form that title thereto passes upon delivery;'. Subsec. (c)(7)(A). Pub. L. 101-647, Sec. 3557(1), substituted 'subchapter II of chapter 53 of title 31' for 'the Currency and Foreign Transactions Reporting Act'. Subsec. (c)(7)(C). Pub. L. 101-647, Sec. 1404(a)(1), struck out 'or' at end. Subsec. (c)(7)(D). Pub. L. 101-647, Sec. 3557, substituted 'section 2113' for 'or section 2113', substituted 'theft), or' for 'theft) of this title,', inserted 'of this title' after '2319 (relating to copyright infringement)', substituted 'paraphernalia' for 'paraphenalia', and directed striking the final period which could not be executed because of the intervening amendment by Pub. L. 101-647, Sec. 1404(a)(2), see below. Pub. L. 101-647, Sec. 2506(2), inserted 'section 1341 (relating to mail fraud) or section 1343 (relating to wire fraud) affecting a financial institution,' after 'section 1203 (relating to hostage taking),'. Pub. L. 101-647, Sec. 2506(1), inserted 'section 1005 (relating to fraudulent bank entries), 1006 (relating to fraudulent Federal credit institution entries), 1007 (relating to Federal Deposit Insurance transactions), 1014 (relating to fraudulent loan or credit applications), 1032 (relating to concealment of assets from conservator, receiver, or liquidating agent of financial institution),' after 'section 875 (relating to interstate communications),'. Pub. L. 101-647, Sec. 1404(a)(2), inserted '; or' after 'Trading with the Enemy Act' at end. Pub. L. 101-647, Sec. 107, substituted 'a felony violation of the Chemical Diversion and Trafficking Act of 1988' for 'section 310 of the Controlled Substances Act (21 U.S.C. 830)'. Subsec. (c)(7)(E). Pub. L. 101-647, Sec. 1404(a)(2), amended par. (7) by inserting '; or' and subpar. (E) before the period. Subsec. (c)(8). Pub. L. 101-647, Sec. 1205(j), added par. (8). Subsec. (e). Pub. L. 101-647, Sec. 1404(b), inserted at end 'Violations of this section involving offenses described in paragraph (c)(7)(E) may be investigated by such components of the Department of Justice as the Attorney General may direct, and the National Enforcement Investigations Center of the Evironmental Protection Agency.' 1988 - Subsec. (a)(1)(A). Pub. L. 100-690, Sec. 6471(a), amended subpar. (A) generally, designating existing provisions as cl. (i) and adding cl. (ii). Subsec. (a)(2). Pub. L. 100-690, Sec. 6471(b), substituted 'transports, transmits, or transfers, or attempts to transport, transmit, or transfer' for 'transports or attempts to transport' in introductory provisions. Subsec. (a)(3). Pub. L. 100-690, Sec. 6465, added par. (3). Subsec. (c)(7)(D). Pub. L. 100-690, Sec. 7031, substituted 'section 513' for 'section 511' and 'section 545' for 'section 543' and inserted 'section 657 (relating to lending, credit, and insurance institutions), section 658 (relating to property mortgaged or pledged to farm credit agencies),'. Pub. L. 100-690, Sec. 6466, inserted 'section 542 (relating to entry of goods by means of false statements),', 'section 549 (relating to removing goods from Customs custody),', and 'section 2319 (relating to copyright infringement), section 310 of the Controlled Substances Act (21 U.S.C. 830) (relating to precursor and essential chemicals), section 590 of the Tariff Act of 1930 (19 U.S.C. 1590) (relating to aviation smuggling), section 1822 of the Mail Order Drug Paraphernalia Control Act (100 Stat. 3207-51; 21 U.S.C. 857) (relating to transportation of drug paraphenalia),'. Pub. L. 100-690, Sec. 6183, substituted 'section 38(c) (relating to criminal violations) of the Arms Export Control Act, section 11 (relating to violations) of the Export Administration Act of 1979, section 206 (relating to penalties) of the International Emergency Economic Powers Act, or section 16 (relating to offenses and punishment) of the Trading with the Enemy Act.' for 'section 38 of the Arms Export Control Act (22 U.S.C. 2778), section 2 (relating to criminal penalties) of the Export Administration Act of 1979 (50 U.S.C. App. 2401), section 203 (relating to criminal sanctions) of the International Emergency Economic Powers Act (50 U.S.C. 1702), or section 3 (relating to criminal violations) of the Trading with the Enemy Act (50 U.S.C. App. 3)'. Subsec. (e). Pub. L. 100-690, Sec. 6469(a)(1), substituted 'and, with respect to offenses over which the United States Postal Service has jurisdiction, by the Postal Service. Such authority of the Secretary of the Treasury and the Postal Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury, the Postal Service, and the Attorney General.' for '. Such authority of the Secretary of the Treasury shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury and the Attorney General.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 981, 982, 1952, 1957, 1961, 2516 of this title; title 8 section 1101; title 12 sections 1829, 3413; title 22 section 2714; title 28 section 524. ------DocID 24445 Document 687 of 1438------ -CITE- 18 USC Sec. 1957 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1957. Engaging in monetary transactions in property derived from specified unlawful activity -STATUTE- (a) Whoever, in any of the circumstances set forth in subsection (d), knowingly engages or attempts to engage in a monetary transaction in criminally derived property of a value greater than $10,000 and is derived from specified unlawful activity, shall be punished as provided in subsection (b). (b)(1) Except as provided in paragraph (2), the punishment for an offense under this section is a fine under title 18, United States Code, or imprisonment for not more than ten years or both. (2) The court may impose an alternate fine to that imposable under paragraph (1) of not more than twice the amount of the criminally derived property involved in the transaction. (c) In a prosecution for an offense under this section, the Government is not required to prove the defendant knew that the offense from which the criminally derived property was derived was specified unlawful activity. (d) The circumstances referred to in subsection (a) are - (1) that the offense under this section takes place in the United States or in the special maritime and territorial jurisdiction of the United States; or (2) that the offense under this section takes place outside the United States and such special jurisdiction, but the defendant is a United States person (as defined in section 3077 of this title, but excluding the class described in paragraph (2)(D) of such section). (e) Violations of this section may be investigated by such components of the Department of Justice as the Attorney General may direct, and by such components of the Department of the Treasury as the Secretary of the Treasury may direct, as appropriate and, with respect to offenses over which the United States Postal Service has jurisdiction, by the Postal Service. Such authority of the Secretary of the Treasury and the Postal Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury, the Postal Service, and the Attorney General. (f) As used in this section - (1) the term 'monetary transaction' means the deposit, withdrawal, transfer, or exchange, in or affecting interstate or foreign commerce, of funds or a monetary instrument (as defined in section 1956(c)(5) of this title) by, through, or to a financial institution (as defined in section 5312 of title 31), but such term does not include any transaction necessary to preserve a person's right to representation as guaranteed by the sixth amendment to the Constitution; (2) the term 'criminally derived property' means any property constituting, or derived from, proceeds obtained from a criminal offense; and (3) the term 'specified unlawful activity' has the meaning given that term in section 1956 of this title. -SOURCE- (Added Pub. L. 99-570, title I, Sec. 1352(a), Oct. 27, 1986, 100 Stat. 3207-21, and amended Pub. L. 100-690, title VI, Sec. 6182, 6184, 6469(a)(2), Nov. 18, 1988, 102 Stat. 4354, 4377.) -MISC1- AMENDMENTS 1988 - Subsec. (e). Pub. L. 100-690, Sec. 6469(a)(2), substituted 'and, with respect to offenses over which the United States Postal Service has jurisdiction, by the Postal Service. Such authority of the Secretary of the Treasury and the Postal Service shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury, the Postal Service, and the Attorney General.' for '. Such authority of the Secretary of the Treasury shall be exercised in accordance with an agreement which shall be entered into by the Secretary of the Treasury and the Attorney General.' Subsec. (f)(1). Pub. L. 100-690, Sec. 6182, 6184, substituted 'in section 1956(c)(5) of this title' for 'for the purposes of subchapter II of chapter 53 of title 31' and inserted ', but such term does not include any transaction necessary to preserve a person's right to representation as guaranteed by the sixth amendment to the Constitution'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 981, 982, 1952, 1961, 2516 of this title; title 12 section 3413; title 22 section 2714; title 28 section 524. ------DocID 24446 Document 688 of 1438------ -CITE- 18 USC Sec. 1958 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1958. Use of interstate commerce facilities in the commission of murder-for-hire -STATUTE- (a) Whoever travels in or causes another (including the intended victim) to travel in interstate or foreign commerce, or uses or causes another (including the intended victim) to use the mail or any facility in interstate or foreign commerce, with intent that a murder be committed in violation of the laws of any State or the United States as consideration for the receipt of, or as consideration for a promise or agreement to pay, anything of pecuniary value, shall be fined not more than $10,000 or imprisoned for not more than ten years, or both; and if personal injury results, shall be fined not more than $20,000 and imprisoned for not more than twenty years, or both; and if death results, shall be subject to imprisonment for any term of years or for life, or shall be fined not more than $50,000, or both. (b) As used in this section and section 1959 - (1) 'anything of pecuniary value' means anything of value in the form of money, a negotiable instrument, a commercial interest, or anything else the primary significance of which is economic advantage; (2) 'facility of interstate commerce' includes means of transportation and communication; and (3) 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1002(a), Oct. 12, 1984, 98 Stat. 2136, Sec. 1952A; renumbered Sec. 1958 and amended Pub. L. 100-690, title VII, Sec. 7053(a), 7058(b), Nov. 18, 1988, 102 Stat. 4402, 4403; Pub. L. 101-647, title XII, Sec. 1205(k), title XXXV, Sec. 3558, Nov. 29, 1990, 104 Stat. 4831, 4927.) -MISC1- AMENDMENTS 1990 - Subsec. (b). Pub. L. 101-647, Sec. 3558, substituted 'section 1959' for 'section 1952B' in introductory provisions. Subsec. (b)(3). Pub. L. 101-647, Sec. 1205(k), added par. (3). 1988 - Pub. L. 100-690, Sec. 7053(a), renumbered section 1952A of this title as this section. Subsec. (a). Pub. L. 100-690, Sec. 7058(b), substituted 'ten years' for 'five years'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24447 Document 689 of 1438------ -CITE- 18 USC Sec. 1959 -EXPCITE- TITLE 18 PART I CHAPTER 95 -HEAD- Sec. 1959. Violent crimes in aid of racketeering activity -STATUTE- (a) Whoever, as consideration for the receipt of, or as consideration for a promise or agreement to pay, anything of pecuniary value from an enterprise engaged in racketeering activity, or for the purpose of gaining entrance to or maintaining or increasing position in an enterprise engaged in racketeering activity, murders, kidnaps, maims, assaults with a dangerous weapon, commits assault resulting in serious bodily injury upon, or threatens to commit a crime of violence against any individual in violation of the laws of any State or the United States, or attempts or conspires so to do, shall be punished - (1) for murder or kidnaping, by imprisonment for any term of years or for life or a fine of not more than $50,000, or both; (2) for maiming, by imprisonment for not more than thirty years or a fine of not more than $30,000, or both; (3) for assault with a dangerous weapon or assault resulting in serious bodily injury, by imprisonment for not more than twenty years or a fine of not more than $20,000, or both; (4) for threatening to commit a crime of violence, by imprisonment for not more than five years or a fine of not more than $5,000, or both; (5) for attempting or conspiring to commit murder or kidnaping, by imprisonment for not more than ten years or a fine of not more than $10,000, or both; and (6) for attempting or conspiring to commit a crime involving maiming, assault with a dangerous weapon, or assault resulting in serious bodily injury, by imprisonment for not more than three years or a fine of not more than $3,000, or both. (b) As used in this section - (1) 'racketeering activity' has the meaning set forth in section 1961 of this title; and (2) 'enterprise' includes any partnership, corporation, association, or other legal entity, and any union or group of individuals associated in fact although not a legal entity, which is engaged in, or the activities of which affect, interstate or foreign commerce. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1002(a), Oct. 12, 1984, 98 Stat. 2137, Sec. 1952B; renumbered Sec. 1959, Pub. L. 100-690, title VII, Sec. 7053(b), Nov. 18, 1988, 102 Stat. 4402.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 renumbered section 1952B of this title as this section. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1958, 2516 of this title. ------DocID 24448 Document 690 of 1438------ -CITE- 18 USC CHAPTER 96 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- CHAPTER 96 - RACKETEER INFLUENCED AND CORRUPT ORGANIZATIONS -MISC1- Sec. 1961. Definitions. 1962. Prohibited activities. 1963. Criminal penalties. 1964. Civil remedies. 1965. Venue and process. 1966. Expedition of actions. 1967. Evidence. 1968. Civil investigative demand. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3559, Nov. 29, 1990, 104 Stat. 4927, struck out 'racketeering' after 'Prohibited' in item 1962. 1970 - Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 941, added chapter 96 and items 1961 to 1968. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3582 of this title; title 7 section 12a; title 28 section 524. ------DocID 24449 Document 691 of 1438------ -CITE- 18 USC Sec. 1961 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1961. Definitions -STATUTE- As used in this chapter - (1) 'racketeering activity' means (A) any act or threat involving murder, kidnaping, gambling, arson, robbery, bribery, extortion, dealing in obscene matter, or dealing in narcotic or other dangerous drugs, which is chargeable under State law and punishable by imprisonment for more than one year; (B) any act which is indictable under any of the following provisions of title 18, United States Code: Section 201 (relating to bribery), section 224 (relating to sports bribery), sections 471, 472, and 473 (relating to counterfeiting), section 659 (relating to theft from interstate shipment) if the act indictable under section 659 is felonious, section 664 (relating to embezzlement from pension and welfare funds), sections 891-894 (relating to extortionate credit transactions), section 1029 (relating to fraud and related activity in connection with access devices), section 1084 (relating to the transmission of gambling information), section 1341 (relating to mail fraud), section 1343 (relating to wire fraud), section 1344 (relating to financial institution fraud), sections 1461-1465 (relating to obscene matter), section 1503 (relating to obstruction of justice), section 1510 (relating to obstruction of criminal investigations), section 1511 (relating to the obstruction of State or local law enforcement), section 1512 (relating to tampering with a witness, victim, or an informant), section 1513 (relating to retaliating against a witness, victim, or an informant), section 1951 (relating to interference with commerce, robbery, or extortion), section 1952 (relating to racketeering), section 1953 (relating to interstate transportation of wagering paraphernalia), section 1954 (relating to unlawful welfare fund payments), section 1955 (relating to the prohibition of illegal gambling businesses), section 1956 (relating to the laundering of monetary instruments), section 1957 (relating to engaging in monetary transactions in property derived from specified unlawful activity), section 1958 (relating to use of interstate commerce facilities in the commission of murder-for-hire), sections 2251-2252 (relating to sexual exploitation of children), sections 2312 and 2313 (relating to interstate transportation of stolen motor vehicles), sections 2314 and 2315 (relating to interstate transportation of stolen property), section 2321 (relating to trafficking in certain motor vehicles or motor vehicle parts), sections 2341-2346 (relating to trafficking in contraband cigarettes), sections 2421-24 (relating to white slave traffic), (C) any act which is indictable under title 29, United States Code, section 186 (dealing with restrictions on payments and loans to labor organizations) or section 501(c) (relating to embezzlement from union funds), (D) any offense involving fraud connected with a case under title 11, fraud in the sale of securities, or the felonious manufacture, importation, receiving, concealment, buying, selling, or otherwise dealing in narcotic or other dangerous drugs, punishable under any law of the United States, or (E) any act which is indictable under the Currency and Foreign Transactions Reporting Act. (2) 'State' means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof; (3) 'person' includes any individual or entity capable of holding a legal or beneficial interest in property; (4) 'enterprise' includes any individual, partnership, corporation, association, or other legal entity, and any union or group of individuals associated in fact although not a legal entity; (5) 'pattern of racketeering activity' requires at least two acts of racketeering activity, one of which occurred after the effective date of this chapter and the last of which occurred within ten years (excluding any period of imprisonment) after the commission of a prior act of racketeering activity; (6) 'unlawful debt' means a debt (A) incurred or contracted in gambling activity which was in violation of the law of the United States, a State or political subdivision thereof, or which is unenforceable under State or Federal law in whole or in part as to principal or interest because of the laws relating to usury, and (B) which was incurred in connection with the business of gambling in violation of the law of the United States, a State or political subdivision thereof, or the business of lending money or a thing of value at a rate usurious under State or Federal law, where the usurious rate is at least twice the enforceable rate; (7) 'racketeering investigator' means any attorney or investigator so designated by the Attorney General and charged with the duty of enforcing or carrying into effect this chapter; (8) 'racketeering investigation' means any inquiry conducted by any racketeering investigator for the purpose of ascertaining whether any person has been involved in any violation of this chapter or of any final order, judgment, or decree of any court of the United States, duly entered in any case or proceeding arising under this chapter; (9) 'documentary material' includes any book, paper, document, record, recording, or other material; and (10) 'Attorney General' includes the Attorney General of the United States, the Deputy Attorney General of the United States, the Associate Attorney General of the United States, any Assistant Attorney General of the United States, or any employee of the Department of Justice or any employee of any department or agency of the United States so designated by the Attorney General to carry out the powers conferred on the Attorney General by this chapter. Any department or agency so designated may use in investigations authorized by this chapter either the investigative provisions of this chapter or the investigative power of such department or agency otherwise conferred by law. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 941, and amended Pub. L. 95-575, Sec. 3(c), Nov. 2, 1978, 92 Stat. 2465; Pub. L. 95-598, title III, Sec. 314(g), Nov. 6, 1978, 92 Stat. 2677; Pub. L. 98-473, title II, Sec. 901(g), 1020, Oct. 12, 1984, 98 Stat. 2136, 2143; Pub. L. 98-547, title II, Sec. 205, Oct. 25, 1984, 98 Stat. 2770; Pub. L. 99-570, title I, Sec. 1365(b), Oct. 27, 1986, 100 Stat. 3207-35; Pub. L. 99-646, Sec. 50(a), Nov. 10, 1986, 100 Stat. 3605; Pub. L. 100-690, title VII, Sec. 7013, 7020(c), 7032, 7054, 7514, Nov. 18, 1988, 102 Stat. 4395, 4396, 4398, 4402, 4489; Pub. L. 101-73, title IX, Sec. 968, Aug. 9, 1989, 103 Stat. 506; Pub. L. 101-647, title XXXV, Sec. 3560, Nov. 29, 1990, 104 Stat. 4927.) -REFTEXT- REFERENCES IN TEXT The Currency and Foreign Transactions Reporting Act, referred to in par. (1)(E), is title II of Pub. L. 91-508, Oct. 26, 1970, 84 Stat. 1118, which was repealed and reenacted as subchapter II of chapter 53 of Title 31, Money and Finance, by Pub. L. 97-258, Sec. 4(b), Sept. 13, 1982, 96 Stat. 1067, the first section of which enacted Title 31. The effective date of this chapter, referred to in par. (5), is Oct. 15, 1970. -MISC2- AMENDMENTS 1990 - Par. (1)(B). Pub. L. 101-647 substituted 'section 1029 (relating to' for 'section 1029 (relative to' and struck out 'sections 2251 through 2252 (relating to sexual exploitation of children),' before ', section 1958'. 1989 - Par. (1). Pub. L. 101-73 inserted 'section 1344 (relating to financial institution fraud),' after 'section 1343 (relating to wire fraud),'. 1988 - Par. (1)(B). Pub. L. 100-690, Sec. 7514, inserted 'sections 2251 through 2252 (relating to sexual exploitation of children),'. Pub. L. 100-690, Sec. 7054, inserted ', section 1029 (relative to fraud and related activity in connection with access devices)' and ', section 1958 (relating to use of interstate commerce facilities in the commission of murder-for-hire), sections 2251-2252 (relating to sexual exploitation of children)'. Pub. L. 100-690, Sec. 7032, substituted 'section 2321' for 'section 2320'. Pub. L. 100-690, Sec. 7013, made technical amendment to directory language of Pub. L. 99-646. See 1986 Amendment note below. Par. (10). Pub. L. 100-690, Sec. 7020(c), inserted 'the Associate Attorney General of the United States,' after 'Deputy Attorney General of the United States,'. 1986 - Par. (1)(B). Pub. L. 99-646, as amended by Pub. L. 100-690, Sec. 7013, inserted 'section 1512 (relating to tampering with a witness, victim, or an informant), section 1513 (relating to retaliating against a witness, victim, or an informant),' after 'section 1511 (relating to the obstruction of State or local law enforcement),'. Pub. L. 99-570 inserted 'section 1956 (relating to the laundering of monetary instruments), section 1957 (relating to engaging in monetary transactions in property derived from specified unlawful activity),'. 1984 - Par. (1)(A). Pub. L. 98-473, Sec. 1020(1), inserted 'dealing in obscene matter,' after 'extortion,'. Par. (1)(B). Pub. L. 98-547 inserted 'sections 2312 and 2313 (relating to interstate transportation of stolen motor vehicles),' and 'section 2320 (relating to trafficking in certain motor vehicles or motor vehicle parts),'. Pub. L. 98-473, Sec. 1020(2), inserted 'sections 1461-1465 (relating to obscene matter),'. Par. (1)(E). Pub. L. 98-473, Sec. 901(g), inserted cl. (E). 1978 - Par. (1)(B). Pub. L. 95-575 inserted 'sections 2341-2346 (relating to trafficking in contraband cigarettes),'. Par. (1)(D). Pub. L. 95-598 substituted 'fraud connected with a case under title 11' for 'bankruptcy fraud'. EFFECTIVE DATE OF 1978 AMENDMENTS Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. Amendment by Pub. L. 95-575 effective Nov. 2, 1978, see section 4 of Pub. L. 95-575, set out as an Effective Date note under section 2341 of this title. SHORT TITLE OF 1984 AMENDMENT Section 301 of chapter III (Sec. 301-322) of title II of Pub. L. 98-473 provided that: 'This title (probably means this chapter, enacting sections 1589, 1600, 1613a, and 1616 of Title 19, Customs Duties and sections 853, 854, and 970 of Title 21, Food and Drugs, amending section 1963 of this title and sections 1602, 1605, 1606, 1607, 1608, 1609, 1610, 1611, 1612, 1613, 1614, 1615, 1618, 1619, and 1644 of Title 19, sections 824, 848, and 881 of Title 21, and section 524 of Title 28, Judiciary and Judicial Procedure, and repealing section 7607 of Title 26, Internal Revenue Code) may be cited as the 'Comprehensive Forfeiture Act of 1984'.' SHORT TITLE Section 1 of Pub. L. 91-452 provided in part: 'That this Act (enacting this section, sections 841 to 848, 1511, 1623, 1955, 1962 to 1968, 3331 to 3334, 3503, 3504, 3575 to 3578, and 6001 to 6005 of this title, and section 1826 of Title 28, Judiciary and Judicial Procedure, amending sections 835, 1073, 1505, 1954, 2424, 2516, 2517, 3148, 3486, and 3500 of this title, sections 15, 87f, 135c, 499m, and 2115 of Title 7, Agriculture, section 25 of Title 11, Bankruptcy, section 1820 of Title 12, Banks and Banking, sections 49, 77v, 78u, 79r, 80a-41, 80b-9, 155, 717m, 1271, and 1714 of Title 15, Commerce and Trade, section 825f of Title 16, Conservation, section 1333 of Title 19, Customs Duties, section 373 of Title 21, Food and Drugs, section 161 of Title 29, Labor, section 506 of Title 33, Navigation and Navigable Waters, sections 405 and 2201 of Title 42, The Public Health and Welfare, sections 157 and 362 of Title 45, Railroads, section 1124 of former Title 46, Shipping, section 409 of Title 47, Telegraphs, Telephones, and Radio telegraphs, sections 9, 43, 46, 916, and 1017, of former Title 49, Transportation, and section 1484 of Title 49, Appendix, section 792 of Title 50, War and National Defense, and sections 643a, 1152, 2026, and former section 2155 of Title 50, Appendix, repealing sections 837, 895, 1406, and 2514 of this title, sections 32 and 33 of Title 15; sections 4874 and 7493 of Title 26, Internal Revenue Code, section 827 of former Title 46, sections 47 and 48 of former Title 49, and sections 121 to 144 of Title 50, enacting provisions set out as notes under this section and sections 841, 1511, 1955, preceding 3331, preceding 3481, 3504, and 6001 of this title, and repealing provisions set out as a note under section 2510 of this title) may be cited as the 'Organized Crime Control Act of 1970'.' SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. SEPARABILITY Section 1301 of Pub. L. 91-452 provided that: 'If the provisions of any part of this Act (see Short Title note set out above) or the application thereof to any person or circumstances be held invalid, the provisions of the other parts and their application to other persons or circumstances shall not be affected thereby.' CONGRESSIONAL STATEMENT OF FINDINGS AND PURPOSE Section 1 of Pub. L. 91-452 provided in part that: 'The Congress finds that (1) organized crime in the United States is a highly sophisticated, diversified, and widespread activity that annually drains billions of dollars from America's economy by unlawful conduct and the illegal use of force, fraud, and corruption; (2) organized crime derives a major portion of its power through money obtained from such illegal endeavors as syndicated gambling, loan sharking, the theft and fencing of property, the importation and distribution of narcotics and other dangerous drugs, and other forms of social exploitation; (3) this money and power are increasingly used to infiltrate and corrupt legitimate business and labor unions and to subvert and corrupt our democratic processes; (4) organized crime activities in the United States weaken the stability of the Nation's economic system, harm innocent investors and competing organizations, interfere with free competition, seriously burden interstate and foreign commerce, threaten the domestic security, and undermine the general welfare of the Nation and its citizens; and (5) organized crime continues to grow because of defects in the evidence-gathering process of the law inhibiting the development of the legally admissible evidence necessary to bring criminal and other sanctions or remedies to bear on the unlawful activities of those engaged in organized crime and because the sanctions and remedies available to the Government are unnecessarily limited in scope and impact. 'It is the purpose of this Act (see Short Title note above) to seek the eradication of organized crime in the United States by strengthening the legal tools in the evidence-gathering process, by establishing new penal prohibitions, and by providing enhanced sanctions and new remedies to deal with the unlawful activities of those engaged in organized crime.' LIBERAL CONSTRUCTION OF PROVISIONS; SUPERSEDURE OF FEDERAL OR STATE LAWS; AUTHORITY OF ATTORNEYS REPRESENTING UNITED STATES Section 904 of title IX of Pub. L. 91-452 provided that: '(a) The provisions of this title (enacting this chapter and amending sections 1505, 2516, and 2517 of this title) shall be liberally construed to effectuate its remedial purposes. '(b) Nothing in this title shall supersede any provision of Federal, State, or other law imposing criminal penalties or affording civil remedies in addition to those provided for in this title. '(c) Nothing contained in this title shall impair the authority of any attorney representing the United States to - '(1) lay before any grand jury impaneled by any district court of the United States any evidence concerning any alleged racketeering violation of law; '(2) invoke the power of any such court to compel the production of any evidence before any such grand jury; or '(3) institute any proceeding to enforce any order or process issued in execution of such power or to punish disobedience of any such order or process by any person.' PRESIDENT'S COMMISSION ON ORGANIZED CRIME; TAKING OF TESTIMONY AND RECEIPT OF EVIDENCE Pub. L. 98-368, July 17, 1984, 98 Stat. 490, provided for the Commission established by Ex. Ord. No. 12435, formerly set out below, authority relating to taking of testimony, receipt of evidence, subpoena power, testimony of persons in custody, immunity, service of process, witness fees, access to other records and information, Federal protection for members and staff, closure of meetings, rules, and procedures, for the period of July 17, 1984, until the earlier of 2 years or the expiration of the Commission. -EXEC- EXECUTIVE ORDER NO. 12435 Ex. Ord. No. 12435, July 28, 1983, 48 F.R. 34723, as amended Ex. Ord. No. 12507, Mar. 22, 1985, 50 F.R. 11835, which established and provided for the administration of the President's Commission on Organized Crime, was revoked by Ex. Ord. No. 12610, Sept. 30, 1987, 52 F.R. 36901, formerly set out as a note under section 14 of the Federal Advisory Committee Act in the Appendix to Title 5, Government Organization and Employees. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 924, 1956, 1959 of this title. ------DocID 24450 Document 692 of 1438------ -CITE- 18 USC Sec. 1962 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1962. Prohibited activities -STATUTE- (a) It shall be unlawful for any person who has received any income derived, directly or indirectly, from a pattern of racketeering activity or through collection of an unlawful debt in which such person has participated as a principal within the meaning of section 2, title 18, United States Code, to use or invest, directly or indirectly, any part of such income, or the proceeds of such income, in acquisition of any interest in, or the establishment or operation of, any enterprise which is engaged in, or the activities of which affect, interstate or foreign commerce. A purchase of securities on the open market for purposes of investment, and without the intention of controlling or participating in the control of the issuer, or of assisting another to do so, shall not be unlawful under this subsection if the securities of the issuer held by the purchaser, the members of his immediate family, and his or their accomplices in any pattern or racketeering activity or the collection of an unlawful debt after such purchase do not amount in the aggregate to one percent of the outstanding securities of any one class, and do not confer, either in law or in fact, the power to elect one or more directors of the issuer. (b) It shall be unlawful for any person through a pattern of racketeering activity or through collection of an unlawful debt to acquire or maintain, directly or indirectly, any interest in or control of any enterprise which is engaged in, or the activities of which affect, interstate or foreign commerce. (c) It shall be unlawful for any person employed by or associated with any enterprise engaged in, or the activities of which affect, interstate or foreign commerce, to conduct or participate, directly or indirectly, in the conduct of such enterprise's affairs through a pattern of racketeering activity or collection of unlawful debt. (d) It shall be unlawful for any person to conspire to violate any of the provisions of subsection (a), (b), or (c) of this section. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 942, and amended Pub. L. 100-690, title VII, Sec. 7033, Nov. 18, 1988, 102 Stat. 4398.) -MISC1- AMENDMENTS 1988 - Subsec. (d). Pub. L. 100-690 substituted 'subsection' for 'subsections'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1963, 1964, 3554 of this title. ------DocID 24451 Document 693 of 1438------ -CITE- 18 USC Sec. 1963 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1963. Criminal penalties -STATUTE- (a) Whoever violates any provision of section 1962 of this chapter shall be fined under this title or imprisoned not more than 20 years (or for life if the violation is based on a racketeering activity for which the maximum penalty includes life imprisonment), or both, and shall forfeit to the United States, irrespective of any provision of State law - (1) any interest the person has acquired or maintained in violation of section 1962; (2) any - (A) interest in; (B) security of; (C) claim against; or (D) property or contractual right of any kind affording a source of influence over; any enterprise which the person has established, operated, controlled, conducted, or participated in the conduct of, in violation of section 1962; and (3) any property constituting, or derived from, any proceeds which the person obtained, directly or indirectly, from racketeering activity or unlawful debt collection in violation of section 1962. The court, in imposing sentence on such person shall order, in addition to any other sentence imposed pursuant to this section, that the person forfeit to the United States all property described in this subsection. In lieu of a fine otherwise authorized by this section, a defendant who derives profits or other proceeds from an offense may be fined not more than twice the gross profits or other proceeds. (b) Property subject to criminal forfeiture under this section includes - (1) real property, including things growing on, affixed to, and found in land; and (2) tangible and intangible personal property, including rights, privileges, interests, claims, and securities. (c) All right, title, and interest in property described in subsection (a) vests in the United States upon the commission of the act giving rise to forfeiture under this section. Any such property that is subsequently transferred to a person other than the defendant may be the subject of a special verdict of forfeiture and thereafter shall be ordered forfeited to the United States, unless the transferee establishes in a hearing pursuant to subsection (l) that he is a bona fide purchaser for value of such property who at the time of purchase was reasonably without cause to believe that the property was subject to forfeiture under this section. (d)(1) Upon application of the United States, the court may enter a restraining order or injunction, require the execution of a satisfactory performance bond, or take any other action to preserve the availability of property described in subsection (a) for forfeiture under this section - (A) upon the filing of an indictment or information charging a violation of section 1962 of this chapter and alleging that the property with respect to which the order is sought would, in the event of conviction, be subject to forfeiture under this section; or (B) prior to the filing of such an indictment or information, if, after notice to persons appearing to have an interest in the property and opportunity for a hearing, the court determines that - (i) there is a substantial probability that the United States will prevail on the issue of forfeiture and that failure to enter the order will result in the property being destroyed, removed from the jurisdiction of the court, or otherwise made unavailable for forfeiture; and (ii) the need to preserve the availability of the property through the entry of the requested order outweighs the hardship on any party against whom the order is to be entered: Provided, however, That an order entered pursuant to subparagraph (B) shall be effective for not more than ninety days, unless extended by the court for good cause shown or unless an indictment or information described in subparagraph (A) has been filed. (2) A temporary restraining order under this subsection may be entered upon application of the United States without notice or opportunity for a hearing when an information or indictment has not yet been filed with respect to the property, if the United States demonstrates that there is probable cause to believe that the property with respect to which the order is sought would, in the event of conviction, be subject to forfeiture under this section and that provision of notice will jeopardize the availability of the property for forfeiture. Such a temporary order shall expire not more than ten days after the date on which it is entered, unless extended for good cause shown or unless the party against whom it is entered consents to an extension for a longer period. A hearing requested concerning an order entered under this paragraph shall be held at the earliest possible time, and prior to the expiration of the temporary order. (3) The court may receive and consider, at a hearing held pursuant to this subsection, evidence and information that would be inadmissible under the Federal Rules of Evidence. (e) Upon conviction of a person under this section, the court shall enter a judgment of forfeiture of the property to the United States and shall also authorize the Attorney General to seize all property ordered forfeited upon such terms and conditions as the court shall deem proper. Following the entry of an order declaring the property forfeited, the court may, upon application of the United States, enter such appropriate restraining orders or injunctions, require the execution of satisfactory performance bonds, appoint receivers, conservators, appraisers, accountants, or trustees, or take any other action to protect the interest of the United States in the property ordered forfeited. Any income accruing to, or derived from, an enterprise or an interest in an enterprise which has been ordered forfeited under this section may be used to offset ordinary and necessary expenses to the enterprise which are required by law, or which are necessary to protect the interests of the United States or third parties. (f) Following the seizure of property ordered forfeited under this section, the Attorney General shall direct the disposition of the property by sale or any other commercially feasible means, making due provision for the rights of any innocent persons. Any property right or interest not exercisable by, or transferable for value to, the United States shall expire and shall not revert to the defendant, nor shall the defendant or any person acting in concert with or on behalf of the defendant be eligible to purchase forfeited property at any sale held by the United States. Upon application of a person, other than the defendant or a person acting in concert with or on behalf of the defendant, the court may restrain or stay the sale or disposition of the property pending the conclusion of any appeal of the criminal case giving rise to the forfeiture, if the applicant demonstrates that proceeding with the sale or disposition of the property will result in irreparable injury, harm or loss to him. Notwithstanding 31 U.S.C. 3302(b), the proceeds of any sale or other disposition of property forfeited under this section and any moneys forfeited shall be used to pay all proper expenses for the forfeiture and the sale, including expenses of seizure, maintenance and custody of the property pending its disposition, advertising and court costs. The Attorney General shall deposit in the Treasury any amounts of such proceeds or moneys remaining after the payment of such expenses. (g) With respect to property ordered forfeited under this section, the Attorney General is authorized to - (1) grant petitions for mitigation or remission of forfeiture, restore forfeited property to victims of a violation of this chapter, or take any other action to protect the rights of innocent persons which is in the interest of justice and which is not inconsistent with the provisions of this chapter; (2) compromise claims arising under this section; (3) award compensation to persons providing information resulting in a forfeiture under this section; (4) direct the disposition by the United States of all property ordered forfeited under this section by public sale or any other commercially feasible means, making due provision for the rights of innocent persons; and (5) take appropriate measures necessary to safeguard and maintain property ordered forfeited under this section pending its disposition. (h) The Attorney General may promulgate regulations with respect to - (1) making reasonable efforts to provide notice to persons who may have an interest in property ordered forfeited under this section; (2) granting petitions for remission or mitigation of forfeiture; (3) the restitution of property to victims of an offense petitioning for remission or mitigation of forfeiture under this chapter; (4) the disposition by the United States of forfeited property by public sale or other commercially feasible means; (5) the maintenance and safekeeping of any property forfeited under this section pending its disposition; and (6) the compromise of claims arising under this chapter. Pending the promulgation of such regulations, all provisions of law relating to the disposition of property, or the proceeds from the sale thereof, or the remission or mitigation of forfeitures for violation of the customs laws, and the compromise of claims and the award of compensation to informers in respect of such forfeitures shall apply to forfeitures incurred, or alleged to have been incurred, under the provisions of this section, insofar as applicable and not inconsistent with the provisions hereof. Such duties as are imposed upon the Customs Service or any person with respect to the disposition of property under the customs law shall be performed under this chapter by the Attorney General. (i) Except as provided in subsection (l), no party claiming an interest in property subject to forfeiture under this section may - (1) intervene in a trial or appeal of a criminal case involving the forfeiture of such property under this section; or (2) commence an action at law or equity against the United States concerning the validity of his alleged interest in the property subsequent to the filing of an indictment or information alleging that the property is subject to forfeiture under this section. (j) The district courts of the United States shall have jurisdiction to enter orders as provided in this section without regard to the location of any property which may be subject to forfeiture under this section or which has been ordered forfeited under this section. (k) In order to facilitate the identification or location of property declared forfeited and to facilitate the disposition of petitions for remission or mitigation of forfeiture, after the entry of an order declaring property forfeited to the United States the court may, upon application of the United States, order that the testimony of any witness relating to the property forfeited be taken by deposition and that any designated book, paper, document, record, recording, or other material not privileged be produced at the same time and place, in the same manner as provided for the taking of depositions under Rule 15 of the Federal Rules of Criminal Procedure. (l)(1) Following the entry of an order of forfeiture under this section, the United States shall publish notice of the order and of its intent to dispose of the property in such manner as the Attorney General may direct. The Government may also, to the extent practicable, provide direct written notice to any person known to have alleged an interest in the property that is the subject of the order of forfeiture as a substitute for published notice as to those persons so notified. (2) Any person, other than the defendant, asserting a legal interest in property which has been ordered forfeited to the United States pursuant to this section may, within thirty days of the final publication of notice or his receipt of notice under paragraph (1), whichever is earlier, petition the court for a hearing to adjudicate the validity of his alleged interest in the property. The hearing shall be held before the court alone, without a jury. (3) The petition shall be signed by the petitioner under penalty of perjury and shall set forth the nature and extent of the petitioner's right, title, or interest in the property, the time and circumstances of the petitioner's acquisition of the right, title, or interest in the property, any additional facts supporting the petitioner's claim, and the relief sought. (4) The hearing on the petition shall, to the extent practicable and consistent with the interests of justice, be held within thirty days of the filing of the petition. The court may consolidate the hearing on the petition with a hearing on any other petition filed by a person other than the defendant under this subsection. (5) At the hearing, the petitioner may testify and present evidence and witnesses on his own behalf, and cross-examine witnesses who appear at the hearing. The United States may present evidence and witnesses in rebuttal and in defense of its claim to the property and cross-examine witnesses who appear at the hearing. In addition to testimony and evidence presented at the hearing, the court shall consider the relevant portions of the record of the criminal case which resulted in the order of forfeiture. (6) If, after the hearing, the court determines that the petitioner has established by a preponderance of the evidence that - (A) the petitioner has a legal right, title, or interest in the property, and such right, title, or interest renders the order of forfeiture invalid in whole or in part because the right, title, or interest was vested in the petitioner rather than the defendant or was superior to any right, title, or interest of the defendant at the time of the commission of the acts which gave rise to the forfeiture of the property under this section; or (B) the petitioner is a bona fide purchaser for value of the right, title, or interest in the property and was at the time of purchase reasonably without cause to believe that the property was subject to forfeiture under this section; the court shall amend the order of forfeiture in accordance with its determination. (7) Following the court's disposition of all petitions filed under this subsection, or if no such petitions are filed following the expiration of the period provided in paragraph (2) for the filing of such petitions, the United States shall have clear title to property that is the subject of the order of forfeiture and may warrant good title to any subsequent purchaser or transferee. (m) If any of the property described in subsection (a), as a result of any act or omission of the defendant - (1) cannot be located upon the exercise of due diligence; (2) has been transferred or sold to, or deposited with, a third party; (3) has been placed beyond the jurisdiction of the court; (4) has been substantially diminished in value; or (5) has been commingled with other property which cannot be divided without difficulty; the court shall order the forfeiture of any other property of the defendant up to the value of any property described in paragraphs (1) through (5). -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 943, and amended Pub. L. 98-473, title II, Sec. 302, 2301(a)-(c), Oct. 12, 1984, 98 Stat. 2040, 2192; Pub. L. 99-570, title I, Sec. 1153(a), Oct. 27, 1986, 100 Stat. 3207-13; Pub. L. 99-646, Sec. 23, Nov. 10, 1986, 100 Stat. 3597; Pub. L. 100-690, title VII, Sec. 7034, 7058(d), Nov. 18, 1988, 102 Stat. 4398, 4403; Pub. L. 101-647, title XXXV, Sec. 3561, Nov. 29, 1990, 104 Stat. 4927.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in subsec. (d)(3), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -MISC2- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted 'or both' for 'or both.' in introductory provisions. 1988 - Subsec. (a). Pub. L. 100-690, Sec. 7058(d), substituted 'shall be fined under this title or imprisoned not more than 20 years (or for life if the violation is based on a racketeering activity for which the maximum penalty includes life imprisonment), or both.' for 'shall be fined not more than $25,000 or imprisoned not more than twenty years, or both'. Subsecs. (m), (n). Pub. L. 100-690, Sec. 7034, redesignated former subsec. (n) as (m) and substituted 'act or omission' for 'act of omission'. 1986 - Subsecs. (c) to (m). Pub. L. 99-646 substituted '(l)' for '(m)' in subsec. (c), redesignated subsecs. (e) to (m) as (d) to (l), respectively, and substituted '(l)' for '(m)' in subsec. (i) as redesignated. Subsec. (n). Pub. L. 99-570 added subsec. (n). 1984 - Subsec. (a). Pub. L. 98-473, Sec. 2301(a), inserted 'In lieu of a fine otherwise authorized by this section, a defendant who derives profits or other proceeds from an offense may be fined not more than twice the gross profits or other proceeds.' following par. (3). Pub. L. 98-473, Sec. 302, amended subsec. (a) generally, designating existing provisions as pars. (1) and (2), inserting par. (3), and provisions following par. (3) relating to power of the court to order forfeiture to the United States. Subsec. (b). Pub. L. 98-473, Sec. 302, amended subsec. (b) generally, substituting provisions relating to property subject to forfeiture, for provisions relating to jurisdiction of the district courts of the United States. Subsec. (c). Pub. L. 98-473, Sec. 302, amended subsec. (c) generally, substituting provisions relating to transfer of rights, etc., in property to the United States, or to other transferees, for provisions relating to seizure and transfer of property to the United States and procedures related thereto. Subsec. (d). Pub. L. 98-473, Sec. 2301(b), struck out subsec. (d) which provided: 'If any of the property described in subsection (a): (1) cannot be located; (2) has been transferred to, sold to, or deposited with, a third party; (3) has been placed beyond the jurisdiction of the court; (4) has been substantially diminished in value by any act or omission of the defendant; or (5) has been commingled with other property which cannot be divided without difficulty; the court shall order the forfeiture of any other property of the defendant up to the value of any property described in paragraphs (1) through (5).' Pub. L. 98-473, Sec. 302, added subsec. (d). Subsecs. (e) to (m). Pub. L. 98-473, Sec. 302, added subsecs. (d) to (m). Subsec. (m)(1). Pub. L. 98-473, Sec. 2301(c), struck out 'for at least seven successive court days' after 'dispose of the property'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 3293, 3554 of this title; title 50 App. section 2410. ------DocID 24452 Document 694 of 1438------ -CITE- 18 USC Sec. 1964 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1964. Civil remedies -STATUTE- (a) The district courts of the United States shall have jurisdiction to prevent and restrain violations of section 1962 of this chapter by issuing appropriate orders, including, but not limited to: ordering any person to divest himself of any interest, direct or indirect, in any enterprise; imposing reasonable restrictions on the future activities or investments of any person, including, but not limited to, prohibiting any person from engaging in the same type of endeavor as the enterprise engaged in, the activities of which affect interstate or foreign commerce; or ordering dissolution or reorganization of any enterprise, making due provision for the rights of innocent persons. (b) The Attorney General may institute proceedings under this section. Pending final determination thereof, the court may at any time enter such restraining orders or prohibitions, or take such other actions, including the acceptance of satisfactory performance bonds, as it shall deem proper. (c) Any person injured in his business or property by reason of a violation of section 1962 of this chapter may sue therefor in any appropriate United States district court and shall recover threefold the damages he sustains and the cost of the suit, including a reasonable attorney's fee. (d) A final judgment or decree rendered in favor of the United States in any criminal proceeding brought by the United States under this chapter shall estop the defendant from denying the essential allegations of the criminal offense in any subsequent civil proceeding brought by the United States. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 943, and amended Pub. L. 98-620, title IV, Sec. 402(24)(A), Nov. 8, 1984, 98 Stat. 3359.) -MISC1- AMENDMENTS 1984 - Subsec. (b). Pub. L. 98-620 struck out provision that in any action brought by the United States under this section, the court had to proceed as soon as practicable to the hearing and determination thereof. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-620 not applicable to cases pending on Nov. 8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective Date note under section 1657 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1965 of this title. ------DocID 24453 Document 695 of 1438------ -CITE- 18 USC Sec. 1965 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1965. Venue and process -STATUTE- (a) Any civil action or proceeding under this chapter against any person may be instituted in the district court of the United States for any district in which such person resides, is found, has an agent, or transacts his affairs. (b) In any action under section 1964 of this chapter in any district court of the United States in which it is shown that the ends of justice require that other parties residing in any other district be brought before the court, the court may cause such parties to be summoned, and process for that purpose may be served in any judicial district of the United States by the marshal thereof. (c) In any civil or criminal action or proceeding instituted by the United States under this chapter in the district court of the United States for any judicial district, subpenas issued by such court to compel the attendance of witnesses may be served in any other judicial district, except that in any civil action or proceeding no such subpena shall be issued for service upon any individual who resides in another district at a place more than one hundred miles from the place at which such court is held without approval given by a judge of such court upon a showing of good cause. (d) All other process in any action or proceeding under this chapter may be served on any person in any judicial district in which such person resides, is found, has an agent, or transacts his affairs. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 944.) ------DocID 24454 Document 696 of 1438------ -CITE- 18 USC Sec. 1966 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1966. Expedition of actions -STATUTE- In any civil action instituted under this chapter by the United States in any district court of the United States, the Attorney General may file with the clerk of such court a certificate stating that in his opinion the case is of general public importance. A copy of that certificate shall be furnished immediately by such clerk to the chief judge or in his absence to the presiding district judge of the district in which such action is pending. Upon receipt of such copy, such judge shall designate immediately a judge of that district to hear and determine action. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 944, and amended Pub. L. 98-620, title IV, Sec. 402(24)(B), Nov. 8, 1984, 98 Stat. 3359.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-620 struck out provision that the judge so designated had to assign such action for hearing as soon as practicable, participate in the hearings and determination thereof, and cause such action to be expedited in every way. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-620 not applicable to cases pending on Nov. 8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective Date note under section 1657 of Title 28, Judiciary and Judicial Procedure. ------DocID 24455 Document 697 of 1438------ -CITE- 18 USC Sec. 1967 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1967. Evidence -STATUTE- In any proceeding ancillary to or in any civil action instituted by the United States under this chapter the proceedings may be open or closed to the public at the discretion of the court after consideration of the rights of affected persons. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 944.) ------DocID 24456 Document 698 of 1438------ -CITE- 18 USC Sec. 1968 -EXPCITE- TITLE 18 PART I CHAPTER 96 -HEAD- Sec. 1968. Civil investigative demand -STATUTE- (a) Whenever the Attorney General has reason to believe that any person or enterprise may be in possession, custody, or control of any documentary materials relevant to a racketeering investigation, he may, prior to the institution of a civil or criminal proceeding thereon, issue in writing, and cause to be served upon such person, a civil investigative demand requiring such person to produce such material for examination. (b) Each such demand shall - (1) state the nature of the conduct constituting the alleged racketeering violation which is under investigation and the provision of law applicable thereto; (2) describe the class or classes of documentary material produced thereunder with such definiteness and certainty as to permit such material to be fairly identified; (3) state that the demand is returnable forthwith or prescribe a return date which will provide a reasonable period of time within which the material so demanded may be assembled and made available for inspection and copying or reproduction; and (4) identify the custodian to whom such material shall be made available. (c) No such demand shall - (1) contain any requirement which would be held to be unreasonable if contained in a subpena duces tecum issued by a court of the United States in aid of a grand jury investigation of such alleged racketeering violation; or (2) require the production of any documentary evidence which would be privileged from disclosure if demanded by a subpena duces tecum issued by a court of the United States in aid of a grand jury investigation of such alleged racketeering violation. (d) Service of any such demand or any petition filed under this section may be made upon a person by - (1) delivering a duly executed copy thereof to any partner, executive officer, managing agent, or general agent thereof, or to any agent thereof authorized by appointment or by law to receive service of process on behalf of such person, or upon any individual person; (2) delivering a duly executed copy thereof to the principal office or place of business of the person to be served; or (3) depositing such copy in the United States mail, by registered or certified mail duly addressed to such person at its principal office or place of business. (e) A verified return by the individual serving any such demand or petition setting forth the manner of such service shall be prima facie proof of such service. In the case of service by registered or certified mail, such return shall be accompanied by the return post office receipt of delivery of such demand. (f)(1) The Attorney General shall designate a racketeering investigator to serve as racketeer document custodian, and such additional racketeering investigators as he shall determine from time to time to be necessary to serve as deputies to such officer. (2) Any person upon whom any demand issued under this section has been duly served shall make such material available for inspection and copying or reproduction to the custodian designated therein at the principal place of business of such person, or at such other place as such custodian and such person thereafter may agree and prescribe in writing or as the court may direct, pursuant to this section on the return date specified in such demand, or on such later date as such custodian may prescribe in writing. Such person may upon written agreement between such person and the custodian substitute for copies of all or any part of such material originals thereof. (3) The custodian to whom any documentary material is so delivered shall take physical possession thereof, and shall be responsible for the use made thereof and for the return thereof pursuant to this chapter. The custodian may cause the preparation of such copies of such documentary material as may be required for official use under regulations which shall be promulgated by the Attorney General. While in the possession of the custodian, no material so produced shall be available for examination, without the consent of the person who produced such material, by any individual other than the Attorney General. Under such reasonable terms and conditions as the Attorney General shall prescribe, documentary material while in the possession of the custodian shall be available for examination by the person who produced such material or any duly authorized representatives of such person. (4) Whenever any attorney has been designated to appear on behalf of the United States before any court or grand jury in any case or proceeding involving any alleged violation of this chapter, the custodian may deliver to such attorney such documentary material in the possession of the custodian as such attorney determines to be required for use in the presentation of such case or proceeding on behalf of the United States. Upon the conclusion of any such case or proceeding, such attorney shall return to the custodian any documentary material so withdrawn which has not passed into the control of such court or grand jury through the introduction thereof into the record of such case or proceeding. (5) Upon the completion of - (i) the racketeering investigation for which any documentary material was produced under this chapter, and (ii) any case or proceeding arising from such investigation, the custodian shall return to the person who produced such material all such material other than copies thereof made by the Attorney General pursuant to this subsection which has not passed into the control of any court or grand jury through the introduction thereof into the record of such case or proceeding. (6) When any documentary material has been produced by any person under this section for use in any racketeering investigation, and no such case or proceeding arising therefrom has been instituted within a reasonable time after completion of the examination and analysis of all evidence assembled in the course of such investigation, such person shall be entitled, upon written demand made upon the Attorney General, to the return of all documentary material other than copies thereof made pursuant to this subsection so produced by such person. (7) In the event of the death, disability, or separation from service of the custodian of any documentary material produced under any demand issued under this section or the official relief of such custodian from responsibility for the custody and control of such material, the Attorney General shall promptly - (i) designate another racketeering investigator to serve as custodian thereof, and (ii) transmit notice in writing to the person who produced such material as to the identity and address of the successor so designated. Any successor so designated shall have with regard to such materials all duties and responsibilities imposed by this section upon his predecessor in office with regard thereto, except that he shall not be held responsible for any default or dereliction which occurred before his designation as custodian. (g) Whenever any person fails to comply with any civil investigative demand duly served upon him under this section or whenever satisfactory copying or reproduction of any such material cannot be done and such person refuses to surrender such material, the Attorney General may file, in the district court of the United States for any judicial district in which such person resides, is found, or transacts business, and serve upon such person a petition for an order of such court for the enforcement of this section, except that if such person transacts business in more than one such district such petition shall be filed in the district in which such person maintains his principal place of business, or in such other district in which such person transacts business as may be agreed upon by the parties to such petition. (h) Within twenty days after the service of any such demand upon any person, or at any time before the return date specified in the demand, whichever period is shorter, such person may file, in the district court of the United States for the judicial district within which such person resides, is found, or transacts business, and serve upon such custodian a petition for an order of such court modifying or setting aside such demand. The time allowed for compliance with the demand in whole or in part as deemed proper and ordered by the court shall not run during the pendency of such petition in the court. Such petition shall specify each ground upon which the petitioner relies in seeking such relief, and may be based upon any failure of such demand to comply with the provisions of this section or upon any constitutional or other legal right or privilege of such person. (i) At any time during which any custodian is in custody or control of any documentary material delivered by any person in compliance with any such demand, such person may file, in the district court of the United States for the judicial district within which the office of such custodian is situated, and serve upon such custodian a petition for an order of such court requiring the performance by such custodian of any duty imposed upon him by this section. (j) Whenever any petition is filed in any district court of the United States under this section, such court shall have jurisdiction to hear and determine the matter so presented, and to enter such order or orders as may be required to carry into effect the provisions of this section. -SOURCE- (Added Pub. L. 91-452, title IX, Sec. 901(a), Oct. 15, 1970, 84 Stat. 944.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 section 1833a. ------DocID 24457 Document 699 of 1438------ -CITE- 18 USC CHAPTER 97 -EXPCITE- TITLE 18 PART I CHAPTER 97 -HEAD- CHAPTER 97 - RAILROADS -MISC1- Sec. 1991. Entering train to commit crime. 1992. Wrecking trains. HISTORICAL AND REVISION NOTES This chapter does not include motor busses, interstate trucking facilities or airplanes within the protection of existing law. Motor busses and trucks already carry a huge amount of interstate commerce. It is reasonable to presume that much interstate freight and express will soon be carried by air. Attention is directed to the consideration of the extension of the laws now applicable only to railroads to these other interstate facilities. 80th Congress House Report No. 304. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of murder or robbery, see section 2516 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 35 of this title. ------DocID 24458 Document 700 of 1438------ -CITE- 18 USC Sec. 1991 -EXPCITE- TITLE 18 PART I CHAPTER 97 -HEAD- Sec. 1991. Entering train to commit crime -STATUTE- Whoever, in any Territory or District, or within or upon any place within the exclusive jurisdiction of the United States, willfully and maliciously trespasses upon or enters upon any railroad train, railroad car, or railroad locomotive, with the intent to commit murder or robbery, shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. Whoever, within such jurisdiction, willfully and maliciously trespasses upon or enters upon any railroad train, railroad car, or railroad locomotive, with intent to commit any unlawful violence upon or against any passenger on said train, or car, or upon or against any engineer, conductor, fireman, brakeman, or any officer or employee connected with said locomotive, train, or car, or upon or against any express messenger or mail agent on said train or in any car thereof, or to commit any crime or offense against any person or property thereon, shall be fined not more than $1,000 or imprisoned not more than one year, or both. Upon the trial of any person charged with any offense set forth in this section, it shall not be necessary to set forth or prove the particular person against whom it was intended to commit the offense, or that it was intended to commit such offense against any particular person. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 794.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 522 (Mar. 4, 1909, ch. 321, Sec. 322, 35 Stat. 1150). After the word 'Whoever' the following was inserted: 'in any Territory or District, or within or upon any place within the exclusive jurisdiction of the United States' as based upon the express provisions of title 18, U.S.C., 1940 ed., Sec. 511, wherein this section is made applicable only 'in any Territory or District, or within or upon any place within the exclusive jurisdiction of the United States.' Words 'whoever shall counsel, aid, abet, or assist in the perpetration of any of the offenses set forth in this section shall be deemed to be a principal therein' were omitted as unnecessary. Such persons are made principals by section 2 of this title. Minor changes also were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. Larceny, etc., of goods from railroad car or station, see section 659 of this title. Railroad car entered or seal broken, see section 2117 of this title. Wire or oral communications, authorization for interception, to provide evidence of murder or robbery, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24459 Document 701 of 1438------ -CITE- 18 USC Sec. 1992 -EXPCITE- TITLE 18 PART I CHAPTER 97 -HEAD- Sec. 1992. Wrecking trains -STATUTE- Whoever willfully derails, disables, or wrecks any train, engine, motor unit, or car used, operated, or employed in interstate or foreign commerce by any railroad; or Whoever willfully sets fire to, or places any explosive substance on or near, or undermines any tunnel, bridge, viaduct, trestle, track, signal, station, depot, warehouse, terminal, or any other way, structure, property, or appurtenance used in the operation of any such railroad in interstate or foreign commerce, or otherwise makes any such tunnel, bridge, viaduct, trestle, track, signal, station, depot, warehouse, terminal, or any other way, structure, property, or appurtenance unworkable or unusable or hazardous to work or use, with the intent to derail, disable, or wreck a train, engine, motor unit, or car used, operated, or employed in interstate or foreign commerce; or Whoever willfully attempts to do any of the aforesaid acts or things - Shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. Whoever is convicted of any such crime, which has resulted in the death of any person, shall be subject also to the death penalty or to imprisonment for life, if the jury shall in its discretion so direct, or, in the case of a plea of guilty, if the court in its discretion shall so order. A judgment of conviction or acquittal on the merits under the laws of any State shall be a bar to any prosecution hereunder for the same act or acts. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 794.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 412a (June 8, 1940, ch. 286, 54 Stat. 255). First clause in second paragraph of said section 412a of title 18, U.S.C., 1940 ed., was omitted as covered by section 3231 of this title. Words 'and on conviction thereof' were omitted as surplusage since punishment cannot be imposed until a conviction is secured. -CROSS- CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2516 of this title. ------DocID 24460 Document 702 of 1438------ -CITE- 18 USC (CHAPTER 99 -EXPCITE- TITLE 18 PART I (CHAPTER 99 -HEAD- (CHAPTER 99 - REPEALED) ------DocID 24461 Document 703 of 1438------ -CITE- 18 USC Sec. 2031, 2032 -EXPCITE- TITLE 18 PART I (CHAPTER 99 -HEAD- (Sec. 2031, 2032. Repealed. Pub. L. 99-646, Sec. 87(c)(1), Nov. 10, 1986, 100 Stat. 3623; Pub. L. 99-654, Sec. 3(a)(1), Nov. 14, 1986, 100 Stat. 3663) -MISC1- Section 2031, act June 25, 1948, ch. 645, 62 Stat. 795, prescribed penalties for commission of rape within special maritime and territorial jurisdiction. Section 2032, act June 25, 1948, ch. 645, 62 Stat. 795, prescribed penalties for carnal knowledge of female under 16 within special maritime and territorial jurisdiction. EFFECTIVE DATE OF REPEAL Repeal by Pub. L. 99-646 and Pub. L. 99-654 effective, respectively, 30 days after Nov. 10, 1986, and 30 days after Nov. 14, 1986, see section 87 of Pub. L. 99-646 and section 4 of Pub. L. 99-654, set out as an Effective Date note under section 2241 of this title. ------DocID 24462 Document 704 of 1438------ -CITE- 18 USC CHAPTER 101 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- CHAPTER 101 - RECORDS AND REPORTS -MISC1- Sec. 2071. Concealment, removal, or mutilation generally. 2072. False crop reports. 2073. False entries and reports of moneys or securities. 2074. False weather reports. 2075. Officer failing to make returns or reports. 2076. Clerk of United States District Court. -CROSS- CROSS REFERENCES War contract records, see section 443 of this title. ------DocID 24463 Document 705 of 1438------ -CITE- 18 USC Sec. 2071 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- Sec. 2071. Concealment, removal, or mutilation generally -STATUTE- (a) Whoever willfully and unlawfully conceals, removes, mutilates, obliterates, or destroys, or attempts to do so, or, with intent to do so takes and carries away any record, proceeding, map, book, paper, document, or other thing, filed or deposited with any clerk or officer of any court of the United States, or in any public office, or with any judicial or public officer of the United States, shall be fined not more than $2,000 or imprisoned not more than three years, or both. (b) Whoever, having the custody of any such record, proceeding, map, book, document, paper, or other thing, willfully and unlawfully conceals, removes, mutilates, obliterates, falsifies, or destroys the same, shall be fined not more than $2,000 or imprisoned not more than three years, or both; and shall forfeit his office and be disqualified from holding any office under the United States. As used in this subsection, the term 'office' does not include the office held by any person as a retired officer of the Armed Forces of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 795; Nov. 5, 1990, Pub. L. 101-510, div. A, title V, Sec. 552(a), 104 Stat. 1566.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 234, 235 (Mar. 4, 1909, ch. 321, Sec. 128, 129, 35 Stat. 1111, 1112). Section consolidates sections 234 and 235 of title 18, U.S.C., 1940 ed. Reference in subsection (a) to intent to steal was omitted as covered by section 641 of this title. Minor changes were made in phraseology. AMENDMENTS 1990 - Subsec. (b). Pub. L. 101-510 inserted at end 'As used in this subsection, the term 'office' does not include the office held by any person as a retired officer of the Armed Forces of the United States.' EFFECTIVE DATE OF 1990 AMENDMENT Section 552(b) of Pub. L. 101-510 provided that: 'The amendment made by subsection (a) (amending this section) shall be effective as of January 1, 1989.' -CROSS- CROSS REFERENCES Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 593, 1901, 2381, 2385, and 2387 of this title. Theft of - Court record or process, see section 1506 of this title. Records, see section 641 of this title. War contract records, see section 443 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 3622. ------DocID 24464 Document 706 of 1438------ -CITE- 18 USC Sec. 2072 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- Sec. 2072. False crop reports -STATUTE- Whoever, being an officer or employee of the United States or any of its agencies, whose duties require the compilation or report of statistics or information relating to the products of the soil, knowingly compiles for issuance, or issues, any false statistics or information as a report of the United States or any of its agencies, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 795.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 215 (Mar. 4, 1909, ch. 321, Sec. 124, 35 Stat. 1111). Words 'or any of its agencies' were inserted after 'United States' so as to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) Minor changes were made in phraseology. ------DocID 24465 Document 707 of 1438------ -CITE- 18 USC Sec. 2073 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- Sec. 2073. False entries and reports of moneys or securities -STATUTE- Whoever, being an officer, clerk, agent, or other employee of the United States or any of its agencies, charged with the duty of keeping accounts or records of any kind, with intent to deceive, mislead, injure, or defraud, makes in any such account or record any false or fictitious entry or record of any matter relating to or connected with his duties; or Whoever, being an officer, clerk, agent, or other employee of the United States or any of its agencies, charged with the duty of receiving, holding, or paying over moneys or securities to, for, or on behalf of the United States, or of receiving or holding in trust for any person any moneys or securities, with like intent, makes a false report of such moneys or securities - Shall be fined not more than $5,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 795.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 189 (Mar. 4, 1911, ch. 270, 36 Stat. 1355). Words 'or any of its agencies' were inserted after 'United States' so as to eliminate any possible ambiguity as to scope of section. (See definitive section 6 of this title.) References to persons aiding and abetting were omitted. Such persons are principals under section 2 of this title. Minor verbal changes were made. ------DocID 24466 Document 708 of 1438------ -CITE- 18 USC Sec. 2074 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- Sec. 2074. False weather reports -STATUTE- Whoever knowingly issues or publishes any counterfeit weather forecast or warning of weather conditions falsely representing such forecast or warning to have been issued or published by the Weather Bureau, United States Signal Service, or other branch of the Government service, shall be fined not more than $500 or imprisoned not more than ninety days, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 795.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 117 (Mar. 4, 1909, ch. 321, Sec. 61, 35 Stat. 1100). Minor verbal changes were made. -REFTEXT- REFERENCES IN TEXT The United States Signal Service, referred to in text, is now the Signal Corps which is a branch of the Army, see section 3063 of Title 10, Armed Forces. -TRANS- TRANSFER OF FUNCTIONS Weather Bureau of Department of Commerce consolidated with Coast and Geodetic Survey to form a new agency in Department of Commerce to be known as Environmental Science Services Administration by Reorg. Plan No. 2 of 1965, eff. July 13, 1965, 30 F.R. 8819, 79 Stat. 1318, set out in the Appendix to Title 5, Government Organization and Employees. All functions of Bureau transferred to Secretary of Commerce by the Plan. Environmental Science Services Administration abolished by Reorg. Plan No. 4 of 1970, eff. Oct. 3, 1970, 35 F.R. 15627, 84 Stat. 2090, set out in the Appendix to Title 5, Government Organization and Employees, which created National Oceanic and Atmospheric Administration in Department of Commerce. By Department Organization Order 25-5A, republished 39 F.R. 27486, Secretary of Commerce delegated to NOAA his functions relating to Weather Bureau. By order of Acting Associate Administrator of NOAA, the organization name of Weather Bureau was changed to National Weather Service. For further details, see Codification note under section 311 of Title 15, Commerce and Trade. ------DocID 24467 Document 709 of 1438------ -CITE- 18 USC Sec. 2075 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- Sec. 2075. Officer failing to make returns or reports -STATUTE- Every officer who neglects or refuses to make any return or report which he is required to make at stated times by any Act of Congress or regulation of the Department of the Treasury, other than his accounts, within the time prescribed by such Act or regulation, shall be fined not more than $1,000. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 796.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 188, (Mar. 4, 1909, ch. 321, Sec. 101, 35 Stat. 1107). ------DocID 24468 Document 710 of 1438------ -CITE- 18 USC Sec. 2076 -EXPCITE- TITLE 18 PART I CHAPTER 101 -HEAD- Sec. 2076. Clerk of United States District Court -STATUTE- Whoever, being a clerk of a district court of the United States, willfully refuses or neglects to make or forward any report, certificate, statement, or document as required by law, shall be fined not more than $1,000 or imprisoned not more than one year. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 796.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 522 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Feb. 22, 1875, ch. 95, Sec. 6, 18 Stat. 334). The reference to the offense as a misdemeanor was omitted as unnecessary in view of the definition of 'misdemeanor' in section 1 of this title. The last sentence providing that conviction should not be a condition precedent to removal from office was omitted as unnecessary. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Removal of clerk from office, see section 751 of Title 28, Judiciary and Judicial Procedure. ------DocID 24469 Document 711 of 1438------ -CITE- 18 USC CHAPTER 102 -EXPCITE- TITLE 18 PART I CHAPTER 102 -HEAD- CHAPTER 102 - RIOTS -MISC1- Sec. 2101. Riots. 2102. Definitions. AMENDMENTS 1968 - Pub. L. 90-284, title I, Sec. 104(a), Apr. 11, 1968, 82 Stat. 75, added chapter 102 and items 2101 and 2102. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title. ------DocID 24470 Document 712 of 1438------ -CITE- 18 USC Sec. 2101 -EXPCITE- TITLE 18 PART I CHAPTER 102 -HEAD- Sec. 2101. Riots -STATUTE- (a)(1) Whoever travels in interstate or foreign commerce or uses any facility of interstate or foreign commerce, including, but not limited to, the mail, telegraph, telephone, radio, or television, with intent - (A) to incite a riot; or (B) to organize, promote, encourage, participate in, or carry on a riot; or (C) to commit any act of violence in furtherance of a riot; or (D) to aid or abet any person in inciting or participating in or carrying on a riot or committing any act of violence in furtherance of a riot; and who either during the course of any such travel or use or thereafter performs or attempts to perform any other overt act for any purpose specified in subparagraph (A), (B), (C), or (D) of this paragraph - Shall be fined not more than $10,000, or imprisoned not more than five years, or both. (b) In any prosecution under this section, proof that a defendant engaged or attempted to engage in one or more of the overt acts described in subparagraph (A), (B), (C), or (D) of paragraph (1) of subsection (a) and (1) has traveled in interstate or foreign commerce, or (2) has use of or used any facility of interstate or foreign commerce, including but not limited to, mail, telegraph, telephone, radio, or television, to communicate with or broadcast to any person or group of persons prior to such overt acts, such travel or use shall be admissible proof to establish that such defendant traveled in or used such facility of interstate or foreign commerce. (c) A judgment of conviction or acquittal on the merits under the laws of any State shall be a bar to any prosecution hereunder for the same act or acts. (d) Whenever, in the opinion of the Attorney General or of the appropriate officer of the Department of Justice charged by law or under the instructions of the Attorney General with authority to act, any person shall have violated this chapter, the Department shall proceed as speedily as possible with a prosecution of such person hereunder and with any appeal which may lie from any decision adverse to the Government resulting from such prosecution. (e) Nothing contained in this section shall be construed to make it unlawful for any person to travel in, or use any facility of, interstate or foreign commerce for the purpose of pursuing the legitimate objectives of organized labor, through orderly and lawful means. (f) Nothing in this section shall be construed as indicating an intent on the part of Congress to prevent any State, any possession or Commonwealth of the United States, or the District of Columbia, from exercising jurisdiction over any offense over which it would have jurisdiction in the absence of this section; nor shall anything in this section be construed as depriving State and local law enforcement authorities of responsibility for prosecuting acts that may be violations of this section and that are violations of State and local law. -SOURCE- (Added Pub. L. 90-284, title I, Sec. 104(a), Apr. 11, 1968, 82 Stat. 75, and amended Pub. L. 99-386, title I, Sec. 106, Aug. 22, 1986, 100 Stat. 822.) -MISC1- AMENDMENTS 1986 - Subsec. (d). Pub. L. 99-386 struck out '; or in the alternative shall report in writing, to the respective Houses of the Congress, the Department's reason for not so proceeding' after 'such prosecution'. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this chapter, see section 2516 of this title. ------DocID 24471 Document 713 of 1438------ -CITE- 18 USC Sec. 2102 -EXPCITE- TITLE 18 PART I CHAPTER 102 -HEAD- Sec. 2102. Definitions -STATUTE- (a) As used in this chapter, the term 'riot' means a public disturbance involving (1) an act or acts of violence by one or more persons part of an assemblage of three or more persons, which act or acts shall constitute a clear and present danger of, or shall result in, damage or injury to the property of any other person or to the person of any other individual or (2) a threat or threats of the commission of an act or acts of violence by one or more persons part of an assemblage of three or more persons having, individually or collectively, the ability of immediate execution of such threat or threats, where the performance of the threatened act or acts of violence would constitute a clear and present danger of, or would result in, damage or injury to the property of any other person or to the person of any other individual. (b) As used in this chapter, the term 'to incite a riot', or 'to organize, promote, encourage, participate in, or carry on a riot', includes, but is not limited to, urging or instigating other persons to riot, but shall not be deemed to mean the mere oral or written (1) advocacy of ideas or (2) expression of belief, not involving advocacy of any act or acts of violence or assertion of the rightness of, or the right to commit, any such act or acts. -SOURCE- (Added Pub. L. 90-284, title I, Sec. 104(a), Apr. 11, 1968, 82 Stat. 76.) ------DocID 24472 Document 714 of 1438------ -CITE- 18 USC CHAPTER 103 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- CHAPTER 103 - ROBBERY AND BURGLARY -MISC1- Sec. 2111. Special maritime and territorial jurisdiction. 2112. Personal property of United States. 2113. Bank robbery and incidental crimes. 2114. Mail, money, or other property of United States. 2115. Post office. 2116. Railway or steamboat post office. 2117. Breaking or entering carrier facilities. 2118. Robberies and burglaries involving controlled substances. AMENDMENTS 1984 - Pub. L. 98-305, Sec. 3, May 31, 1984, 98 Stat. 222, added item 2118. 1966 - Pub. L. 89-654, Sec. 2(d), Oct. 14, 1966, 80 Stat. 904, substituted 'Breaking or entering carrier facilities' for 'Railroad car entered or seal broken' in item 2117. -CROSS- CROSS REFERENCES Extradition of fugitives from country under control of United States, see section 3185 of this title. Indian country, punishment, see section 1153 of this title. Indians, jurisdiction of offenses by, see section 3242 of this title. Piracy, robbery ashore by those engaged in piratical cruise, see section 1661 of this title. Wire or oral communications, authorization for interception, to provide evidence of robbery, see section 2516 of this title. ------DocID 24473 Document 715 of 1438------ -CITE- 18 USC Sec. 2111 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2111. Special maritime and territorial jurisdiction -STATUTE- Whoever, within the special maritime and territorial jurisdiction of the United States, by force and violence, or by intimidation, takes from the person or presence of another anything of value, shall be imprisoned not more than fifteen years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 796.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 463 (Mar. 4, 1909, ch. 321, Sec. 284, 35 Stat. 1144). Words 'within the special maritime and territorial jurisdiction of the United States' were added to restrict the place of the offense to those places described in section 451 of title 18, U.S.C., 1940 ed., now section 7 of this title. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Actions aboard aircraft in flight in violation of this section punishable as provided herein, see section 1472 of Title 49, Appendix, Transportation. Definition, see section 7 of this title. High seas, citizens as pirates, see section 1652 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 49 App. section 1472. ------DocID 24474 Document 716 of 1438------ -CITE- 18 USC Sec. 2112 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2112. Personal property of United States -STATUTE- Whoever robs another of any kind or description of personal property belonging to the United States, shall be imprisoned not more than fifteen years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 796.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 99 (Mar. 4, 1909, ch. 321, Sec. 46, 35 Stat. 1097). That portion of said section 99 relating to felonious taking was omitted as covered by section 641 of this title. The punishment by fine of not more than $5,000 or imprisoned not more than 10 years, or both, was changed to harmonize with section 2111 of this title. The 15-year penalty is not excessive for an offense of this type. Minor verbal change was made. -CROSS- CROSS REFERENCES Embezzlement and theft of public property, see section 641 of this title. ------DocID 24475 Document 717 of 1438------ -CITE- 18 USC Sec. 2113 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2113. Bank robbery and incidental crimes -STATUTE- (a) Whoever, by force and violence, or by intimidation, takes, or attempts to take, from the person or presence of another, or obtains or attempts to obtain by extortion any property or money or any other thing of value belonging to, or in the care, custody, control, management, or possession of, any bank, credit union, or any savings and loan association; or Whoever enters or attempts to enter any bank, credit union, or any savings and loan association, or any building used in whole or in part as a bank, credit union, or as a savings and loan association, with intent to commit in such bank, credit union, or in such savings and loan association, or building, or part thereof, so used, any felony affecting such bank, credit union, or such savings and loan association and in violation of any statute of the United States, or any larceny - Shall be fined not more than $5,000 or imprisoned not more than twenty years, or both. (b) Whoever takes and carries away, with intent to steal or purloin, any property or money or any other thing of value exceeding $100 belonging to, or in the care, custody, control, management, or possession of any bank, credit union, or any savings and loan association, shall be fined not more than $5,000 or imprisoned not more than ten years, or both; or Whoever takes and carries away, with intent to steal or purloin, any property or money or any other thing of value not exceeding $100 belonging to, or in the care, custody, control, management, or possession of any bank, credit union, or any savings and loan association, shall be fined not more than $1,000 or imprisoned not more than one year, or both. (c) Whoever receives, possesses, conceals, stores, barters, sells, or disposes of, any property or money or other thing of value which has been taken or stolen from a bank, credit union, or savings and loan association in violation of subsection (b), knowing the same to be property which has been stolen shall be subject to the punishment provided in subsection (b) for the taker. (d) Whoever, in committing, or in attempting to commit, any offense defined in subsections (a) and (b) of this section, assaults any person, or puts in jeopardy the life of any person by the use of a dangerous weapon or device, shall be fined not more than $10,000 or imprisoned not more than twenty-five years, or both. (e) Whoever, in committing any offense defined in this section, or in avoiding or attempting to avoid apprehension for the commission of such offense, or in freeing himself or attempting to free himself from arrest or confinement for such offense, kills any person, or forces any person to accompany him without the consent of such person, shall be imprisoned not less than ten years, or punished by death if the verdict of the jury shall so direct. (f) As used in this section the term 'bank' means any member bank of the Federal Reserve System, and any bank, banking association, trust company, savings bank, or other banking institution organized or operating under the laws of the United States, including a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978), and any institution the deposits of which are insured by the Federal Deposit Insurance Corporation. (g) As used in this section the term 'credit union' means any Federal credit union and any State-chartered credit union the accounts of which are insured by the National Credit Union Administration Board, and any 'Federal credit union' as defined in section 2 of the Federal Credit Union Act. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 796; Aug. 3, 1950, ch. 516, 64 Stat. 394; Apr. 8, 1952, ch. 164, 66 Stat. 46; Sept. 22, 1959, Pub. L. 86-354, Sec. 2, 73 Stat. 639; Oct. 19, 1970, Pub. L. 91-468, Sec. 8, 84 Stat. 1017; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1106, 98 Stat. 2145; Nov. 10, 1986, Pub. L. 99-646, Sec. 68, 100 Stat. 3616; Aug. 9, 1989, Pub. L. 101-73, title IX, Sec. 962(a)(7), (d), 103 Stat. 502, 503; Nov. 29, 1990, Pub. L. 101-647, title XXV, Sec. 2597(l), 104 Stat. 4911.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 588a, 588b, 588c, of title 12, U.S.C., 1940 ed., Banks and Banking (May 18, 1934, ch. 304, Sec. 1, 2, 3, 48 Stat. 783; Aug. 23, 1935, ch. 614, Sec. 333, 49 Stat. 720; Aug. 24, 1937, ch. 747, 50 Stat. 749; June 29, 1940, ch. 455, 54 Stat. 695). Section consolidates sections 588a, 588b, and 588c of title 12, U.S.C., 1940 ed., Banks and Banking, as suggested by United States Attorney Clyde O. Eastus, of Fort Worth, Tex. Words 'felony or larceny' in subsection (a) were changed to 'felony affecting such bank and in violation of any statute of the United States, or any larceny'. Use of term 'felony' without limitation caused confusion as to whether a common law, State, or Federal felony was intended. Change conforms with Jerome v. U.S. (1943, 63 S. Ct. 483, 318 U.S. 101, 87 L. Ed. 640): 'Sec. 2(a) (Sec. 588b(a) of title 12, U.S.C., 1940 ed., Banks and Banking) is not deprived of vitality if it is interpreted to exclude State felonies and to include only those Federal felonies which affect banks protected by the Act.' Minimum punishment provisions were omitted from subsection (c). (See reviser's note under section 203 of this title.) Also the provisions of subsection (b) measuring the punishment by the amount involved were extended and made applicable to the receiver as well as the thief. There seems no good reason why the thief of less than $100 should be liable to a maximum of imprisonment for one year and the receiver subject to 10 years. The figures '100' were substituted for '50' in view of the fact that the present worth of $100 is less than the value of $50 when that sum was fixed as the dividing line between petit larceny and grand larceny. The attention of Congress is directed to the mandatory minimum punishment provisions of sections 2113(e) and 2114 of this title. These were left unchanged because of the controversial question involved. Such legislative attempts to control the discretion of the sentencing judge are contrary to the opinions of experienced criminologists and criminal law experts. They are calculated to work manifest injustice in many cases. Necessary minor translations of section references, and changes in phraseology, were made. -REFTEXT- REFERENCES IN TEXT Section 1(b) of the International Banking Act of 1978, referred to in subsec. (f), is classified to section 3101 of Title 12, Banks and Banking. Section 2 of the Federal Credit Union Act, referred to in subsec. (g), is classified to section 1752 of Title 12. -MISC2- AMENDMENTS 1990 - Subsec. (f). Pub. L. 101-647 inserted 'including a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978),' after 'operating under the laws of the United States,'. 1989 - Subsec. (f). Pub. L. 101-73, Sec. 962(d)(1), substituted 'any institution the deposits of which' for 'any bank the deposits of which'. Subsecs. (g), (h). Pub. L. 101-73, Sec. 962(a)(7), (d)(2), (3), redesignated subsec. (h) as (g), substituted 'National Credit Union Administration Board, and any 'Federal credit union' as defined in section 2 of the Federal Credit Union Act' for 'Administrator of the National Credit Union Administration', and struck out former subsec. (g) which read as follows: 'As used in this section the term 'savings and loan association' means any Federal savings and loan association and any 'insured institution' as defined in section 401 of the National Housing Act, as amended, and any 'Federal credit union' as defined in section 2 of the Federal Credit Union Act.' 1986 - Subsec. (a). Pub. L. 99-646 inserted ', or obtains or attempts to obtain by extortion' after 'presence of another' in first par. 1984 - Subsec. (c). Pub. L. 98-473 amended subsec. (c) generally, substituting 'which has been taken or stolen from a bank, credit union, or savings and loan association in violation of subsection (b), knowing the same to be property which has been stolen' for 'knowing the same to have been taken from a bank, credit union, or a savings and loan association, in violation of subsection (b) of this section'. 1970 - Subsecs. (a) to (c). Pub. L. 91-468, Sec. 8(1), inserted reference to 'credit union' after 'bank,' each place it appears. Subsec. (h). Pub. L. 91-468, Sec. 8(2), added subsec. (h). 1959 - Subsec. (g). Pub. L. 86-354 included Federal credit unions in definition of 'savings and loan association'. 1952 - Subsec. (g). Act Apr. 8, 1952, broadened definition of 'savings and loan association' by including any insured institution as defined in section 401 of the National Housing Act, as amended. 1950 - Act Aug. 3, 1950, brought within section State-chartered savings and loan associations whose accounts are insured by the Federal Savings and Loan Insurance Corporation. -CROSS- CROSS REFERENCES Embezzlement by bank officer or employee, see section 656 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title. ------DocID 24476 Document 718 of 1438------ -CITE- 18 USC Sec. 2114 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2114. Mail, money, or other property of United States -STATUTE- Whoever assaults any person having lawful charge, control, or custody of any mail matter or of any money or other property of the United States, with intent to rob, steal, or purloin such mail matter, money, or other property of the United States, or robs any such person of mail matter, or of any money, or other property of the United States, shall, for the first offense, be imprisoned not more than ten years; and if in effecting or attempting to effect such robbery he wounds the person having custody of such mail, money, or other property of the United States, or puts his life in jeopardy by the use of a dangerous weapon, or for a subsequent offense, shall be imprisoned not more than twenty-five years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 797; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 223(d), 98 Stat. 2028; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3562, 104 Stat. 4927.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 320 (Mar. 4, 1909, ch. 321, Sec. 197, 35 Stat. 1126; Aug. 26, 1935, ch. 694, 49 Stat. 867). The attention of Congress is directed to the mandatory minimum punishment provisions of sections 2113(e) and 2114 of this title. These were left unchanged because of the controversial question involved. Such legislative attempts to control the discretion of the sentencing judge are contrary to the opinions of experienced criminologists and criminal law experts. They are calculated to work manifest injustice in many cases. Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-647 inserted a comma after 'money' in section catchline. 1984 - Pub. L. 98-473, which directed insertion of 'not more than' after 'imprisoned', was executed by making the insertion after 'imprisoned' the second time appearing. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -CROSS- CROSS REFERENCES Temporarily employed messengers as employees of the postal service or carriers with custody, see section 1008 of Title 39, Postal Service. Theft of mail matter, see section 1708 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title; title 39 section 1008. ------DocID 24477 Document 719 of 1438------ -CITE- 18 USC Sec. 2115 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2115. Post office -STATUTE- Whoever forcibly breaks into or attempts to break into any post office, or any building used in whole or in part as a post office, with intent to commit in such post office, or building or part thereof, so used, any larceny or other depredation, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 797.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 315 (Mar. 4, 1909, ch. 321, Sec. 192, 335 Stat. 1125). Mandatory punishment provisions were rephrased in the alternative. Minor change in phraseology was made. ------DocID 24478 Document 720 of 1438------ -CITE- 18 USC Sec. 2116 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2116. Railway or steamboat post office -STATUTE- Whoever, by violence, enters a post-office car, or any part of any car, steamboat, or vessel, assigned to the use of the mail service, or willfully or maliciously assaults or interferes with any postal clerk in the discharge of his duties in connection with such car, steamboat, vessel, or apartment thereof, shall be fined not more than $1,000 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 797.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 316 (Mar. 4, 1909, ch. 321, Sec. 193, 35 Stat. 1125). Reference to persons aiding or assisting was deleted as unnecessary because such persons are made principals by section 2 of this title. Minor changes were made in phraseology. ------DocID 24479 Document 721 of 1438------ -CITE- 18 USC Sec. 2117 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2117. Breaking or entering carrier facilities -STATUTE- Whoever breaks the seal or lock of any railroad car, vessel, aircraft, motortruck, wagon or other vehicle or of any pipeline system, containing interstate or foreign shipments of freight or express or other property, or enters any such vehicle or pipeline system with intent in either case to commit larceny therein, shall be fined not more than $5,000 or imprisoned not more than ten years, or both. A judgment of conviction or acquittal on the merits under the laws of any State shall be a bar to any prosecution under this section for the same act or acts. Nothing contained in this section shall be construed as indicating an intent on the part of Congress to occupy the field in which provisions of this section operate to the exclusion of State laws on the same subject matter, nor shall any provision of this section be construed as invalidating any provision of State law unless such provision is inconsistent with any of the purposes of this section or any provision thereof. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 797; May 24, 1949, ch. 139, Sec. 44, 63 Stat. 96; Oct. 14, 1966, Pub. L. 89-654, Sec. 2(a)-(c), 80 Stat. 904.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 409 (Feb. 13, 1913, ch. 50, Sec. 1, 37 Stat. 670; Jan. 28, 1925, ch. 102, 43 Stat. 793; Jan. 21, 1933, ch. 16, 47 Stat. 773; July 24, 1946, ch. 606, 60 Stat. 656). Other provisions of section 409 of title 18, U.S.C., 1940 ed., were incorporated in sections 659 and 660 of this title. Minor changes were made in phraseology. 1949 ACT This section (section 44) conforms section 2117 of title 18, U.S.C., more closely with the original law from which it was derived, and with section 659 of such title. AMENDMENTS 1966 - Pub. L. 89-654 substituted 'Breaking or entering carrier facilities' for 'Railroad car entered or seal broken' as section catchline, inserted reference to 'pipeline system', substituted 'freight or express or other property' for 'freight or express', and prohibited any construction which might indicate a Congressional intent to occupy the field or invalidate State law. 1949 - Act May 24, 1949, inserted last par. -EXEC- EXECUTIVE ORDER NO. 11836 Ex. Ord. No. 11836, Jan. 27, 1975, 40 F.R. 4255, which assigned responsibilities to Federal departments and agencies with respect to the National Cargo Security Program, was revoked by Ex. Ord. No. 12553, Feb. 25, 1986, 51 F.R. 7237. -CROSS- CROSS REFERENCES Destruction of property moving in commerce, see sections 1281, 1282 of Title 15, Commerce and Trade. Entering train to commit murder or robbery, see section 1991 of this title. ------DocID 24480 Document 722 of 1438------ -CITE- 18 USC Sec. 2118 -EXPCITE- TITLE 18 PART I CHAPTER 103 -HEAD- Sec. 2118. Robberies and burglaries involving controlled substances -STATUTE- (a) Whoever takes or attempts to take from the person or presence of another by force or violence or by intimidation any material or compound containing any quantity of a controlled substance belonging to or in the care, custody, control, or possession of a person registered with the Drug Enforcement Administration under section 302 of the Controlled Substances Act (21 U.S.C. 822) shall, except as provided in subsection (c), be fined not more than $25,000 or imprisoned not more than twenty years, or both, if (1) the replacement cost of the material or compound to the registrant was not less than $500, (2) the person who engaged in such taking or attempted such taking traveled in interstate or foreign commerce or used any facility in interstate or foreign commerce to facilitate such taking or attempt, or (3) another person was killed or suffered significant bodily injury as a result of such taking or attempt. (b) Whoever, without authority, enters or attempts to enter, or remains in, the business premises or property of a person registered with the Drug Enforcement Administration under section 302 of the Controlled Substances Act (21 U.S.C. 822) with the intent to steal any material or compound containing any quantity of a controlled substance shall, except as provided in subsection (c), be fined not more than $25,000 or imprisoned not more than twenty years, or both, if (1) the replacement cost of the controlled substance to the registrant was not less than $500, (2) the person who engaged in such entry or attempted such entry or who remained in such premises or property traveled in interstate or foreign commerce or used any facility in interstate or foreign commerce to facilitate such entry or attempt or to facilitate remaining in such premises or property, or (3) another person was killed or suffered significant bodily injury as a result of such entry or attempt. (c)(1) Whoever in committing any offense under subsection (a) or (b) assaults any person, or puts in jeopardy the life of any person, by the use of a dangerous weapon or device shall be fined not more than $35,000 and imprisoned for not more than twenty-five years. (2) Whoever in committing any offense under subsection (a) or (b) kills any person shall be fined not more than $50,000 or imprisoned for any term of years or life, or both. (d) If two or more persons conspire to violate subsection (a) or (b) of this section and one or more of such persons do any overt act to effect the object of the conspiracy, each shall be fined not more than $25,000 or imprisoned not more than ten years or both. (e) For purposes of this section - (1) the term 'controlled substance' has the meaning prescribed for that term by section 102 of the Controlled Substances Act; (2) the term 'business premises or property' includes conveyances and storage facilities; and (3) the term 'significant bodily injury' means bodily injury which involves a risk of death, significant physical pain, protracted and obvious disfigurement, or a protracted loss or impairment of the function of a bodily member, organ, or mental or sensory faculty. -SOURCE- (Added Pub. L. 98-305, Sec. 2, May 31, 1984, 98 Stat. 221.) -REFTEXT- REFERENCES IN TEXT Section 102 of the Controlled Substances Act, referred to in subsec. (e)(1), is classified to section 802 of Title 21, Food and Drugs. -MISC2- SHORT TITLE Section 1 of Pub. L. 98-305 provided: 'That this Act (enacting this section and provisions set out as a note under section 522 of Title 28, Judiciary and Judicial Procedure) may be cited as the 'Controlled Substance Registrant Protection Act of 1984'.' REPORT TO CONGRESS Attorney General, for first three years after May 31, 1984, to submit to Congress an annual report with respect to enforcement activities relating to offenses under this section, see section 4 of Pub. L. 98-305, set out as a note under section 522 of Title 28, Judiciary and Judicial Procedure. ------DocID 24481 Document 723 of 1438------ -CITE- 18 USC CHAPTER 105 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- CHAPTER 105 - SABOTAGE -MISC1- Sec. 2151. Definitions. 2152. Fortifications, harbor defenses, or defensive sea areas. 2153. Destruction of war material, war premises or war utilities. 2154. Production of defective war material, war premises or war utilities. 2155. Destruction of national-defense materials, national-defense premises or national-defense utilities. 2156. Production of defective national-defense material, national-defense premises or national-defense utilities. 2157. Temporary extension of sections 2153 and 2154. AMENDMENTS 1954 - Act Sept. 3, 1954, ch. 1261, Sec. 106, 68 Stat. 1219, amended items 2153 to 2156 generally. 1953 - Act June 30, 1953, ch. 175, Sec. 1, 67 Stat. 133, added item 2157. -CROSS- CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses described hereunder, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this chapter, see section 3505 of Title 38, Veterans' Benefits. Security regulations and orders, penalty for violation of, see section 797 of Title 50, War and National Defense. Wire or oral communications, authorization for interception, to provide evidence of offenses under this chapter, see section 2516 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title; title 5 section 8312; title 8 section 1251; title 22 section 2778; title 38 section 3505; title 42 section 402; title 50 section 1801. ------DocID 24482 Document 724 of 1438------ -CITE- 18 USC Sec. 2151 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2151. Definitions -STATUTE- As used in this chapter: The words 'war material' include arms, armament, ammunition, livestock, forage, forest products and standing timber, stores of clothing, air, water, food, foodstuffs, fuel, supplies, munitions, and all articles, parts or ingredients, intended for, adapted to, or suitable for the use of the United States or any associate nation, in connection with the conduct of war or defense activities. The words 'war premises' include all buildings, grounds, mines, or other places wherein such war material is being produced, manufactured, repaired, stored, mined, extracted, distributed, loaded, unloaded, or transported, together with all machinery and appliances therein contained; and all forts, arsenals, navy yards, camps, prisons, or other installations of the Armed Forces of the United States, or any associate nation. The words 'war utilities' include all railroads, railways, electric lines, roads of whatever description, any railroad or railway fixture, canal, lock, dam, wharf, pier, dock, bridge, building, structure, engine, machine, mechanical contrivance, car, vehicle, boat, aircraft, airfields, air lanes, and fixtures or appurtenances thereof, or any other means of transportation whatsoever, whereon or whereby such war material or any troops of the United States, or of any associate nation, are being or may be transported either within the limits of the United States or upon the high seas or elsewhere; and all air-conditioning systems, dams, reservoirs, aqueducts, water and gas mains and pipes, structures and buildings, whereby or in connection with which air, water or gas is being furnished, or may be furnished, to any war premises or to the Armed Forces of the United States, or any associate nation, and all electric light and power, steam or pneumatic power, telephone and telegraph plants, poles, wires, and fixtures, and wireless stations, and the buildings connected with the maintenance and operation thereof used to supply air, water, light, heat, power, or facilities of communication to any war premises or to the Armed Forces of the United States, or any associate nation. The words 'associate nation' mean any nation at war with any nation with which the United States is at war. The words 'national-defense material' include arms, armament, ammunition, livestock, forage, forest products and standing timber, stores of clothing, air, water, food, foodstuffs, fuel, supplies, munitions, and all other articles of whatever description and any part or ingredient thereof, intended for, adapted to, or suitable for the use of the United States in connection with the national defense or for use in or in connection with the producing, manufacturing, repairing, storing, mining, extracting, distributing, loading, unloading, or transporting of any of the materials or other articles hereinbefore mentioned or any part or ingredient thereof. The words 'national-defense premises' include all buildings, grounds, mines, or other places wherein such national-defense material is being produced, manufactured, repaired, stored, mined, extracted, distributed, loaded, unloaded, or transported, together with all machinery and appliances therein contained; and all forts, arsenals, navy yards, camps, prisons, or other installations of the Armed Forces of the United States. The words 'national-defense utilities' include all railroads, railways, electric lines, roads of whatever description, railroad or railway fixture, canal, lock, dam, wharf, pier, dock, bridge, building, structure, engine, machine, mechanical contrivance, car, vehicle, boat, aircraft, airfields, air lanes, and fixtures or appurtenances thereof, or any other means of transportation whatsoever, whereon or whereby such national-defense material, or any troops of the United States, are being or may be transported either within the limits of the United States or upon the high seas or elsewhere; and all air-conditioning systems, dams, reservoirs, aqueducts, water and gas mains and pipes, structures, and buildings, whereby or in connection with which air, water, or gas may be furnished to any national-defense premises or to the Armed Forces of the United States, and all electric light and power, steam or pneumatic power, telephone and telegraph plants, poles, wires, and fixtures and wireless stations, and the buildings connected with the maintenance and operation thereof used to supply air, water, light, heat, power, or facilities of communication to any national-defense premises or to the Armed Forces of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 798; June 30, 1953, ch. 175, Sec. 2, 67 Stat. 133; Sept. 3, 1954, ch. 1261, title I, Sec. 101, 68 Stat. 1216.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 101, 104, of title 50, U.S.C., 1940 ed., War and National Defense (Apr. 20, 1918, ch. 59, Sec. 1, 4, 40 Stat. 533; Nov. 30, 1940, ch. 926, 54 Stat. 1220; Aug. 21, 1941, ch. 388, 55 Stat. 655; Dec. 24, 1942, ch. 824, 56 Stat. 1087). Section consolidated definitive sections 101 and 104 of title 50, U.S.C., 1940 ed., War and National Defense. Words 'As used in this chapter' were inserted at beginning for brevity. Definition of 'United States', was omitted as covered by section 5 of this title. Minor changes were made in phraseology and translations. AMENDMENTS 1954 - Act Sept. 3, 1954, redefined and enlarged definitions. 1953 - Act June 30, 1953, inserted 'or defense activities' after 'conduct of war' in definition of 'war material'. SHORT TITLE Section 1 of act Sept. 3, 1954, provided that: 'This Act (amending this section and sections 794 and 2153 to 2156 of this title) may be cited as the 'Espionage and Sabotage Act of 1954'.' REPEALS Section 7 of act June 30, 1953, ch. 175, 67 Stat. 134, repealed Joint Res. July 3, 1952, ch. 570, Sec. 1(a)(29), 66 Stat. 333; Joint Res. Mar. 31, 1953, ch. 13, Sec. 1, 67 Stat. 18, formerly cited as credits to this section and also formerly set out as a note under this section. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Repeal of Prior Extensions of War-time Provisions, see note under section 794 of this title. War material, amendment of definition, see section 2157 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 2157 of this title. ------DocID 24483 Document 725 of 1438------ -CITE- 18 USC Sec. 2152 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2152. Fortifications, harbor defenses, or defensive sea areas -STATUTE- Whoever willfully trespasses upon, injures, or destroys any of the works or property or material of any submarine mine or torpedo or fortification or harbor-defense system owned or constructed or in process of construction by the United States; or Whoever willfully interferes with the operation or use of any such submarine mine, torpedo, fortification, or harbor-defense system; or Whoever knowingly, willfully, or wantonly violates any duly authorized and promulgated order or regulation of the President governing persons or vessels within the limits of defensive sea areas, which the President, for purposes of national defense, may from time to time establish by executive order - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 799.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 96 (Mar. 4, 1909, ch. 321, Sec. 44, 35 Stat. 1097; Mar. 4, 1917, ch. 180, 39 Stat. 1194; May 22, 1917, ch. 20, Sec. 19, 40 Stat. 89). Jurisdiction and venue provisions were omitted as unnecessary and inconsistent with Rule 18 of the Federal Rules of Criminal Procedure providing for prosecution where the offense is committed, and section 3238 of this title providing that trial of offenses committed outside any district shall be in the district where the offender is found, or into which he is first brought. Words 'on conviction thereof' were omitted as surplusage as punishment cannot be imposed until conviction is had. Minor changes were made in phraseology. -EXEC- EXECUTIVE ORDER NO. 10361 Ex. Ord. No. 10361, June 12, 1952, 17 F.R. 5357, formerly set out as a note under this section, which established the Whittier Defensive Sea Area, Alaska, was revoked by Ex. Ord. No. 11549, July 28, 1970, 35 F.R. 12191. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24484 Document 726 of 1438------ -CITE- 18 USC Sec. 2153 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2153. Destruction of war material, war premises, or war utilities -STATUTE- (a) Whoever, when the United States is at war, or in times of national emergency as declared by the President or by the Congress, with intent to injure, interfere with, or obstruct the United States or any associate nation in preparing for or carrying on the war or defense activities, or, with reason to believe that his act may injure, interfere with, or obstruct the United States or any associate nation in preparing for or carrying on the war or defense activities, willfully injures, destroys, contaminates or infects, or attempts to so injure, destroy, contaminate or infect any war material, war premises, or war utilities, shall be fined not more than $10,000 or imprisoned not more than thirty years, or both. (b) If two or more persons conspire to violate this section, and one or more of such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be punished as provided in subsection (a) of this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 799; June 30, 1953, ch. 175, Sec. 2, 67 Stat. 133; Sept. 3, 1954, ch. 1261, title I, Sec. 102, 68 Stat. 1217.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 102 of title 50, U.S.C., 1940 ed., War and National Defense (Apr. 20, 1918, ch. 59, Sec. 2, 40 Stat. 534). 'As herein defined' was deleted as surplusage. The conspiracy provisions are new. Their addition to the section was strongly urged by the Criminal Division of the Department of Justice, considering the gravity of the substantive offense as evidenced by the prescribed punishment therefor. The punishment provisions of the general conspiracy statute, section 371 of this title, are inadequate. Words 'upon conviction thereof' were omitted as unnecessary since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. AMENDMENTS 1954 - Act Sept. 3, 1954, made section applicable in time of national emergency as well as war, and recognized the possibility of bacteriological warfare by making 'contamination' a crime. 1953 - Subsec. (a). Act June 30, 1953, inserted 'or defense activities' after 'carrying on the war'. REPEALS Section 7 of act June 30, 1953, ch. 175, 67 Stat. 134, repealed Joint Res. July 3, 1952, ch. 570, Sec. 1(a)(29), 66 Stat. 333; Joint Res. Mar. 31, 1953, ch. 13, Sec. 1, 67 Stat. 18, formerly cited as credits to this section and also formerly set out as a note under this section. TEMPORARY EXTENSION OF SECTION Temporary extension of section, see section 2157 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Repeal of Prior Extensions of War-time Provisions, see note under section 794 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 2157 of this title. ------DocID 24485 Document 727 of 1438------ -CITE- 18 USC Sec. 2154 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2154. Production of defective war material, war premises, or war utilities -STATUTE- (a) Whoever, when the United States is at war, or in times of national emergency as declared by the President or by the Congress, with intent to injure, interfere with, or obstruct the United States or any associate nation in preparing for or carrying on the war or defense activities, or, with reason to believe that his act may injure, interfere with, or obstruct the United States or any associate nation in preparing for or carrying on the war or defense activities, willfully makes, constructs, or causes to be made or constructed in a defective manner, or attempts to make, construct, or cause to be made or constructed in a defective manner any war material, war premises or war utilities, or any tool, implement, machine, utensil, or receptacle used or employed in making, producing, manufacturing, or repairing any such war material, war premises or war utilities, shall be fined not more than $10,000 or imprisoned not more than thirty years, or both. (b) If two or more persons conspire to violate this section, and one or more of such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be punished as provided in subsection (a) of this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 799; June 30, 1953, ch. 175, Sec. 2, 67 Stat. 133; Sept. 3, 1954, ch. 1261, title I, Sec. 103, 68 Stat. 1218.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 103 of title 50, U.S.C., 1940 ed., War and National Defense (Apr. 20, 1918, ch. 59, Sec. 3, 40 Stat. 534). The conspiracy provisions are new. Their addition to the section was strongly urged by the Criminal Division of the Department of Justice, considering the gravity of the substantive offense as evidenced by the prescribed punishment therefor. The punishment provisions of the general conspiracy statute, section 371 of this title, are inadequate. Words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. AMENDMENTS 1954 - Act Sept. 3, 1954, made section applicable in time of national emergency, and enlarged its scope by bringing 'war premises, or war utilities' within jurisdiction of section. 1953 - Subsec. (a). Act June 30, 1953, inserted 'or defense activities' after 'carrying on the war'. REPEALS Section 7 of act June 30, 1953, ch. 175, 67 Stat. 134, repealed Joint Res. July 3, 1952, ch. 570, Sec. 1(a)(29), 66 Stat. 333; Joint Res. Mar. 31, 1953, ch. 13, Sec. 1, 67 Stat. 18, formerly cited as credits to this section and also formerly set out as a note under this section. TEMPORARY EXTENSION OF SECTION Temporary extension of section, see section 2157 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Conspiracy to commit offense generally, see section 371 of this title. Production of defective national-defense material, see section 2156 of this title. Repeal of Prior Extensions of War-time Provisions, see note under section 794 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 2157 of this title. ------DocID 24486 Document 728 of 1438------ -CITE- 18 USC Sec. 2155 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2155. Destruction of national-defense materials, national-defense premises or national-defense utilities -STATUTE- (a) Whoever, with intent to injure, interfere with, or obstruct the national defense of the United States, willfully injures, destroys, contaminates or infects, or attempts to so injure, destroy, contaminate or infect any national-defense material, national-defense premises, or national-defense utilities, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (b) If two or more persons conspire to violate this section, and one or more of such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be punished as provided in subsection (a) of this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 799; Sept. 3, 1954, ch. 1261, title I, Sec. 104, 68 Stat. 1218.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 105 of title 50, U.S.C., 1940 ed., War and National Defense (Apr. 20, 1918, ch. 59, Sec. 5, as added Nov. 30, 1940, ch. 926, 54 Stat. 1221). Words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. AMENDMENTS 1954 - Act Sept. 3, 1954, inserted conspiracy provisions. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24487 Document 729 of 1438------ -CITE- 18 USC Sec. 2156 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2156. Production of defective national-defense material, national-defense premises or national-defense utilities -STATUTE- (a) Whoever, with intent to injure, interfere with, or obstruct the national defense of the United States, willfully makes, constructs, or attempts to make or construct in a defective manner, any national-defense material, national-defense premises or national-defense utilities, or any tool, implement, machine, utensil, or receptacle used or employed in making, producing, manufacturing, or repairing any such national-defense material, national-defense premises or national-defense utilities, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (b) If two or more persons conspire to violate this section, and one or more of such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be punished as provided in subsection (a) of this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 800; Sept. 3, 1954, ch. 1261, title I, Sec. 105, 68 Stat. 1218.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 106 of title 50, U.S.C., 1940 ed., War and National Defense (Apr. 20, 1918, ch. 59, Sec. 6, as added Nov. 30, 1940, ch. 926, 54 Stat. 1221). Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Minor changes were made in phraseology. AMENDMENTS 1954 - Act Sept. 3, 1954, inserted conspiracy provisions. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Production of defective war material, see section 2154 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24488 Document 730 of 1438------ -CITE- 18 USC Sec. 2157 -EXPCITE- TITLE 18 PART I CHAPTER 105 -HEAD- Sec. 2157. Temporary extension of sections 2153 and 2154 -STATUTE- (a) The provisions of sections 2153 and 2154 of this title, as amended and extended by section 1(a)(29) of the Emergency Powers Continuation Act (66 Stat. 333), as further amended by Public Law 12, Eighty-third Congress, in addition to coming into full force and effect in time of war shall remain in full force and effect until six months after the termination of the national emergency proclaimed by the President on December 16, 1950 (Proc. 2912, 3 C.F.R., 1950 Supp., p. 71), or such earlier date as may be prescribed by concurrent resolution of the Congress, and acts which would give rise to legal consequences and penalties under any of these provisions when performed during a state of war shall give rise to the same legal consequences and penalties when they are performed during the period above provided for. (b) Effective in each case for the period above provided for, title 18, United States Code, section 2151, is amended by inserting the words 'or defense activities' immediately before the period at the end of the definition of 'war material', and said sections 2153 and 2154 are amended by inserting the words 'or defense activities' immediately after the words 'carrying on the war' wherever they appear therein. -SOURCE- (Added June 30, 1953, ch. 175, Sec. 2, 67 Stat. 133.) -REFTEXT- REFERENCES IN TEXT Section 1(a)(29) of the Emergency Powers Continuation Act (66 Stat. 333), as further amended by Public Law 12, Eighty-third Congress, referred to in subsec. (a), formerly set out as a note under section 2151 of this title, was repealed by section 7 of act June 30, 1953. (Proc. 2912, 3 C.F.R., 1950 Supp., p. 71), referred to in subsec. (a), is an erroneous citation. It probably should refer to Proc. 2914 which is set out as a note preceding section 1 of Title 50, Appendix, War and National Defense. -MISC2- TERMINATION OF NATIONAL EMERGENCY Declaration of national emergency in effect on Sept. 14, 1976, was terminated two years from that date by section 1601 of Title 50, War and National Defense. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24489 Document 731 of 1438------ -CITE- 18 USC CHAPTER 107 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- CHAPTER 107 - SEAMEN AND STOWAWAYS -MISC1- Sec. 2191. Cruelty to seamen. 2192. Incitation of seamen to revolt or mutiny. 2193. Revolt or mutiny of seamen. 2194. Shanghaiing sailors. 2195. Abandonment of sailors. 2196. Drunkenness or neglect of duty by seamen. 2197. Misuse of Federal certificate, license or document. (2198. Repealed.) 2199. Stowaways on vessels or aircraft. AMENDMENTS 1990 - Pub. L. 101-647, title XII, Sec. 1207(b), Nov. 29, 1990, 104 Stat. 4832, struck out item 2198 'Seduction of female passenger'. -CROSS- CROSS REFERENCES Vessel of the United States defined, see section 9 of this title. ------DocID 24490 Document 732 of 1438------ -CITE- 18 USC Sec. 2191 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2191. Cruelty to seamen -STATUTE- Whoever, being the master or officer of a vessel of the United States, on the high seas, or on any other waters within the admiralty and maritime jurisdiction of the United States, flogs, beats, wounds, or without justifiable cause, imprisons any of the crew of such vessel, or withholds from them suitable food and nourishment, or inflicts upon them any corporal or other cruel and unusual punishment, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 800.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 482 and section 712 of title 46, U.S.C., 1940 ed., Shipping (Dec. 21, 1898, ch. 28, Sec. 22, 30 Stat. 761; Mar. 4, 1909, ch. 321, Sec. 291, 35 Stat. 1145). Section consolidates section 482 of title 18, U.S.C., 1940 ed., and the following language from section 712 of title 46, U.S.C., 1940 ed., Shipping, prohibiting flogging and corporal punishment: 'and any master or other officer thereof who shall violate the aforesaid provisions of this section, or either thereof, shall be deemed guilty of a misdemeanor, punishable by imprisonment for not less than three months nor more than two years.' That language was the basis for the addition of the word 'flogs' and the words 'any corporal or other' for the word 'any.' The punishment imposed by section 482 was adopted as that was the later statute as incorporated in 1909 Criminal Code. Words 'shall be deemed guilty of a misdemeanor,' contained in said section 712 of title 46, were omitted in view of definitive section 1 of this title. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Complaint as to provisions or water, see sections 10902, 10907 of Title 46, Shipping. Corporal punishment prohibited; duty to surrender guilty officer; civil liability, see section 11507 of Title 46. Neglect to provide sufficient stores, penalty for, see sections 10321, 11106 of Title 46. Penalty for failure to keep medicines, see section 11102 of Title 46. Recovery for injury to or death of seaman, see section 688 of Title 46, Appendix. Scale of provisions to be allowed and served out to the crew during the voyage, see section 10303 of Title 46. Surrendering officer inflicting corporal punishment, liability of master, see section 11507 of Title 46. Wages on justifiable complaint of seaman, see section 11106 of Title 46. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 46 section 11507. ------DocID 24491 Document 733 of 1438------ -CITE- 18 USC Sec. 2192 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2192. Incitation of seamen to revolt or mutiny -STATUTE- Whoever, being of the crew of a vessel of the United States, on the high seas, or on any other waters within the admiralty and maritime jurisdiction of the United States, endeavors to make a revolt or mutiny on board such vessel, or combines, conspires, or confederates with any other person on board to make such revolt or mutiny, or solicits, incites, or stirs up any other of the crew to disobey or resist the lawful orders of the master or other officer of such vessel, or to refuse or neglect his proper duty on board thereof, or to betray his proper trust, or assembles with others in a tumultuous and mutinous manner, or makes a riot on board thereof, or unlawfully confines the master or other commanding officer thereof, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 800.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 483 (Mar. 4, 1909, ch. 321, Sec. 292, 35 Stat. 1146). Minor changes were made in phraseology. ------DocID 24492 Document 734 of 1438------ -CITE- 18 USC Sec. 2193 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2193. Revolt or mutiny of seamen -STATUTE- Whoever, being of the crew of a vessel of the United States, on the high seas, or on any other waters within the admiralty and maritime jurisdiction of the United States, unlawfully and with force, or by fraud, or intimidation, usurps the command of such vessel from the master or other lawful officer in command thereof, or deprives him of authority and command on board, or resists or prevents him in the free and lawful exercise thereof, or transfers such authority and command to another not lawfully entitled thereto, is guilty of a revolt and mutiny, and shall be fined not more than $2,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 800.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 484 (Mar. 4, 1909, ch. 321, Sec. 293, 35 Stat. 1146). Punishment provision for mandatory fine and imprisonment was rephrased in the alternative so as to vest power in the court to impose either a fine, or imprisonment, or both, in its discretion. -CROSS- CROSS REFERENCES Willful disobedience to lawful command at sea and assault upon master or mate, see section 11501 of Title 46, Shipping. ------DocID 24493 Document 735 of 1438------ -CITE- 18 USC Sec. 2194 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2194. Shanghaiing sailors -STATUTE- Whoever, with intent that any person shall perform service or labor of any kind on board of any vessel engaged in trade and commerce among the several States or with foreign nations, or on board of any vessel of the United States engaged in navigating the high seas or any navigable water of the United States, procures or induces, or attempts to procure or induce, another, by force or threats or by representations which he knows or believes to be untrue, or while the person so procured or induced is intoxicated or under the influence of any drug, to go on board of any such vessel, or to sign or in anywise enter into any agreement to go on board of any such vessel to perform service or labor thereon; or Whoever knowingly detains on board of any such vessel any person so procured or induced to go on board, or to enter into any agreement to go on board, by any means herein defined - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 800.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 144 (Mar. 4, 1909, ch. 321, Sec. 82, 35 Stat. 1103). Reference to persons aiding or abetting was omitted as unnecessary as such persons are made principals by section 2 of this title. Minor changes were made in phraseology and arrangement. ------DocID 24494 Document 736 of 1438------ -CITE- 18 USC Sec. 2195 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2195. Abandonment of sailors -STATUTE- Whoever, being master or commander of a vessel of the United States, while abroad, maliciously and without justifiable cause forces any officer or mariner of such vessel on shore, in order to leave him behind in any foreign port or place, or refuses to bring home again all such officers and mariners of such vessel whom he carried out with him, as are in a condition to return and willing to return, when he is ready to proceed on his homeward voyage, shall be fined not more than $500 or imprisoned not more than six months, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 801.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 486 (Mar. 4, 1909, ch. 321, Sec. 295, 35 Stat. 1146). -CROSS- CROSS REFERENCES Penalty for neglect of consular officer to collect wages, see section 10318 of Title 46, Shipping. Wages on - Discharge by consular officer, see section 10318 of Title 46. Justifiable complaint of seaman, see section 11106 of Title 46. ------DocID 24495 Document 737 of 1438------ -CITE- 18 USC Sec. 2196 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2196. Drunkenness or neglect of duty by seamen -STATUTE- Whoever, being a master, officer, radio operator, seaman, apprentice or other person employed on any merchant vessel, by willful breach of duty, or by reason of drunkenness, does any act tending to the immediate loss or destruction of, or serious damage to, such vessel, or tending immediately to endanger the life or limb of any person belonging to or on board of such vessel; or, by willful breach of duty or by neglect of duty or by reason of drunkenness, refuses or omits to do any lawful act proper and requisite to be done by him for preserving such vessel from immediate loss, destruction, or serious damage, or for preserving any person belonging to or on board of such ship from immediate danger to life or limb, shall be imprisoned not more than one year. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 801.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 704 of title 46, U.S.C., 1940 ed., Shipping (R.S. Sec. 4602). Words 'officer, radio operator,' and 'or other person employed on' were inserted at beginning of section to insure clarity and scope of section. Section 701 of title 46, U.S.C., 1940 ed., Shipping, is very similar to this section as revised, and has been applied to mates (Morris v. Cornell, D.C. Mass. 1843, Fed. Cas. No. 9,829; Gladding v. Constant, D.C. Mass. 1844, Fed. Cas. No. 5,468; Foye v. Dabney, D.C. Mass. 1853, Fed. Cas. No. 5,022; Foye v. Lickie, D.C. Mass. 1853, Fed. Cas. No. 5,023; The Sylvia De Grasse, D.C.N.Y. 1843, Fed. Cas. No. 12,676; The Sadie C. Sumner, D.C. Mass. 1905, 142 F. 611), as well as engineers, assistant engineers and cooks. (See notes of decisions under section 701, of title 46, U.S.C., Shipping.) Words 'be guilty of a misdemeanor' were omitted as unnecessary in view of general definition of 'misdemeanor' in section 1 of this title. Minor changes were made in phraseology including substitution of 'one year' for 'twelve months' at end of section. ------DocID 24496 Document 738 of 1438------ -CITE- 18 USC Sec. 2197 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2197. Misuse of Federal certificate, license or document -STATUTE- Whoever, not being lawfully entitled thereto, uses, exhibits, or attempts to use or exhibit, or, with intent unlawfully to use the same, receives or possesses any certificate, license, or document issued to vessels, or officers or seamen by any officer or employee of the United States authorized by law to issue the same; or Whoever, without authority, alters or attempts to alter any such certificate, license, or document by addition, interpolation, deletion, or erasure; or Whoever forges, counterfeits, or steals, or attempts to forge, counterfeit, or steal, any such certificate, license, or document; or unlawfully possesses or knowingly uses any such altered, changed, forged, counterfeit, or stolen certificate, license, or document; or Whoever, without authority, prints or manufactures any blank form of such certificate, license, or document, or Whoever possesses without lawful excuse, and with intent unlawfully to use the same, any blank form of such certificate, license, or document; or Whoever, in any manner, transfers or negotiates such transfer of, any blank form of such certificate, license, or document, or any such altered, forged, counterfeit, or stolen certificate, license, or document, or any such certificate, license, or document to which the party transferring or receiving the same is not lawfully entitled - Shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 801.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 710a of title 46, U.S.C., 1940 ed., Shipping (June 25, 1936, ch. 816, Sec. 6, 49 Stat. 1936). The phrase 'the Bureau of Marine Inspection and Navigation,' identifying the agency issuing the certificate, license or document, was omitted without change of substance. The functions of the Bureau of Marine Inspection and Navigation were transferred to the Bureau of Customs and the Coast Guard by Executive Order 9083 Feb. 28, 1942, title 50, App. U.S.C., 1940 ed., following Sec. 601. Such transfer is temporary under section 621 of title 50, App., U.S.C., 1940 ed. (First War Powers Act). As revised the section is broad enough to embrace certificates, licenses and documents issued by the officers or employees of the Coast Guard and Customs Service, as the case may be. Reference to persons causing, procuring, aiding or abetting was omitted as such persons are principals under section 2 of this title. Words 'upon conviction thereof' were omitted as unnecessary, since punishment cannot be imposed until a conviction is secured. Changes were made in phraseology and arrangement. -CROSS- CROSS REFERENCES Enforcement and regulations, see section 2103 of Title 46, Shipping. ------DocID 24497 Document 739 of 1438------ -CITE- 18 USC Sec. 2198 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- (Sec. 2198. Repealed. Pub. L. 101-647, title XII, Sec. 1207(b), Nov. 29, 1990, 104 Stat. 4832) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 802, related to penalties for seducing a female passenger on an American vessel by employees of the vessel. ------DocID 24498 Document 740 of 1438------ -CITE- 18 USC Sec. 2199 -EXPCITE- TITLE 18 PART I CHAPTER 107 -HEAD- Sec. 2199. Stowaways on vessels or aircraft -STATUTE- Whoever, without the consent of the owner, charterer, master, or person in command of any vessel, or aircraft, with intent to obtain transportation, boards, enters or secretes himself aboard such vessel or aircraft and is thereon at the time of departure of said vessel or aircraft from a port, harbor, wharf, airport or other place within the jurisdiction of the United States; or Whoever, with like intent, having boarded, entered or secreted himself aboard a vessel or aircraft at any place within or without the jurisdiction of the United States, remains aboard after the vessel or aircraft has left such place and is thereon at any place within the jurisdiction of the United States; or Whoever, with intent to obtain a ride or transportation, boards or enters any aircraft owned or operated by the United States without the consent of the person in command or other duly authorized officer or agent - Shall be fined not more than $1,000 or imprisoned not more than one year, or both. The word 'aircraft' as used in this section includes any contrivance for navigation or flight in the air. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 802.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 469-474 (June 11, 1940, ch. 326, Sec. 1-3, 54 Stat. 306; Mar. 4, 1944, ch. 82, Sec. 1-4, 58 Stat. 111; Apr. 10, 1944, ch. 162, 58 Stat. 188). Sections consolidated and rewritten with changes of phraseology and substance. In section 469 of title 18, U.S.C., 1940 ed., the element of intent not to pay for transportation was omitted as unnecessary since the payment of transportation will invariably remove the stowaway from the operation of the section by purchasing the master's 'consent'. In section 472 of title 18, U.S.C., 1940 ed., the enumerations of State, Territory, Possession, District of Columbia, and The Canal Zone, was omitted as adequately covered by 'place within the jurisdiction of the United States.' The punishment provision is the same as in sections 470, 472, and 473 of title 18, U.S.C., 1940 ed., but the fine is $500 more than the maximum fine provided by said section 469. There seemed no point, however, in preserving a differential in favor of the stowaway as against the aider and abettor of $500. The court can be trusted to exercise a wise discretion within the slightly larger limits provided by the revised section. The provision for punishment of aiders and abettors in section 470 of title 18, U.S.C., 1940 ed., was omitted as unnecessary since they are punishable as principals by section 2 of this title. Sections 471 and 474 of title 18, U.S.C., 1940 ed., were omitted as obviously unnecessary. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Exclusion of stowaways under immigration laws, see section 1182 of Title 8, Aliens and Nationality. Unlawful bringing of aliens into United States, alien stowaways, see section 1323 of Title 8. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24499 Document 741 of 1438------ -CITE- 18 USC CHAPTER 109 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- CHAPTER 109 - SEARCHES AND SEIZURES -MISC1- Sec. 2231. Assault or resistance. 2232. Destruction or removal of property to prevent seizure. 2233. Rescue of seized property. 2234. Authority exceeded in executing warrant. 2235. Search warrant procured maliciously. 2236. Searches without warrant. -CROSS- CROSS REFERENCES Procedure relating to searches and seizures, see sections 3101 to 3116 of this title and rule 41 of the Federal Rules of Criminal Procedure, Appendix to this title. ------DocID 24500 Document 742 of 1438------ -CITE- 18 USC Sec. 2231 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- Sec. 2231. Assault or resistance -STATUTE- (a) Whoever forcibly assaults, resists, opposes, prevents, impedes, intimidates, or interferes with any person authorized to serve or execute search warrants or to make searches and seizures while engaged in the performance of his duties with regard thereto or on account of the performance of such duties, shall be fined not more than $5,000 or imprisoned not more than three years, or both; and - (b) Whoever, in committing any act in violation of this section, uses any deadly or dangerous weapon, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 802.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 121, 253, 254, 628 (Mar. 4, 1909, ch. 321, Sec. 65, 35 Stat. 1100; June 15, 1917, ch. 30, title XI, Sec. 18, 40 Stat. 230; May 18, 1934, ch. 299, Sec. 1, 2, 48 Stat. 780, 781; Feb. 8, 1936, ch. 40, 49 Stat. 1105; June 26, 1936, ch. 830, title I, Sec. 3, 49 Stat. 1940; Reorg. Plan No. II, Sec. 4(f), eff. July 1, 1939, 4 Fed. Reg. 2731, 53 Stat. 1433; June 13, 1940, ch. 359, 54 Stat. 391). Section consolidates section 628 of title 18, U.S.C., 1940 ed., and the portion of section 121 of said title relating to resistance of persons authorized to make searches. Punishment provided by section 121 of title 18, U.S.C., 1940 ed., was $2,000 fine and imprisonment for 1 year. Section 628 of said title was part of Espionage Act of June 15, 1917, ch. 30, title XIII, Sec. 1, 40 Stat. 231, prescribing fine of not more than $1,000 and imprisonment not exceeding 2 years for resisting service, execution of search warrant, or assaulting an officer. Section 253 of title 18, U.S.C., 1940 ed., enumerated United States marshals, deputies, and assistants, Federal Bureau of Investigation agents, and numerous other officers, the killing of whom is denounced as a Federal offense. Section 254 of title 18, U.S.C., 1940 ed., denounced the assaulting of such officers and prescribed punishment therefor without regard to nature of duties involved or performed. In other words sections 253 and 254 of title 18, U.S.C., 1940 ed., were not limited to officers executing search warrants. Officers enumerated in section 253 of title 18, U.S.C., 1940 ed., were substantially all those who serve or execute search warrants. Therefore, the language and punishment under section 254 of said title constitute basis of this revised section. No change in legislative intent is involved, as the amendments of sections 253 and 254 of said title are the latest enactments. The provisions of section 121 of title 18, U.S.C., 1940 ed., relating to rescue of property from seizing officer or its destruction to prevent seizure, are incorporated in sections 2232 and 2233 of this title. Minor changes were made in translation and phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Assaulting or resisting certain officers or employees, see section 111 of this title. Jurisdiction of offenses, see section 3241 of this title. Protection of officers and employees of United States, see section 1114 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24501 Document 743 of 1438------ -CITE- 18 USC Sec. 2232 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- Sec. 2232. Destruction or removal of property to prevent seizure -STATUTE- (a) Physical Interference With Search. - Whoever, before, during, or after seizure of any property by any person authorized to make searches and seizures, in order to prevent the seizure or securing of any goods, wares, or merchandise by such person, staves, breaks, throws overboard, destroys, or removes the same, shall be fined not more than $10,000 or imprisoned not more than five years, or both. (b) Notice of Search. - Whoever, having knowledge that any person authorized to make searches and seizures has been authorized or is otherwise likely to make a search or seizure, in order to prevent the authorized seizing or securing of any person, goods, wares, merchandise or other property, gives notice or attempts to give notice of the possible search or seizure to any person shall be fined not more than $10,000 or imprisoned not more than five years, or both. (c) Notice of Certain Electronic Surveillance. - Whoever, having knowledge that a Federal investigative or law enforcement officer has been authorized or has applied for authorization under chapter 119 to intercept a wire, oral, or electronic communication, in order to obstruct, impede, or prevent such interception, gives notice or attempts to give notice of the possible interception to any person shall be fined under this title or imprisoned not more than five years, or both. Whoever, having knowledge that a Federal officer has been authorized or has applied for authorization to conduct electronic surveillance under the Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. 1801, et seq.), in order to obstruct, impede, or prevent such activity, gives notice or attempts to give notice of the possible activity to any person shall be fined under this title or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 802; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1103, 98 Stat. 2143; Oct. 21, 1986, Pub. L. 99-508, title I, Sec. 109, 100 Stat. 1858; Nov. 10, 1986, Pub. L. 99-646, Sec. 33, 100 Stat. 3598; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7066, 102 Stat. 4404.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 121 (Mar. 4, 1909, ch. 321, Sec. 65, 35 Stat. 1100). Section was formed from the words following the first semicolon and ending with the second semicolon, in section 121 of title 18, U.S.C., 1940 ed. The remaining provisions of section 121 of title 18, U.S.C., 1940 ed., relating to assaulting, resisting, or interfering with customs officers, revenue officers, or other persons, and to the rescue of seized property, constitute, along with provisions from other sections, sections 2231 and 2233 of this title. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The Foreign Intelligence Surveillance Act of 1978, referred to in subsec. (c), is Pub. L. 95-511, Oct. 25, 1978, 92 Stat. 1783, as amended, which is classified principally to chapter 36 (Sec. 1801 et seq.) of Title 50, War and National Defense. For complete classification of this Act to the Code, see Short Title note set out under section 1801 of Title 50 and Tables. -MISC2- AMENDMENTS 1988 - Subsec. (c). Pub. L. 100-690 inserted 'of 1978' after 'Surveillance Act'. 1986 - Pub. L. 99-646 directed the designation of first and second pars. as subsecs. (a) and (b), respectively, which had been previously so designated by Pub. L. 99-508, and substituted 'imprisoned not' for 'imprisoned' in subsec. (a). Pub. L. 99-508 designated first and second pars. as subsecs. (a) and (b), respectively, and inserted headings, and added subsec. (c). 1984 - Pub. L. 98-473, Sec. 1103(a), substituted provisions raising the maximum fine from $2,000 to $10,000 and raising the maximum term of imprisonment from two years to five years. Pub. L. 98-473, Sec. 1103(b), inserted paragraph relating to the penalties for warning the subject of a search. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. ------DocID 24502 Document 744 of 1438------ -CITE- 18 USC Sec. 2233 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- Sec. 2233. Rescue of seized property -STATUTE- Whoever forcibly rescues, dispossesses, or attempts to rescue or dispossess any property, articles, or objects after the same shall have been taken, detained, or seized by any officer or other person under the authority of any revenue law of the United States, or by any person authorized to make searches and seizures, shall be fined not more than $2,000 or imprisoned not more than two years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 802.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 121, 128 (Mar. 4, 1909, ch. 321, Sec. 65, 71, 35 Stat. 1100, 1101). Section consolidates that portion of section 121 of title 18, U.S.C., 1940 ed., relating to rescue of seized property, with section 128 of title 18, U.S.C., 1940 ed. The remaining provisions of section 121 of present title 18, U.S.C., 1940 ed., relating to assaulting, resisting, or interfering with customs officers, revenue officers, or other persons, and to the destruction or removal of property to prevent seizure, constitute sections 2231 and 2232 of this title, the former provisions being consolidated with certain provisions of other sections. Said section 121 of present title 18, U.S.C., 1940 ed., provided for punishment by fine of not more than $2,000 or imprisonment of not more than 1 year, or both, of persons rescuing, attempting to rescue, or causing to be rescued, 'any property' which has been seized by 'any person' authorized to make searches and seizures. Said section 128 of present title 18, U.S.C., 1940 ed., provided for punishment by fine of not more than $300 and imprisonment for not more than 1 year of persons dispossessing, rescuing, or attempting to dispossess or rescue, or aiding or assisting in dispossessing or rescuing, 'any property taken or detained by any officer or other person under the authority of any revenue law of the United States.' This revised section adopts the maximum fine provisions of section 121 of title 18, U.S.C., 1940 ed., and extends the maximum term of imprisonment to 2 years. This was deemed advisable so that uniformity of punishment would be established and the provisions would be sufficiently broad to impose punishment commensurate with the gravity of the offense. (See section 3601(c)(2) of title 26, U.S.C., 1940 ed., Internal Revenue Code.) Reference to persons causing, procuring, aiding or assisting was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Changes were made in phraseology. -CROSS- CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. ------DocID 24503 Document 745 of 1438------ -CITE- 18 USC Sec. 2234 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- Sec. 2234. Authority exceeded in executing warrant -STATUTE- Whoever, in executing a search warrant, willfully exceeds his authority or exercises it with unnecessary severity, shall be fined not more than $1,000 or imprisoned not more than one year. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 803.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 631 (June 15, 1917, ch. 30, title XI, Sec. 21, 40 Stat. 230). Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Breaking doors or windows to execute warrant, see section 3109 of this title. Jurisdiction of offenses, see section 3241 of this title. Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 21 section 885. ------DocID 24504 Document 746 of 1438------ -CITE- 18 USC Sec. 2235 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- Sec. 2235. Search warrant procured maliciously -STATUTE- Whoever maliciously and without probable cause procures a search warrant to be issued and executed, shall be fined not more than $1,000 or imprisoned not more than one year. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 803.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 630 (June 15, 1917, ch. 30, title XI, Sec. 20, 40 Stat. 230). Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Jurisdiction of offenses, see section 3241 of this title. Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 21 section 885. ------DocID 24505 Document 747 of 1438------ -CITE- 18 USC Sec. 2236 -EXPCITE- TITLE 18 PART I CHAPTER 109 -HEAD- Sec. 2236. Searches without warrant -STATUTE- Whoever, being an officer, agent, or employee of the United States or any department or agency thereof, engaged in the enforcement of any law of the United States, searches any private dwelling used and occupied as such dwelling without a warrant directing such search, or maliciously and without reasonable cause searches any other building or property without a search warrant, shall be fined for a first offense not more than $1,000; and, for a subsequent offense, shall be fined not more than $1,000 or imprisoned not more than one year, or both. This section shall not apply to any person - (a) serving a warrant of arrest; or (b) arresting or attempting to arrest a person committing or attempting to commit an offense in his presence, or who has committed or is suspected on reasonable grounds of having committed a felony; or (c) making a search at the request or invitation or with the consent of the occupant of the premises. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 803.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 53a (Aug. 27, 1935, ch. 740, Sec. 201, 49 Stat. 877). Words 'or any department or agency thereof' were inserted to avoid ambiguity as to scope of section. (See definitive section 6 of this title.) The exception in the case of an invitation or the consent of the occupant, was inserted to make the section complete and remove any doubt as to the application of this section to searches which have uniformly been upheld. Reference to misdemeanor was omitted in view of definitive section 1 of this title. (See reviser's note under section 212 of this title.) Words 'upon conviction thereof shall be' were omitted as surplusage, since punishment cannot be imposed until conviction is secured. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES False representation as officer and search by impersonator, see section 913 of this title. Minor offenses tried by United States magistrate judges as excluding offenses punishable under this section, see section 3401 of this title. Unreasonable searches and seizures prohibited, see Const. Amend. 4. ------DocID 24506 Document 748 of 1438------ -CITE- 18 USC CHAPTER 109A -EXPCITE- TITLE 18 PART I CHAPTER 109A -HEAD- CHAPTER 109A - SEXUAL ABUSE -MISC1- Sec. 2241. Aggravated sexual abuse. 2242. Sexual abuse. 2243. Sexual abuse of a minor or ward. 2244. Abusive sexual contact. 2245. Definitions for chapter. -COD- CODIFICATION Pub. L. 99-646 and Pub. L. 99-654 added identical chapters 109A. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 113, 1153, 3185 of this title; title 46 section 10104; title 49 App. section 1472. ------DocID 24507 Document 749 of 1438------ -CITE- 18 USC Sec. 2241 -EXPCITE- TITLE 18 PART I CHAPTER 109A -HEAD- Sec. 2241. Aggravated sexual abuse -STATUTE- (a) By Force or Threat. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly causes another person to engage in a sexual act - (1) by using force against that other person; or (2) by threatening or placing that other person in fear that any person will be subjected to death, serious bodily injury, or kidnaping; or attempts to do so, shall be fined under this title, imprisoned for any term of years or life, or both. (b) By Other Means. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly - (1) renders another person unconscious and thereby engages in a sexual act with that other person; or (2) administers to another person by force or threat of force, or without the knowledge or permission of that person, a drug, intoxicant, or other similar substance and thereby - (A) substantially impairs the ability of that other person to appraise or control conduct; and (B) engages in a sexual act with that other person; or attempts to do so, shall be fined under this title, imprisoned for any term of years or life, or both. (c) With Children. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly engages in a sexual act with another person who has not attained the age of 12 years, or attempts to do so, shall be fined under this title, imprisoned for any term of years or life, or both. (d) State of Mind Proof Requirement. - In a prosecution under subsection (c) of this section, the Government need not prove that the defendant knew that the other person engaging in the sexual act had not attained the age of 12 years. -SOURCE- (Added Pub. L. 99-646, Sec. 87(b), Nov. 10, 1986, 100 Stat. 3620, and Pub. L. 99-654, Sec. 2, Nov. 14, 1986, 100 Stat. 3660.) -COD- CODIFICATION Pub. L. 99-646 and Pub. L. 99-654 added identical sections 2241. -MISC3- EFFECTIVE DATE Section 87(e) of Pub. L. 99-646 and section 4 of Pub. L. 99-654 provided, respectively, that: 'This section and the amendments made by this section (see Short Title note below) shall take effect 30 days after the date of the enactment of this Act (Nov. 10, 1986).' and 'This Act and the amendments made by this Act (see Short Title note below) shall take effect 30 days after the date of the enactment of this Act (Nov. 14, 1986).' SHORT TITLE Section 87(a) of Pub. L. 99-646 and section 1 of Pub. L. 99-654 provided, respectively, that: 'This section (enacting this chapter, amending sections 113, 1111, 1153, and 3185 of this title, sections 300w-3, 300w-4, and 9511 of Title 42, The Public Health and Welfare, and section 1472 of Title 49, Appendix, Transportation, and repealing chapter 99 of this title) may be cited as the 'Sexual Abuse Act of 1986'.' and 'This Act (enacting this chapter, amending sections 113, 1111, 1153, and 3185 of this title, sections 300w-3, 300w-4, and 9511 of Title 42, and section 1472 of Title 49, Appendix, Transportation, and repealing chapter 99 of this title) may be cited as the 'Sexual Abuse Act of 1986'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2244 of this title. ------DocID 24508 Document 750 of 1438------ -CITE- 18 USC Sec. 2242 -EXPCITE- TITLE 18 PART I CHAPTER 109A -HEAD- Sec. 2242. Sexual abuse -STATUTE- Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly - (1) causes another person to engage in a sexual act by threatening or placing that other person in fear (other than by threatening or placing that other person in fear that any person will be subjected to death, serious bodily injury, or kidnaping); or (2) engages in a sexual act with another person if that other person is - (A) incapable of appraising the nature of the conduct; or (B) physically incapable of declining participation in, or communicating unwillingness to engage in, that sexual act; or attempts to do so, shall be fined under this title, imprisoned not more than 20 years, or both. -SOURCE- (Added Pub. L. 99-646, Sec. 87(b), Nov. 10, 1986, 100 Stat. 3621, and Pub. L. 99-654, Sec. 2, Nov. 14, 1986, 100 Stat. 3661.) -COD- CODIFICATION Pub. L. 99-646 and Pub. L. 99-654 added identical sections 2242. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2244 of this title. ------DocID 24509 Document 751 of 1438------ -CITE- 18 USC Sec. 2243 -EXPCITE- TITLE 18 PART I CHAPTER 109A -HEAD- Sec. 2243. Sexual abuse of a minor or ward -STATUTE- (a) Of a Minor. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly engages in a sexual act with another person who - (1) has attained the age of 12 years but has not attained the age of 16 years; and (2) is at least four years younger than the person so engaging; or attempts to do so, shall be fined under this title, imprisoned not more than 15 years, or both. (b) Of a Ward. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly engages in a sexual act with another person who is - (1) in official detention; and (2) under the custodial, supervisory, or disciplinary authority of the person so engaging; or attempts to do so, shall be fined under this title, imprisoned not more than one year, or both. (c) Defenses. - (1) In a prosecution under subsection (a) of this section, it is a defense, which the defendant must establish by a preponderance of the evidence, that the defendant reasonably believed that the other person had attained the age of 16 years. (2) In a prosecution under this section, it is a defense, which the defendant must establish by a preponderance of the evidence, that the persons engaging in the sexual act were at that time married to each other. (d) State of Mind Proof Requirement. - In a prosecution under subsection (a) of this section, the Government need not prove that the defendant knew - (1) the age of the other person engaging in the sexual act; or (2) that the requisite age difference existed between the persons so engaging. -SOURCE- (Added Pub. L. 99-646, Sec. 87(b), Nov. 10, 1986, 100 Stat. 3621, and Pub. L. 99-654, Sec. 2, Nov. 14, 1986, 100 Stat. 3661, and amended Pub. L. 101-647, title III, Sec. 322, Nov. 29, 1990, 104 Stat. 4818.) -COD- CODIFICATION Pub. L. 99-646 and Pub. L. 99-654 added identical sections 2243. -MISC3- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted '15 years' for 'five years' in concluding provisions. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2244 of this title. ------DocID 24510 Document 752 of 1438------ -CITE- 18 USC Sec. 2244 -EXPCITE- TITLE 18 PART I CHAPTER 109A -HEAD- Sec. 2244. Abusive sexual contact -STATUTE- (a) Sexual Conduct in Circumstances Where Sexual Acts Are Punished by This Chapter. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly engages in or causes sexual contact with or by another person, if so to do would violate - (1) section 2241 of this title had the sexual contact been a sexual act, shall be fined under this title, imprisoned not more than ten years, or both; (2) section 2242 of this title had the sexual contact been a sexual act, shall be fined under this title, imprisoned not more than three years, or both; (3) subsection (a) of section 2243 of this title had the sexual contact been a sexual act, shall be fined under this title, imprisoned not more than two years, or both; or (4) subsection (b) of section 2243 of this title had the sexual contact been a sexual act, shall be fined not more than $5,000, imprisoned not more than six months, or both. (b) In Other Circumstances. - Whoever, in the special maritime and territorial jurisdiction of the United States or in a Federal prison, knowingly engages in sexual contact with another person without that other person's permission shall be fined not more than $5,000, imprisoned not more than six months, or both. -SOURCE- (Added Pub. L. 99-646, Sec. 87(b), Nov. 10, 1986, 100 Stat. 3622, and Pub. L. 99-654, Sec. 2, Nov. 14, 1986, 100 Stat. 3661, and amended Pub. L. 100-690, title VII, Sec. 7058(a), Nov. 18, 1988, 102 Stat. 4403.) -COD- CODIFICATION Pub. L. 99-646 and Pub. L. 99-654 added identical sections 2244. -MISC3- AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 substituted 'ten years' for 'five years' in par. (1) and 'two years' for 'one year' in par. (3). ------DocID 24511 Document 753 of 1438------ -CITE- 18 USC Sec. 2245 -EXPCITE- TITLE 18 PART I CHAPTER 109A -HEAD- Sec. 2245. Definitions for chapter -STATUTE- As used in this chapter - (1) the term 'prison' means a correctional, detention, or penal facility; (2) the term 'sexual act' means - (A) contact between the penis and the vulva or the penis and the anus, and for purposes of this subparagraph contact involving the penis occurs upon penetration, however slight; (B) contact between the mouth and the penis, the mouth and the vulva, or the mouth and the anus; or (C) the penetration, however slight, of the anal or genital opening of another by a hand or finger or by any object, with an intent to abuse, humiliate, harass, degrade, or arouse or gratify the sexual desire of any person; and (3) the term 'sexual contact' means the intentional touching, either directly or through the clothing, of the genitalia, anus, groin, breast, inner thigh, or buttocks of any person with an intent to abuse, humiliate, harass, degrade, or arouse or gratify the sexual desire of any person; (4) the term 'serious bodily injury' means bodily injury that involves a substantial risk of death, unconsciousness, extreme physical pain, protracted and obvious disfigurement, or protracted loss or impairment of the function of a bodily member, organ, or mental faculty. (5) the term 'official detention' means - (A) detention by a Federal officer or employee, or under the direction of a Federal officer or employee, following arrest for an offense; following surrender in lieu of arrest for an offense; following a charge or conviction of an offense, or an allegation or finding of juvenile delinquency; following commitment as a material witness; following civil commitment in lieu of criminal proceedings or pending resumption of criminal proceedings that are being held in abeyance, or pending extradition, deportation, or exclusion; or (B) custody by a Federal officer or employee, or under the direction of a Federal officer or employee, for purposes incident to any detention described in subparagraph (A) of this paragraph, including transportation, medical diagnosis or treatment, court appearance, work, and recreation; but does not include supervision or other control (other than custody during specified hours or days) after release on bail, probation, or parole, or after release following a finding of juvenile delinquency. -SOURCE- (Added Pub. L. 99-646, Sec. 87(b), Nov. 10, 1986, 100 Stat. 3622, and Pub. L. 99-654, Sec. 2, Nov. 14, 1986, 100 Stat. 3662.) -COD- CODIFICATION Pub. L. 99-646 and Pub. L. 99-654 added identical sections 2245. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 42 section 3756. ------DocID 24512 Document 754 of 1438------ -CITE- 18 USC CHAPTER 110 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- CHAPTER 110 - SEXUAL EXPLOITATION AND OTHER ABUSE OF CHILDREN -MISC1- Sec. 2251. Sexual exploitation of children. 2251A. Selling or buying of children. 2252. Certain activities relating to material involving the sexual exploitation of minors. 2253. Criminal forfeiture. 2254. Civil forfeiture. 2255. Civil remedy for personal injuries. 2256. Definitions for chapter. 2257. Record keeping requirements. 2258. Failure to report child abuse. AMENDMENTS 1990 - Pub. L. 101-647, title II, Sec. 226(g)(2), Nov. 29, 1990, 104 Stat. 4808, inserted 'AND OTHER ABUSE' after 'EXPLOITATION' in chapter heading and added item 2258. 1988 - Pub. L. 100-690, title VII, Sec. 7512(c), 7513(b), Nov. 18, 1988, 102 Stat. 4487, 4488, added items 2251A and 2257. 1986 - Pub. L. 99-500, Sec. 101(b), (title VII, Sec. 703(b)), Oct. 18, 1986, 100 Stat. 1783-39, 1783-75, and Pub. L. 99-591, Sec. 101(b) (title VII, Sec. 703(b)), Oct. 30, 1986, 100 Stat. 3341-39, 3341-75, added item 2255 and redesignated former item 2255 as 2256. 1984 - Pub. L. 98-292, Sec. 7, May 21, 1984, 98 Stat. 206, added items 2253 and 2254 and redesignated former item 2253 as 2255. ------DocID 24513 Document 755 of 1438------ -CITE- 18 USC Sec. 2251 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2251. Sexual exploitation of children -STATUTE- (a) Any person who employs, uses, persuades, induces, entices, or coerces any minor to engage in, or who has a minor assist any other person to engage in, or who transports any minor in interstate or foreign commerce, or in any Territory or Possession of the United States, with the intent that such minor engage in, any sexually explicit conduct for the purpose of producing any visual depiction of such conduct, shall be punished as provided under subsection (d), if such person knows or has reason to know that such visual depiction will be transported in interstate or foreign commerce or mailed, or if such visual depiction has actually been transported in interstate or foreign commerce or mailed. (b) Any parent, legal guardian, or person having custody or control of a minor who knowingly permits such minor to engage in, or to assist any other person to engage in, sexually explicit conduct for the purpose of producing any visual depiction of such conduct shall be punished as provided under subsection (d) of this section, if such parent, legal guardian, or person knows or has reason to know that such visual depiction will be transported in interstate or foreign commerce or mailed or if such visual depiction has actually been transported in interstate or foreign commerce or mailed. (c)(1) Any person who, in a circumstance described in paragraph (2), knowingly makes, prints, or publishes, or causes to be made, printed, or published, any notice or advertisement seeking or offering - (A) to receive, exchange, buy, produce, display, distribute, or reproduce, any visual depiction, if the production of such visual depiction involves the use of a minor engaging in sexually explicit conduct and such visual depiction is of such conduct; or (B) participation in any act of sexually explicit conduct by or with any minor for the purpose of producing a visual depiction of such conduct; shall be punished as provided under subsection (d). (2) The circumstance referred to in paragraph (1) is that - (A) such person knows or has reason to know that such notice or advertisement will be transported in interstate or foreign commerce by any means including by computer or mailed; or (B) such notice or advertisement is transported in interstate or foreign commerce by any means including by computer or mailed. (d) Any individual who violates this section shall be fined not more than $100,000, or imprisoned not more than 10 years, or both, but, if such individual has a prior conviction under this section, such individual shall be fined not more than $200,000, or imprisoned not less than five years nor more than 15 years, or both. Any organization which violates this section shall be fined not more than $250,000. -SOURCE- (Added Pub. L. 95-225, Sec. 2(a), Feb. 6, 1978, 92 Stat. 7, and amended Pub. L. 98-292, Sec. 3, May 21, 1984, 98 Stat. 204; Pub. L. 99-500, Sec. 101(b) (title VII, Sec. 704(a)), Oct. 18, 1986, 100 Stat. 1783-39, 1783-75, and Pub. L. 99-591, Sec. 101(b) (title VII, Sec. 704(a)), Oct. 30, 1986, 100 Stat. 3341-39, 3341-75; Pub. L. 99-628, Sec. 2, 3, Nov. 7, 1986, 100 Stat. 3510; Pub. L. 100-690, title VII, Sec. 7511(a), Nov. 18, 1988, 102 Stat. 4485; Pub. L. 101-647, title XXXV, Sec. 3563, Nov. 29, 1990, 104 Stat. 4928.) -COD- CODIFICATION Pub. L. 99-591 is a corrected version of Pub. L. 99-500. -MISC3- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted 'person to engage in,' for 'person to engage in,,'. 1988 - Subsec. (c)(2)(A), (B). Pub. L. 100-690 inserted 'by any means including by computer' after 'commerce'. 1986 - Subsec. (a). Pub. L. 99-628, Sec. 2(1), (3), inserted ', or who transports any minor in interstate or foreign commerce, or in any Territory or Possession of the United States, with the intent that such minor engage in,' after 'assist any other person to engage in,' and substituted 'subsection (d)' for 'subsection (c)'. Subsec. (b). Pub. L. 99-628, Sec. 2(2), substituted 'subsection (d)' for 'subsection (c)'. Subsecs. (c), (d). Pub. L. 99-628, Sec. 2(3), (4), added subsec. (c) and redesignated former subsec. (c) as (d). Pub. L. 99-500 and Pub. L. 99-591 substituted 'five years' for 'two years' in subsec. (c). 1984 - Subsecs. (a), (b). Pub. L. 98-292, Sec. 3(1), (2), substituted 'visual depiction' for 'visual or print medium' in three places and substituted 'of' for 'depicting' before 'such conduct'. Subsec. (c). Pub. L. 98-292, Sec. 3(3)-(6), substituted 'individual' for 'person' in three places, '$100,000' for '$10,000', and '$200,000' for '$15,000', and inserted 'Any organization which violates this section shall be fined not more than $250,000.' SHORT TITLE OF 1990 AMENDMENT Section 301(a) of title III of Pub. L. 101-647 provided that: 'This title (amending sections 1460, 2243, 2252, and 2257 of this title and enacting provisions set out as notes under section 2257 of this title and section 994 of Title 28, Judiciary and Judicial Procedure) may be cited as the 'Child Protection Restoration and Penalties Enhancement Act of 1990'.' SHORT TITLE OF 1988 AMENDMENT Section 7501 of title VII of Pub. L. 100-690 provided that: 'This subtitle (subtitle N (Sec. 7501-7526) of title VII of Pub. L. 100-690, enacting sections 1460, 1466 to 1469, 2251A, and 2257 of this title, amending this section, sections 1465, 1961, 2252 to 2254, 2256, and 2516 of this title, section 1305 of Title 19, Customs Duties, and section 223 of Title 47, Telegraphs, Telephones, and Radiotelegraphs, and enacting provisions set out as a note under section 2257 of this title) may be cited as the 'Child Protection and Obscenity Enforcement Act of 1988'.' SHORT TITLE OF 1986 AMENDMENTS Section 1 of Pub. L. 99-628 provided that: 'This Act (enacting sections 2421 to 2423 of this title, amending this section and sections 2255 and 2424 of this title, and repealing former sections 2421 to 2423 of this title) may be cited as the 'Child Sexual Abuse and Pornography Act of 1986'.' Section 101(b) (title VII, Sec. 701) of Pub. L. 99-500 and Pub. L. 99-591 provided that: 'This title (enacting section 2255 of this title, amending this section and section 2252 of this title, redesignating former section 2255 of this title as 2256, and enacting provisions set out as notes under this section) may be cited as the 'Child Abuse Victims' Rights Act of 1986'.' SHORT TITLE OF 1984 AMENDMENT Section 1 of Pub. L. 98-292 provided: 'That this Act (enacting sections 2253 and 2254 of this title, amending this section and sections 2252, 2255, and 2516 of this title, and enacting provisions set out as notes under this section and section 522 of Title 28, Judiciary and Judicial Procedure) may be cited as the 'Child Protection Act of 1984'.' SHORT TITLE Section 1 of Pub. L. 95-225 provided: 'That this Act (enacting this chapter and amending section 2423 of this title) may be cited as the 'Protection of Children Against Sexual Exploitation Act of 1977'.' SEVERABILITY Section 4 of Pub. L. 95-225 provided that: 'If any provision of this Act (see Short Title note set out above) or the application thereof to any person or circumstances is held invalid, the remainder of the Act and the application of the provision to other persons not similarly situated or to other circumstances shall not be affected thereby.' CONGRESSIONAL FINDINGS Section 101(b) (title VII, Sec. 702) of Pub. L. 99-500 and Pub. L. 99-591 provided that: 'The Congress finds that - '(1) child exploitation has become a multi-million dollar industry, infiltrated and operated by elements of organized crime, and by a nationwide network of individuals openly advertising their desire to exploit children; '(2) Congress has recognized the physiological, psychological, and emotional harm caused by the production, distribution, and display of child pornography by strengthening laws prescribing such activity; '(3) the Federal Government lacks sufficient enforcement tools to combat concerted efforts to exploit children prescribed by Federal law, and exploitation victims lack effective remedies under Federal law; and '(4) current rules of evidence, criminal procedure, and civil procedure and other courtroom and investigative procedures inhibit the participation of child victims as witnesses and damage their credibility when they do testify, impairing the prosecution of child exploitation offenses.' Section 2 of Pub. L. 98-292 provided that: 'The Congress finds that - '(1) child pornography has developed into a highly organized, multi-million-dollar industry which operates on a nationwide scale; '(2) thousands of children including large numbers of runaway and homeless youth are exploited in the production and distribution of pornographic materials; and '(3) the use of children as subjects of pornographic materials is harmful to the physiological, emotional, and mental health of the individual child and to society.' REPORT BY ATTORNEY GENERAL Section 101(b) (title VII, Sec. 705) of Pub. L. 99-500 and Pub. L. 99-591 required Attorney General, within one year after Oct. 18, 1986, to submit a report to Congress detailing possible changes in Federal Rules of Evidence, Federal Rules of Criminal Procedure, Federal Rules of Civil Procedure, and other Federal courtroom, prosecutorial, and investigative procedures which would facilitate the participation of child witnesses in cases involving child abuse and sexual exploitation. ANNUAL REPORT TO CONGRESS Attorney General to report annually to Congress on prosecutions, convictions, and forfeitures under this chapter, see section 9 of Pub. L. 98-292, set out as a note under section 522 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2253, 2254, 2255, 2516 of this title. ------DocID 24514 Document 756 of 1438------ -CITE- 18 USC Sec. 2251A -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2251A. Selling or buying of children -STATUTE- (a) Any parent, legal guardian, or other person having custody or control of a minor who sells or otherwise transfers custody or control of such minor, or offers to sell or otherwise transfer custody of such minor either - (1) with knowledge that, as a consequence of the sale or transfer, the minor will be portrayed in a visual depiction engaging in, or assisting another person to engage in, sexually explicit conduct; or (2) with intent to promote either - (A) the engaging in of sexually explicit conduct by such minor for the purpose of producing any visual depiction of such conduct; or (B) the rendering of assistance by the minor to any other person to engage in sexually explicit conduct for the purpose of producing any visual depiction of such conduct; shall be punished by imprisonment for not less than 20 years or for life and by a fine under this title, if any of the circumstances described in subsection (c) of this section exist. (b) Whoever purchases or otherwise obtains custody or control of a minor, or offers to purchase or otherwise obtain custody or control of a minor either - (1) with knowledge that, as a consequence of the purchase or obtaining of custody, the minor will be portrayed in a visual depiction engaging in, or assisting another person to engage in, sexually explicit conduct; or (2) with intent to promote either - (A) the engaging in of sexually explicit conduct by such minor for the purpose of producing any visual depiction of such conduct; or (B) the rendering of assistance by the minor to any other person to engage in sexually explicit conduct for the purpose of producing any visual depiction of such conduct; shall be punished by imprisonment for not less than 20 years or for life and by a fine under this title, if any of the circumstances described in subsection (c) of this section exist. (c) The circumstances referred to in subsections (a) and (b) are that - (1) in the course of the conduct described in such subsections the minor or the actor traveled in or was transported in interstate or foreign commerce; (2) any offer described in such subsections was communicated or transported in interstate or foreign commerce by any means including by computer or mail; or (3) the conduct described in such subsections took place in any territory or possession of the United States. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7512(a), Nov. 18, 1988, 102 Stat. 4486.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2253, 2254 of this title. ------DocID 24515 Document 757 of 1438------ -CITE- 18 USC Sec. 2252 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2252. Certain activities relating to material involving the sexual exploitation of minors -STATUTE- (a) Any person who - (1) knowingly transports or ships in interstate or foreign commerce by any means including by computer or mails, any visual depiction, if - (A) the producing of such visual depiction involves the use of a minor engaging in sexually explicit conduct; and (B) such visual depiction is of such conduct; (2) knowingly receives, or distributes, any visual depiction that has been mailed, or has been shipped or transported in interstate or foreign commerce, or which contains materials which have been mailed or so shipped or transported, by any means including by computer, or knowingly reproduces any visual depiction for distribution in interstate or foreign commerce or through the mails, if - (A) the producing of such visual depiction involves the use of a minor engaging in sexually explicit conduct; and (B) such visual depiction is of such conduct; (3) either - (A) in the special maritime and territorial jurisdiction of the United States, or on any land or building owned by, leased to, or otherwise used by or under the control of the Government of the United States, or in the Indian country as defined in section 1151 of this title, knowingly sells or possesses with intent to sell any visual depiction; or (B) knowingly sells or possesses with intent to sell any visual depiction that has been mailed, or has been shipped or transported in interstate or foreign commerce, or which was produced using materails (FOOTNOTE 1) which have been mailed or so shipped or transported, by any means, including by computer, if - (FOOTNOTE 1) So in original. Probably should be 'materials'. (i) the producing of such visual depiction involves the use of a minor engaging in sexually explicit conduct; and (ii) such visual depiction is of such conduct; or (4) either - (A) in the special maritime and territorial jurisdiction of the United States, or on any land or building owned by, leased to, or otherwise used by or under the control of the Government of the United States, or in the Indian country as defined in section 1151 of this title, knowingly possesses 3 or more books, magazines, periodicals, films, video tapes, or other matter which contain any visual depiction; or (B) knowingly possesses 3 or more books, magazines, periodicals, films, video tapes, or other matter which contain any visual depiction that has been mailed, or has been shipped or transported in interstate or foreign commerce, or which was produced using materials which have been mailed or so shipped or transported, by any means including by computer, if - (i) the producing of such visual depiction involves the use of a minor engaging in sexually explicit conduct; and (ii) such visual depiction is of such conduct; shall be punished as provided in subsection (b) of this section. (b)(1) Whoever violates paragraph (1), (2), or (3) of subsection (a) shall be fined under this title or imprisoned not more than ten years, or both, but, if such person has a prior conviction under this section, such person shall be fined under this title and imprisoned for not less than five years nor more than fifteen years. (2) Whoever violates paragraph (4) of subsection (a) shall be fined under this title or imprisoned for not more than five years, or both. -SOURCE- (Added Pub. L. 95-225, Sec. 2(a), Feb. 6, 1978, 92 Stat. 7, and amended Pub. L. 98-292, Sec. 4, May 21, 1984, 98 Stat. 204; Pub. L. 99-500, Sec. 101(b) (title VII, Sec. 704(b)), Oct. 18, 1986, 100 Stat. 1783-39, 1783-75, and Pub. L. 99-591, Sec. 101(b) (title VII, Sec. 704(b)), Oct. 30, 1986, 100 Stat. 3341-39, 3341-75; Pub. L. 100-690, title VII, Sec. 7511(b), Nov. 18, 1988, 102 Stat. 4485; Pub. L. 101-647, title III, Sec. 323(a), (b), Nov. 29, 1990, 104 Stat. 4818, 4819.) -COD- CODIFICATION Pub. L. 99-591 is a corrected version of Pub. L. 99-500. -MISC3- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 323(a), (b), struck out 'or' at end of par. (1), substituted 'that has been mailed, or has been shipped or transported in interstate or foreign commerce, or which contains materials which have been mailed or so shipped or transported, by any means including by computer,' for 'that has been transported or shipped in interstate or foreign commerce by any means including by computer or mailed' in par. (2), struck out at end 'shall be punished as provided in subsection (b) of this section.', and added pars. (3) and (4) and concluding provisions. Subsec. (b). Pub. L. 101-647, Sec. 323(a)(2), added subsec. (b) and struck out former subsec. (b) which read as follows: 'Any individual who violates this section shall be fined not more than $100,000, or imprisoned not more than 10 years, or both, but, if such individual has a prior conviction under this section, such individual shall be fined not more than $200,000, or imprisoned not less than five years nor more than 15 years, or both. Any organization which violates this section shall be fined not more than $250,000.' 1988 - Subsec. (a)(1), (2). Pub. L. 100-690 inserted 'by any means including by computer' after 'commerce' in introductory provisions. 1986 - Subsec. (b). Pub. L. 99-500 and Pub. L. 99-591 substituted 'five years' for 'two years'. 1984 - Subsec. (a)(1). Pub. L. 98-292, Sec. 4(1), (3), (4), substituted 'any visual depiction' for 'for the purpose of sale or distribution for sale, any obscene visual or print medium' in provisions preceding subpar. (A). Subsec. (a)(1)(A). Pub. L. 98-292, Sec. 4(4), substituted 'visual depiction' for 'visual or print medium'. Subsec. (a)(1)(B). Pub. L. 98-292, Sec. 4(4), (5), substituted 'visual depiction is of' for 'visual or print medium depicts'. Subsec. (a)(2). Pub. L. 98-292, Sec. 4(2)-(4), (6), (7), substituted ', or distributes, any visual depiction' for 'for the purpose of sale or distribution for sale, or knowingly sells or distributes for sale, any obscene visual or print medium' and inserted 'or knowingly reproduces any visual depiction for distribution in interstate or foreign commerce or through the mails' in provisions preceding subpar. (A). Subsec. (a)(2)(A). Pub. L. 98-292, Sec. 4(4), substituted 'visual depiction' for 'visual or print medium'. Subsec. (a)(2)(B). Pub. L. 98-292, Sec. 4(4), (5), substituted 'visual depiction is of' for 'visual or print medium depicts'. Subsec. (b). Pub. L. 98-292, Sec. 4(8)-(11), substituted 'individual' for 'person' in three places, '$100,000' for '$10,000', and '$200,000' for '$15,000', and inserted 'Any organization which violates this section shall be fined not more than $250,000.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2253, 2254, 2255, 2516 of this title. ------DocID 24516 Document 758 of 1438------ -CITE- 18 USC Sec. 2253 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2253. Criminal forfeiture -STATUTE- (a) Property Subject to Criminal Forfeiture. - A person who is convicted of an offense under this chapter involving a visual depiction described in section 2251, 2251A, or 2252 of this chapter shall forfeit to the United States such person's interest in - (1) any visual depiction described in section 2251, 2251A, or 2252 of this chapter, or any book, magazine, periodical, film, videotape, or other matter which contains any such visual depiction, which was produced, transported, mailed, shipped or received in violation of this chapter; (2) any property, real or personal, constituting or traceable to gross profits or other proceeds obtained from such offense; and (3) any property, real or personal, used or intended to be used to commit or to promote the commission of such offense. (b) Third Party Transfers. - All right, title, and interest in property described in subsection (a) of this section vests in the United States upon the commission of the act giving rise to forfeiture under this section. Any such property that is subsequently transferred to a person other than the defendant may be the subject of a special verdict of forfeiture and thereafter shall be ordered forfeited to the United States, unless the transferee establishes in a hearing pursuant to subsection (m) of this section that he is a bona fide purchaser for value of such property who at the time of purchase was reasonably without cause to believe that the property was subject to forfeiture under this section. (c) Protective Orders. - (1) Upon application of the United States, the court may enter a restraining order or injunction, require the execution of a satisfactory performance bond, or take any other action to preserve the availability of property described in subsection (a) of this section for forfeiture under this section - (A) upon the filing of an indictment or information charging a violation of this chapter for which criminal forfeiture may be ordered under this section and alleging that the property with respect to which the order is sought would, in the event of conviction, be subject to forfeiture under this section; or (B) prior to the filing of such an indictment or information, if, after notice to persons appearing to have an interest in the property and opportunity for a hearing, the court determines that - (i) there is a substantial probability that the United States will prevail on the issue of forfeiture and that failure to enter the order will result in the property being destroyed, removed from the jurisdiction of the court, or otherwise made unavailable for forfeiture; and (ii) the need to preserve the availability of the property through the entry of the requested order outweighs the hardship on any party against whom the order is to be entered; except that an order entered pursuant to subparagraph (B) shall be effective for not more than 90 days, unless extended by the court for good cause shown or unless an indictment or information described in subparagraph (A) has been filed. (2) A temporary restraining order under this subsection may be entered upon application of the United States without notice or opportunity for a hearing when an information or indictment has not yet been filed with respect to the property, if the United States demonstrates that there is probable cause to believe that the property with respect to which the order is sought would, in the event of conviction, be subject to forfeiture under this section and that provision of notice will jeopardize the availability of the property for forfeiture. Such a temporary order shall expire not more than 10 days after the date on which it is entered, unless extended for good cause shown or unless the party against whom it is entered consents to an extension for a longer period. A hearing requested concerning an order entered under this paragraph shall be held at the earliest possible time and prior to the expiration of the temporary order. (3) The court may receive and consider, at a hearing held pursuant to this subsection, evidence and information that would be inadmissible under the Federal Rules of Evidence. (d) Warrant of Seizure. - The Government may request the issuance of a warrant authorizing the seizure of property subject to forfeiture under this section in the same manner as provided for a search warrant. If the court determines that there is probable cause to believe that the property to be seized would, in the event of conviction, be subject to forfeiture and that an order under subsection (c) of this section may not be sufficient to assure the availability of the property for forfeiture, the court shall issue a warrant authorizing the seizure of such property. (e) Order of Forfeiture. - The court shall order forfeiture of property referred to in subsection (a) if the trier of fact determines, beyond a reasonable doubt, that such property is subject to forfeiture. (f) Execution. - Upon entry of an order of forfeiture under this section, the court shall authorize the Attorney General to seize all property ordered forfeited upon such terms and conditions as the court shall deem proper. Following entry of an order declaring the property forfeited, the court may, upon application of the United States, enter such appropriate restraining orders or injunctions, require the execution of satisfactory performance bonds, appoint receivers, conservators, appraisers, accountants, or trustees, or take any other action to protect the interest of the United States in the property ordered forfeited. Any income accruing to or derived from property ordered forfeited under this section may be used to offset ordinary and necessary expenses to the property which are required by law, or which are necessary to protect the interests of the United States or third parties. (g) Disposition of Property. - Following the seizure of property ordered forfeited under this section, the Attorney General shall destroy or retain for official use any article described in paragraph (1) of subsection (a), and shall retain for official use or direct the disposition of any property described in paragraph (2) or (3) of subsection (a) by sale or any other commercially feasible means, making due provision for the rights of any innocent persons. Any property right or interest not exercisable by, or transferable for value to, the United States shall expire and shall not revert to the defendant, nor shall the defendant or any person acting in concert with him or on his behalf be eligible to purchase forfeited property at any sale held by the United States. Upon application of a person, other than the defendant or person acting in concert with him or on his behalf, the court may restrain or stay the sale or disposition of the property pending the conclusion of any appeal of the criminal case giving rise to the forfeiture, if the applicant demonstrates that proceeding with the sale or disposition of the property will result in irreparable injury, harm, or loss to him. (h) Authority of Attorney General. - With respect to property ordered forfeited under this section, the Attorney General is authorized to - (1) grant petitions for mitigation or remission of forfeiture, restore forfeited property to victims of a violation of this chapter, or take any other action to protect the rights of innocent persons which is in the interest of justice and which is not inconsistent with the provisions of this section; (2) compromise claims arising under this section; (3) award compensation to persons providing information resulting in a forfeiture under this section; (4) direct the disposition by the United States, under section 616 of the Tariff Act of 1930, of all property ordered forfeited under this section by public sale or any other commercially feasible means, making due provision for the rights of innocent persons; and (5) take appropriate measures necessary to safeguard and maintain property ordered forfeited under this section pending its disposition. (i) Applicability of Civil Forfeiture Provisions. - Except to the extent that they are inconsistent with the provisions of this section, the provisions of section 2254(d) of this title (18 U.S.C. 2254(d)) shall apply to a criminal forfeiture under this section. (j) Bar on Intervention. - Except as provided in subsection (m) of this section, no party claiming an interest in property subject to forfeiture under this section may - (1) intervene in a trial or appeal of a criminal case involving the forfeiture of such property under this section; or (2) commence an action at law or equity against the United States concerning the validity of his alleged interest in the property subsequent to the filing of an indictment or information alleging that the property is subject to forfeiture under this section. (k) Jurisdiction To Enter Orders. - The district courts of the United States shall have jurisdiction to enter orders as provided in this section without regard to the location of any property which may be subject to forfeiture under this section or which has been ordered forfeited under this section. (l) Depositions. - In order to facilitate the identification and location of property declared forfeited and to facilitate the disposition of petitions for remission or mitigation of forfeiture, after the entry of an order declaring property forfeited to the United States, the court may, upon application of the United States, order that the testimony of any witness relating to the property forfeited be taken by deposition and that any designated book, paper, document, record, recording, or other material not privileged be produced at the same time and place, in the same manner as provided for the taking of depositions under rule 15 of the Federal Rules of Criminal Procedure. (m) Third Party Interests. - (1) Following the entry of an order of forfeiture under this section, the United States shall publish notice of the order and of its intent to dispose of the property in such manner as the Attorney General may direct. The Government may also, to the extent practicable, provide direct written notice to any person known to have alleged an interest in the property that is the subject of the order of forfeiture as a substitute for published notice as to those persons so notified. (2) Any person, other than the defendant, asserting a legal interest in property which has been ordered forfeited to the United States pursuant to this section may, within 30 days of the final publication of notice or his receipt of notice under paragraph (1), whichever is earlier, petition the court for a hearing to adjudicate the validity of his alleged interest in the property. The hearing shall be held before the court alone, without a jury. (3) The petition shall be signed by the petitioner under penalty of perjury and shall set forth the nature and extent of the petitioner's right, title, or interest in the property, the time and circumstances of the petitioner's acquisition of the right, title, or interest in the property, any additional facts supporting the petitioner's claim, and the relief sought. (4) The hearing on the petition shall, to the extent practicable and consistent with the interests of justice, be held within 30 days of the filing of the petition. The court may consolidate the hearing on the petition with a hearing on any other petition filed by a person other than the defendant under this subsection. (5) At the hearing, the petitioner may testify and present evidence and witnesses on his own behalf, and cross-examine witnesses who appear at the hearing. The United States may present evidence and witnesses in rebuttal and in defense of its claim to the property and cross-examine witnesses who appear at the hearing. In addition to testimony and evidence presented at the hearing, the court shall consider the relevant portions of the record of the criminal case which resulted in the order of forfeiture. (6) If, after the hearing, the court determines that the petitioner has established by a preponderance of the evidence that - (A) the petitioner has a legal right, title, or interest in the property, and such right, title, or interest renders the order of forfeiture invalid in whole or in part because the right, title, or interest was vested in the petitioner rather than the defendant or was superior to any right, title, or interest of the defendant at the time of the commission of the acts which gave rise to the forfeiture of the property under this section; or (B) the petitioner is a bona fide purchaser for value of the right, title, or interest in the property and was at the time of purchase reasonably without cause to believe that the property was subject to forfeiture under this section; the court shall amend the order of forfeiture in accordance with its determination. (7) Following the court's disposition of all petitions filed under this subsection, or if no such petitions are filed following the expiration of the period provided in paragraph (2) for the filing of such petitions, the United States shall have clear title to property that is the subject of the order of forfeiture and may warrant good title to any subsequent purchaser or transferee. (n) Construction. - This section shall be liberally construed to effectuate its remedial purposes. (o) Substitute Assets. - If any of the property described in subsection (a), as a result of any act or omission of the defendant - (1) cannot be located upon the exercise of due diligence; (2) has been transferred or sold to, or deposited with, a third party; (3) has been placed beyond the jurisdiction of the court; (4) has been substantially diminished in value; or (5) has been commingled with other property which cannot be divided without difficulty; the court shall order the forfeiture of any other property of the defendant up to the value of any property described in paragraphs (1) through (5). -SOURCE- (Added Pub. L. 98-292, Sec. 6, May 21, 1984, 98 Stat. 205, and amended Pub. L. 100-690, title VII, Sec. 7522(c), Nov. 18, 1988, 102 Stat. 4494; Pub. L. 101-647, title XXXV, Sec. 3564, Nov. 29, 1990, 104 Stat. 4928.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in subsec. (c)(3), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. Section 616 of the Tariff Act of 1930, referred to in subsec. (h)(4), is classified to section 1616a of Title 19, Customs Duties. The Federal Rules of Criminal Procedure, referred to in subsec. (l), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 2253 was redesignated section 2256 of this title. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 3564(1), substituted 'section 2251' for 'sections 2251' in introductory provisions and in par. (1). Subsec. (h)(4). Pub. L. 101-647, Sec. 3564(2), substituted 'under section 616 of the Tariff Act of 1930' for 'in accordance with the provisions of section 1616, title 19, United States Code'. 1988 - Pub. L. 100-690 amended section generally, substituting subsecs. (a) to (o) for former subsecs. (a) to (d). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2516 of this title. ------DocID 24517 Document 759 of 1438------ -CITE- 18 USC Sec. 2254 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2254. Civil forfeiture -STATUTE- (a) Property Subject to Civil Forfeiture. - The following property shall be subject to forfeiture by the United States: (1) Any visual depiction described in section 2251, 2251A, or 2252 of this chapter, or any book, magazine, periodical, film, videotape or other matter which contains any such visual depiction, which was produced, transported, mailed, shipped, or received in violation of this chapter. (2) Any property, real or personal, used or intended to be used to commit or to promote the commission of an offense under this chapter involving a visual depiction described in section 2251, 2251A, or 2252 of this chapter, except that no property shall be forfeited under this paragraph, to the extent of the interest of an owner, by reason of any act or omission established by that owner to have been committed or omitted without the knowledge or consent of that owner. (3) Any property, real or personal, constituting or traceable to gross profits or other proceeds obtained from a violation of this chapter involving a visual depiction described in section 2251, 2251A, or 2252 of this chapter, except that no property shall be forfeited under this paragraph, to the extent of the interest of an owner, by reason of any act or omission established by that owner to have been committed or omitted without the knowledge or consent of that owner. (b) Seizure Pursuant to Supplemental Rules for Certain Admiralty and Maritime Claims. - Any property subject to forfeiture to the United States under this section may be seized by the Attorney General, the Secretary of the Treasury, or the United States Postal Service upon process issued pursuant to the Supplemental Rules for Certain Admiralty and Maritime Claims by any district court of the United States having jurisdiction over the property, except that seizure without such process may be made when the seizure is pursuant to a search under a search warrant or incident to an arrest. The Government may request the issuance of a warrant authorizing the seizure of property subject to forfeiture under this section in the same manner as provided for a search warrant under the Federal Rules of Criminal Procedure. (c) Custody of Federal Official. - Property taken or detained under this section shall not be repleviable, but shall be deemed to be in the custody of the Attorney General, Secretary of the Treasury, or the United States Postal Service subject only to the orders and decrees of the court or the official having jurisdiction thereof. Whenever property is seized under any of the provisions of this subchapter, the Attorney General, Secretary of the Treasury, or the United States Postal Service may - (1) place the property under seal; (2) remove the property to a place designated by the official or agency; or (3) require that the General Services Administration take custody of the property and remove it, if practicable, to an appropriate location for disposition in accordance with law. (d) Other Laws and Proceedings Applicable. - All provisions of the customs laws relating to the seizure, summary and judicial forfeiture, and condemnation of property for violation of the customs laws, the disposition of such property or the proceeds from the sale thereof, the remission or mitigation of such forfeitures, and the compromise of claims, shall apply to seizures and forfeitures incurred, or alleged to have been incurred, under this section, insofar as applicable and not inconsistent with the provisions of this section, except that such duties as are imposed upon the customs officer or any other person with respect to the seizure and forfeiture of property under the customs laws shall be performed with respect to seizures and forfeitures of property under this section by such officers, agents, or other persons as may be authorized or designated for that purpose by the Attorney General, the Secretary of the Treasury, or the Postal Service, except to the extent that such duties arise from seizures and forfeitures affected by any customs officer. (e) Inapplicability of Certain Sections. - Sections 1606, 1613, 1614, 1617, and 1618 of title 19, United States Code, shall not apply with respect to any visual depiction or any matter containing a visual depiction subject to forfeiture under subsection (a)(1) of this section. (f) Disposition of Forfeited Property. - Whenever property is forfeited under this section the Attorney General shall destroy or retain for official use any property described in paragraph (1) of subsection (a) and, with respect to property described in paragraph (2) or (3) of subsection (a), may - (1) retain the property for official use or transfer the custody or ownership of any forfeited property to a Federal, State, or local agency under section 616 of the Tariff Act of 1930; (2) sell, by public sale or any other commercially feasible means, any forfeited property which is not required to be destroyed by law and which is not harmful to the public; or (3) require that the General Services Administration take custody of the property and dispose of it in accordance with law. The Attorney General, Secretary of the Treasury, or the United States Postal Service shall ensure the equitable transfer pursuant to paragraph (1) of any forfeited property to the appropriate State or local law enforcement agency so as to reflect generally the contribution of any such agency participating directly in any of the acts which led to the seizure or forfeiture of such property. A decision by an official or agency pursuant to paragraph (1) shall not be subject to judicial review. With respect to a forfeiture conducted by the Attorney General, the Attorney General shall forward to the Treasurer of the United States for deposit in accordance with section 524(c) of title 28 the proceeds from any sale under paragraph (2) and any moneys forfeited under this section. With respect to a forfeiture conducted by the Postal Service, the proceeds from any sale under paragraph (2) and any moneys forfeited under this section shall be deposited in the Postal Service Fund as required by section 2003(b)(7) of title 39. (g) Title to Property. - All right, title, and interest in property described in subsection (a) of this section shall vest in the United States upon commission of the act giving rise to forfeiture under this section. (h) Stay of Proceedings. - The filing of an indictment or information alleging a violation of this chapter which is also related to a civil forfeiture proceeding under this section shall, upon motion of the United States and for good cause shown, stay the civil forfeiture proceeding. (i) Venue. - In addition to the venue provided for in section 1395 of title 28 or any other provision of law, in the case of property of a defendant charged with a violation that is the basis for forfeiture of the property under this section, a proceeding for forfeiture under this section may be brought in the judicial district in which the defendant owning such property is found or in the judicial district in which the criminal prosecution is brought. -SOURCE- (Added Pub. L. 98-292, Sec. 6, May 21, 1984, 98 Stat. 205, and amended Pub. L. 99-500, Sec. 101(m) (title II, Sec. 201(a), (c)), Oct. 18, 1986, 100 Stat. 1783-308, 1783-314, and Pub. L. 99-591, Sec. 101(m) (title II, Sec. 201(a), (c)), Oct. 30, 1986, 100 Stat. 3341-308, 3341-314; Pub. L. 100-690, title VII, Sec. 7522(c), Nov. 18, 1988, 102 Stat. 4498; Pub. L. 101-647, title XX, Sec. 2003, title XXXV, Sec. 3565, Nov. 29, 1990, 104 Stat. 4855, 4928.) -REFTEXT- REFERENCES IN TEXT The Supplemental Rules for Certain Admiralty and Maritime Claims, referred to in subsec. (b), are set out as part of the Federal Rules of Civil Procedure in the Appendix to Title 28, Judiciary and Judicial Procedure. The Federal Rules of Criminal Procedure, referred to in subsec. (b), are set out in the Appendix to this title. The customs laws, referred to in subsec. (d), are classified generally to Title 19, Customs Duties. Section 616 of the Tariff Act of 1930, referred to in subsec. (f)(1), is classified to section 1616a of Title 19. -COD- CODIFICATION Pub. L. 99-591 is a corrected version of Pub. L. 99-500. -MISC3- AMENDMENTS 1990 - Subsec. (a)(1) to (3). Pub. L. 101-647, Sec. 3565(1), substituted 'section 2251' for 'sections 2251'. Subsec. (e). Pub. L. 101-647, Sec. 3565(2), inserted heading. Subsec. (f). Pub. L. 101-647, Sec. 3565(3)(A), substituted 'section' for 'subchapter' after 'forfeited under this' in two places in concluding provisions. Subsec. (f)(1). Pub. L. 101-647, Sec. 3565(3)(B), substituted 'under section 616 of the Tariff Act of 1930' for 'pursuant to section 1616 of title 19'. Subsec. (f)(2). Pub. L. 101-647, Sec. 2003, inserted ', by public sale or any other commercially feasible means,' after 'sell'. 1988 - Pub. L. 100-690 amended section generally, substituting subsecs. (a) to (i) for former subsecs. (a) to (d). 1986 - Pub. L. 99-500 and Pub. L. 99-591 amended section identically, inserting ', and any property, real or personal, tangible or intangible, which was used or intended to be used, in any manner or part, to facilitate a violation of this chapter' in subsec. (a)(1), substituting 'Attorney General or the Postal Service' for 'Attorney General' in subsec. (b), and adding subsecs. (c) and (d). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2253 of this title. ------DocID 24518 Document 760 of 1438------ -CITE- 18 USC Sec. 2255 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2255. Civil remedy for personal injuries -STATUTE- (a) Any minor who is a victim of a violation of section 2251 or 2252 of this title and who suffers personal injury as a result of such violation may sue in any appropriate United States District Court and shall recover the actual damages such minor sustains and the cost of the suit, including a reasonable attorney's fee. Any minor as described in the preceding sentence shall be deemed to have sustained damages of no less than $50,000 in value. (b) Any action commenced under this section shall be barred unless the complaint is filed within six years after the right of action first accrues or in the case of a person under a legal disability, not later than three years after the disability. -SOURCE- (Added Pub. L. 99-500, Sec. 101(b) (title VII, Sec. 703(a)), Oct. 18, 1986, 100 Stat. 1783-39, 1783-74, and Pub. L. 99-591, Sec. 101(b) (title VII, Sec. 703(a)), Oct. 30, 1986, 100 Stat. 3341-39, 3341-74.) -COD- CODIFICATION Pub. L. 99-591 is a corrected version of Pub. L. 99-500. -MISC3- PRIOR PROVISIONS Another section 2255 was renumbered section 2256 of this title. ------DocID 24519 Document 761 of 1438------ -CITE- 18 USC Sec. 2256 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2256. Definitions for chapter -STATUTE- For the purposes of this chapter, the term - (1) 'minor' means any person under the age of eighteen years; (2) 'sexually explicit conduct' means actual or simulated - (A) sexual intercourse, including genital-genital, oral-genital, anal-genital, or oral-anal, whether between persons of the same or opposite sex; (B) bestiality; (C) masturbation; (D) sadistic or masochistic abuse; or (E) lascivious exhibition of the genitals or pubic area of any person; (3) 'producing' means producing, directing, manufacturing, issuing, publishing, or advertising; (4) 'organization' means a person other than an individual; (5) 'visual depiction' includes undeveloped film and videotape; (6) 'computer' has the meaning given that term in section 1030 of this title; and (7) 'custody or control' includes temporary supervision over or responsibility for a minor whether legally or illegally obtained. -SOURCE- (Added Pub. L. 95-225, Sec. 2(a), Feb. 6, 1978, 92 Stat. 8, Sec. 2253; renumbered Sec. 2255 and amended Pub. L. 98-292, Sec. 5, May 21, 1984, 98 Stat. 205; renumbered Sec. 2256, Pub. L. 99-500, Sec. 101(b) (title VII, Sec. 703(a)), Oct. 18, 1986, 100 Stat. 1783-39, 1783-74, and Pub. L. 99-591, Sec. 101(b) (title VII, Sec. 703(a)), Oct. 30, 1986, 100 Stat. 3341-39, 3341-74; Pub. L. 99-628, Sec. 4, Nov. 7, 1986, 100 Stat. 3510; Pub. L. 100-690, title VII, Sec. 7511(c), 7512(b), Nov. 18, 1988, 102 Stat. 4485, 4486.) -COD- CODIFICATION Pub. L. 99-591 is a corrected version of Pub. L. 99-500. -MISC3- AMENDMENTS 1988 - Par. (6). Pub. L. 100-690, Sec. 7511(c), added par. (6). Par. (7). Pub. L. 100-690, Sec. 7512(b), added par. (7). 1986 - Par. (5). Pub. L. 99-628, which directed that par. (5) be added to section 2255 of this title, was executed by adding par. (5) to section 2256 of this title to reflect the probable intent of Congress and the renumbering of section 2255 as 2256 by Pub. L. 99-500 and Pub. L. 99-591. 1984 - Par. (1). Pub. L. 98-292, Sec. 5(1), substituted 'eighteen' for 'sixteen'. Par. (2)(D). Pub. L. 98-292, Sec. 5(2), (3), substituted 'sadistic or masochistic' for 'sado-masochistic' and struck out '(for the purpose of sexual stimulation)' after 'abuse'. Par. (2)(E). Pub. L. 98-292, Sec. 5(4), substituted 'lacivious' for 'lewd'. Par. (3). Pub. L. 98-292, Sec. 5(5), struck out ', for pecuniary profit' after 'advertising'. Par. (4). Pub. L. 98-292, Sec. 5(6), substituted ' 'organization' means a person other than an individual' for ' 'visual or print medium' means any film, photograph, negative, slide, book, magazine, or other visual or print medium'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2257 of this title. ------DocID 24520 Document 762 of 1438------ -CITE- 18 USC Sec. 2257 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2257. Record keeping requirements -STATUTE- (a) Whoever produces any book, magazine, periodical, film, videotape, or other matter which - (1) contains one or more visual depictions made after November 1, 1990 of actual sexually explicit conduct; and (2) is produced in whole or in part with materials which have been mailed or shipped in interstate or foreign commerce, or is shipped or transported or is intended for shipment or transportation in interstate or foreign commerce; shall create and maintain individually identifiable records pertaining to every performer portrayed in such a visual depiction. (b) Any person to whom subsection (a) applies shall, with respect to every performer portrayed in a visual depiction of actual sexually explicit conduct - (1) ascertain, by examination of an identification document containing such information, the performer's name and date of birth, and require the performer to provide such other indicia of his or her identity as may be prescribed by regulations; (2) ascertain any name, other than the performer's present and correct name, ever used by the performer including maiden name, alias, nickname, stage, or professional name; and (3) record in the records required by subsection (a) the information required by paragraphs (1) and (2) of this subsection and such other identifying information as may be prescribed by regulation. (c) Any person to whom subsection (a) applies shall maintain the records required by this section at his business premises, or at such other place as the Attorney General may by regulation prescribe and shall make such records available to the Attorney General for inspection at all reasonable times. (d)(1) No information or evidence obtained from records required to be created or maintained by this section shall, except as provided in this section, directly or indirectly, be used as evidence against any person with respect to any violation of law. (2) Paragraph (1) of this subsection shall not preclude the use of such information or evidence in a prosecution or other action for a violation of this section or for a violation of any applicable provision of law with respect to the furnishing of false information. (e)(1) Any person to whom subsection (a) applies shall cause to be affixed to every copy of any matter described in paragraph (1) of subsection (a) of this section, in such manner and in such form as the Attorney General shall by regulations prescribe, a statement describing where the records required by this section with respect to all performers depicted in that copy of the matter may be located. (2) If the person to whom subsection (a) of this section applies is an organization the statement required by this subsection shall include the name, title, and business address of the individual employed by such organization responsible for maintaining the records required by this section. (f) (FOOTNOTE 1) It shall be unlawful - (FOOTNOTE 1) Another subsec. (f) is set out below. (1) for any person to whom subsection (a) applies to fail to create or maintain the records as required by subsections (a) and (c) or by any regulation promulgated under this section; (2) for any person to whom subsection (a) applies knowingly to make any false entry in or knowingly to fail to make an appropriate entry in, any record required by subsection (b) of this section or any regulation promulgated under this section; (3) for any person to whom subsection (a) applies knowingly to fail to comply with the provisions of subsection (e) or any regulation promulgated pursuant to that subsection; and (4) for any person knowingly to sell or otherwise transfer, or offer for sale or transfer, any book, magazine, periodical, film, video, or other matter, produce in whole or in part with materials which have been mailed or shipped in interstate or foreign commerce or which is intended for shipment in interstate or foreign commerce, which - (A) contains one or more visual depictions made after the effective date of this subsection of actual sexually explicit conduct; and (B) is produced in whole or in part with materials which have been mailed or shipped in interstate or foreign commerce, or is shipped or transported or is intended for shipment or transportation in interstate or foreign commerce; which does not have affixed thereto, in a manner prescribed as set forth in subsection (e)(1), a statement describing where the records required by this section may be located, but such person shall have no duty to determine the accuracy of the contents of the statement or the records required to be kept. (g) (FOOTNOTE 2) The Attorney General shall issue appropriate regulations to carry out this section. (FOOTNOTE 2) Another subsec. (g) is set out below and similar provisions are contained in subsec. (f) set out below. (h) (FOOTNOTE 3) As used in this section - (FOOTNOTE 3) Similar provisions are contained in subsec. (g) set out below. (1) the term 'actual sexually explicit conduct' means actual but not simulated conduct as defined in subparagraphs (A) through (D) of paragraph (2) of section 2256 of this title; (2) 'identification document' has the meaning given that term in section 1028(d) of this title; (3) the term 'produces' means to produce, manufacture, or publish any book, magazine, periodical, film, video tape or other similar matter and includes the duplication, reproduction, or reissuing of any such matter, but does not include mere distribution or any other activity which does not involve hiring, contracting for managing, or otherwise arranging for the participation of the performers depicted; and (4) the term 'performer' includes any person portrayed in a visual depiction engaging in, or assisting another person to engage in, actual sexually explicit conduct. (i) Whoever violates this section shall be imprisoned for not more than 2 years, and fined in accordance with the provisions of this title, or both. Whoever violates this section after having been convicted of a violation punishable under this section shall be imprisoned for any period of years not more than 5 years but not less than 2 years, and fined in accordance with the provisions of this title, or both. (f) (FOOTNOTE 4) The Attorney General shall issue appropriate regulations to carry out this section. (FOOTNOTE 4) Another subsec. (f) is set out above and similar provisions are contained in subsec. (g) set out above. (g) (FOOTNOTE 5) As used in this section - (FOOTNOTE 5) Another subsec. (g) is set out above and similar provisions are contained in subsec. (h) set out above. (1) the term 'actual sexually explicit conduct' means actual but not simulated conduct as defined in subparagraphs (A) through (E) of paragraph (2) of section 2256 of this title; (2) 'identification document' has the meaning given that term in subsection 1028(d) of this title; (3) the term 'produces' means to produce, manufacture, or publish and includes the duplication, reproduction, or reissuing of any material; and (4) the term 'performer' includes any person portrayed in a visual depiction engaging in, or assisting another person to engage in, actual sexually explicit conduct. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7513(a), Nov. 18, 1988, 102 Stat. 4487, and amended Pub. L. 101-647, title III, Sec. 301(b), 311, Nov. 29, 1990, 104 Stat. 4816.) -REFTEXT- REFERENCES IN TEXT For effective date of this subsection, referred to in subsec. (f)(4)(A), see section 312 of Pub. L. 101-647, set out as an Effective Date of 1990 Amendment note below. -MISC2- AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-647, Sec. 301(b), substituted 'November 1, 1990' for 'February 6, 1978'. Subsec. (d). Pub. L. 101-647, Sec. 311, substituted pars. (1) and (2) for former pars. (1) and (2) which were substantially the same and struck out par. (3) which read as follows: 'In a prosecution of any person to whom subsection (a) applies for an offense in violation of subsection 2251(a) of this title which has as an element the production of a visual depiction of a minor engaging in or assisting another person to engage in sexually explicit conduct and in which that element is sought to be established by showing that a performer within the meaning of this section is a minor - '(A) proof that the person failed to comply with the provisions of subsection (a) or (b) of this section concerning the creation and maintenance of records, or a regulation issued pursuant thereto, shall raise a rebuttable presumption that such performer was a minor; and '(B) proof that the person failed to comply with the provisions of subsection (e) of this section concerning the statement required by that subsection shall raise the rebuttable presumption that every performer in the matter was a minor.' Subsec. (e). Pub. L. 101-647, Sec. 311, substituted pars. (1) and (2) for former pars. (1) and (2) which were substantially the same and struck out par. (3) which read as follows: 'In any prosecution of a person for an offense in violation of section 2252 of this title which has as an element the transporting, mailing, or distribution of a visual depiction involving the use of a minor engaging in sexually explicit conduct, and in which that element is sought to be established by a showing that a performer within the meaning of this section is a minor, proof that the matter in which the visual depiction is contained did not contain the statement required by this section shall raise a rebuttable presumption that such performer was a minor.' Subsec. (f). Pub. L. 101-647, Sec. 311, added subsec. (f) relating to unlawful acts and omissions. Subsec. (g). Pub. L. 101-647, Sec. 311, added subsec. (g) relating to issuance of regulations. Subsecs. (h), (i). Pub. L. 101-647, Sec. 311, added subsecs. (h) and (i). EFFECTIVE DATE OF 1990 AMENDMENT Section 312 of title III of Pub. L. 101-647 provided that: 'Subsections (d), (f), (g), (h), and (i) of section 2257 of title 18, United States Code, as added by this title shall take effect 90 days after the date of the enactment of this Act (Nov. 29, 1990) except - '(1) the Attorney General shall prepare the initial set of regulations required or authorized by subsections (d), (f), (g), (h), and (i) of section 2257 within 60 days of the date of the enactment of this Act; and '(2) subsection (e) of section 2257 and of any regulation issued pursuant thereto shall take effect 90 days after the date of the enactment of this Act.' EFFECTIVE DATE Section 7513(c) of Pub. L. 100-690 provided that: 'Section 2257 of title 18, United States Code, as added by this section shall take effect 180 days after the date of the enactment of this Act (Nov. 18, 1988) except - '(1) the Attorney General shall prepare the initial set of regulations required or authorized by section 2257 within 90 days of the date of the enactment of this Act; and '(2) subsection (e) of section 2257 of such title and of any regulation issued pursuant thereto shall take effect 270 days after the date of the enactment of this Act.' ------DocID 24521 Document 763 of 1438------ -CITE- 18 USC Sec. 2258 -EXPCITE- TITLE 18 PART I CHAPTER 110 -HEAD- Sec. 2258. Failure to report child abuse -STATUTE- A person who, while engaged in a professional capacity or activity described in subsection (b) of section 226 of the Victims of Child Abuse Act of 1990 on Federal land or in a federally operated (or contracted) facility, learns of facts that give reason to suspect that a child has suffered an incident of child abuse, as defined in subsection (c) of that section, and fails to make a timely report as required by subsection (a) of that section, shall be guilty of a Class B misdemeanor. -SOURCE- (Added Pub. L. 101-647, title II, Sec. 226(g)(1), Nov. 29, 1990, 104 Stat. 4808.) -REFTEXT- REFERENCES IN TEXT Section 226 of the Victims of Child Abuse Act of 1990, referred to in text, is classified to section 13031 of Title 42, The Public Health and Welfare. ------DocID 24522 Document 764 of 1438------ -CITE- 18 USC CHAPTER 111 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- CHAPTER 111 - SHIPPING -MISC1- Sec. 2271. Conspiracy to destroy vessels. 2272. Destruction of vessel by owner. 2273. Destruction of vessel by nonowner. 2274. Destruction or misuse of vessel by person in charge. 2275. Firing or tampering with vessel. (FOOTNOTE 1) (FOOTNOTE 1) So in original. Does not conform to section catchline. 2276. Breaking and entering vessel. 2277. Explosives or dangerous weapons aboard vessels. 2278. Explosives on vessels carrying steerage passengers. 2279. Boarding vessels before arrival. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3566, Nov. 29, 1990, 104 Stat. 4928, substituted 'vessels' for 'vessel' in item 2271. -CROSS- CROSS REFERENCES Special maritime and territorial jurisdiction of the United States defined, see section 7 of this title. Wrecking ships; false beacons; plundering wrecks; obstructing escape from shipwreck, see section 1658 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 35, 2516 of this title. ------DocID 24523 Document 765 of 1438------ -CITE- 18 USC Sec. 2271 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2271. Conspiracy to destroy vessels -STATUTE- Whoever, on the high seas, or within the United States, willfully and corruptly conspires, combines, and confederates with any other person, such other person being either within or without the United States, to cast away or otherwise destroy any vessel, with intent to injure any person that may have underwritten or may thereafter underwrite any policy of insurance thereon or on goods on board thereof, or with intent to injure any person that has lent or advanced, or may lend or advance, any money on such vessel on bottomry or respondentia; or Whoever, within the United States, builds, or fits out any vessel to be cast away or destroyed, with like intent - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 803.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 487 (Mar. 4, 1909, ch. 321, Sec. 296, 35 Stat. 1146). Mandatory punishment provision was rephrased in the alternative. Reference to a person who 'aids in building or fitting out any vessel' was omitted as unnecessary in view of section 2 making all aiders guilty as principal. Changes in phraseology were made. ------DocID 24524 Document 766 of 1438------ -CITE- 18 USC Sec. 2272 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2272. Destruction of vessel by owner -STATUTE- Whoever, upon the high seas or on any other waters within the admiralty and maritime jurisdiction of the United States, willfully and corruptly casts away or otherwise destroys any vessel of which he is owner, in whole or in part, with intent to injure any person that may underwrite any policy of insurance thereon, or any merchant that may have goods thereon, or any other owner of such vessel, shall be imprisoned for life or for any term of years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 803.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 491 (Mar. 4, 1909, ch. 321, Sec. 300, 35 Stat. 1147). ------DocID 24525 Document 767 of 1438------ -CITE- 18 USC Sec. 2273 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2273. Destruction of vessel by nonowner -STATUTE- Whoever, not being an owner, upon the high seas or on any other waters within the admiralty and maritime jurisdiction of the United States, willfully and corruptly casts away or otherwise destroys any vessel of the United States to which he belongs, or willfully attempts the destruction thereof, shall be imprisoned not more than ten years. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 804.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 492 (Mar. 4, 1909, ch. 321, Sec. 301, 35 Stat. 1147). Words 'with intent to destroy the same, sets fire to any such vessel, or otherwise' following 'willfully' and preceding 'attempts' were omitted as surplusage. ------DocID 24526 Document 768 of 1438------ -CITE- 18 USC Sec. 2274 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2274. Destruction or misuse of vessel by person in charge -STATUTE- Whoever, being the owner, master or person in charge or command of any private vessel, foreign or domestic, or a member of the crew or other person, within the territorial waters of the United States, willfully causes or permits the destruction or injury of such vessel or knowingly permits said vessel to be used as a place of resort for any person conspiring with another or preparing to commit any offense against the United States, or any offense in violation of the treaties of the United States or of the obligations of the United States under the law of nations, or to defraud the United States; or knowingly permits such vessels to be used in violation of the rights and obligations of the United States under the law of nations, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. In case such vessels are so used, with the knowledge of the owner or master or other person in charge or command thereof, the vessel, together with her tackle, apparel, furniture, and equipment, shall be subject to seizure and forfeiture to the United States in the same manner as merchandise is forfeited for violation of the customs revenue laws. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 804.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 193 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title II, Sec. 3, 40 Stat. 220; Mar. 28, 1940, ch. 72, Sec. 3(b), 54 Stat. 79). Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The customs revenue laws, referred to in text, are classified generally to Title 19, Customs Duties. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Drunkenness of master or seamen, see section 2196 of this title. Firing or tampering with vessels, see section 2275 of this title. Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24527 Document 769 of 1438------ -CITE- 18 USC Sec. 2275 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2275. Firing or tampering with vessels -STATUTE- Whoever sets fire to any vessel of foreign registry, or any vessel of American registry entitled to engage in commerce with foreign nations, or to any vessel of the United States, or to the cargo of the same, or tampers with the motive power of instrumentalities of navigation of such vessel, or places bombs or explosives in or upon such vessel, or does any other act to or upon such vessel while within the jurisdiction of the United States, or, if such vessel is of American registry, while she is on the high sea, with intent to injure or endanger the safety of the vessel or of her cargo, or of persons on board, whether the injury or danger is so intended to take place within the jurisdiction of the United States, or after the vessel shall have departed therefrom and whoever attempts to do so shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 804.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 502 (June 15, 1917, ch. 30, title III, Sec. 1, 40 Stat. 221). Words 'as defined in section 501 of this title,' were omitted in view of section 9 of this title, defining vessel of the United States. Last sentence of said section 502, defining 'United States', was incorporated in section 5 of this title. Provision prohibiting conspiracy was deleted as adequately covered by the general conspiracy statute, section 371 of this title. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. Jurisdiction of offenses, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 5032 of this title. ------DocID 24528 Document 770 of 1438------ -CITE- 18 USC Sec. 2276 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2276. Breaking and entering vessel -STATUTE- Whoever, upon the high seas or on any other waters within the admiralty and maritime jurisdiction of the United States, and out of the jurisdiction of any particular State, breaks or enters any vessel with intent to commit any felony, or maliciously cuts, spoils, or destroys any cordage, cable, buoys, buoy rope, head fast, or other fast, fixed to the anchor or moorings belonging to any vessel, shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 804.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 490 (Mar. 4, 1909, ch. 321, Sec. 299, 35 Stat. 1147). Mandatory punishment provision was rephrased in the alternative. -CROSS- CROSS REFERENCES Destruction of property moving in commerce, see sections 1281 and 1282 of Title 15, Commerce and Trade. ------DocID 24529 Document 771 of 1438------ -CITE- 18 USC Sec. 2277 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2277. Explosives or dangerous weapons aboard vessels -STATUTE- (a) Whoever brings, carries, or possesses any dangerous weapon, instrument, or device, or any dynamite, nitroglycerin, or other explosive article or compound on board of any vessel registered, enrolled, or licensed under the laws of the United States, or any vessel purchased, requisitioned, chartered, or taken over by the United States pursuant to the provisions of Act June 6, 1941, ch. 174, 55 Stat. 242, as amended, without previously obtaining the permission of the owner or the master of such vessel; or Whoever brings, carries, or possesses any such weapon or explosive on board of any vessel in the possession and under the control of the United States or which has been seized and forfeited by the United States or upon which a guard has been placed by the United States pursuant to the provisions of section 191 of Title 50, without previously obtaining the permission of the captain of the port in which such vessel is located, shall be fined not more than $1,000 or imprisoned not more than one year, or both. (b) This section shall not apply to the personnel of the Armed Forces of the United States or to officers or employees of the United States or of a State or of a political subdivision thereof, while acting in the performance of their duties, who are authorized by law or by rules or regulations to own or possess any such weapon or explosive. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 804.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 503, 504 (Dec. 31, 1941, ch. 642, Sec. 1, 2, 55 Stat. 876). Section consolidates sections 503 and 504 of title 18, U.S.C., 1940 ed. Words 'This section' were substituted in subsection (b) for the words 'The provisions of sections 503, 504 of this title'. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Act June 6, 1941, ch. 174, 55 Stat. 242, as amended, referred to in subsec. (a), expired July 1, 1953. For provisions covering the subject matter of that Act, see sections 196 to 198 of Title 50, War and National Defense. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Transportation of explosives by vessels, see section 3306 of Title 46, Shipping. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24530 Document 772 of 1438------ -CITE- 18 USC Sec. 2278 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2278. Explosives on vessels carrying steerage passengers -STATUTE- Whoever, being the master of a steamship or other vessel referred to in section 151 of Title 46, except as otherwise expressly provided by law, takes, carries, or has on board of any such vessel any nitroglycerin, dynamite, or any other explosive article or compound, or any vitriol or like acids, or gunpowder, except for the ship's use, or any article or number of articles, whether as a cargo or ballast, which, by reason of the nature or quantity or mode of storage thereof, shall, either singly or collectively, be likely to endanger the health or lives of the passengers or the safety of the vessel, shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 805.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 171 of title 46, U.S.C., 1940 ed., Shipping (Aug. 2, 1882, ch. 374, Sec. 8, 22 Stat. 189). Words 'except as otherwise expressly provided by law' were inserted to remove obvious inconsistency between sections 831-835 of this title, section 170 of title 46, U.S.C., 1940 ed., Shipping, and this section. Words 'shall be deemed guilty of a misdemeanor and' were omitted because designation of the offense as a misdemeanor is unnecessary in view of definitive section 1 of this title. Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 151 of Title 46, referred to in text, which was based on section 1 of act Aug. 2, 1882, ch. 374, 22 Stat. 186, as amended, was repealed by Pub. L. 98-89, Aug. 26, 1983, Sec. 4(b), 97 Stat. 599. -CROSS- CROSS REFERENCES Regulations for carriage of explosives, see section 3306 of Title 46, Shipping. Vessels carrying explosives and steerage passengers, fine as lien, see section 3671 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3671 of this title. ------DocID 24531 Document 773 of 1438------ -CITE- 18 USC Sec. 2279 -EXPCITE- TITLE 18 PART I CHAPTER 111 -HEAD- Sec. 2279. Boarding vessels before arrival -STATUTE- Whoever, not being in the United States service, and not being duly authorized by law for the purpose, goes on board any vessel about to arrive at the place of her destination, before her actual arrival, and before she has been completely moored, shall be fined not more than $200 or imprisoned not more than six months, or both. The master of such vessel may take any such person into custody, and deliver him up forthwith to any law enforcement officer, to be by him taken before any committing magistrate, to be dealt with according to law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 805.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 708 of title 46, U.S.C., 1940 ed., Shipping (R.S. Sec. 4606). 'Law enforcement officer' was substituted for 'constable or police officer' and 'committing magistrate' for 'justice of the peace.' The phraseology used in the statute was archaic. It originated when the government had few law enforcement officers and magistrates of its own. References to specific sections were made to read: 'according to law' to achieve brevity. Mandatory punishment provision was rephrased in the alternative. The words 'without permission of the master' were deleted to remove an inconsistency with the provisions of section 163 of title 46, U.S.C., 1940 ed., and customs regulations. Customs regulations, 1943, section 4.1c, prohibit any person 'with or without consent of the master' from boarding vessel, with specific enumerated exceptions. Said section 163 prescribes a 'penalty of not more than $100 or imprisonment not to exceed six months, or both' for violating regulations. The revised section increases the fine from $100 to $200 for boarding the vessel 'with the consent of the master.' Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Violation of regulations governing boarding of vessels before inspection, see section 163 of Title 46, Appendix, Shipping. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 46 App. section 163. ------DocID 24532 Document 774 of 1438------ -CITE- 18 USC CHAPTER 113 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- CHAPTER 113 - STOLEN PROPERTY -MISC1- Sec. 2311. Definitions. 2312. Transportation of stolen vehicles. 2313. Sale or receipt of stolen vehicles. 2314. Transportation of stolen goods, securities, moneys, fraudulent State tax stamps, or articles used in counterfeiting. 2315. Sale or receipt of stolen goods, securities, moneys, or fraudulent State tax stamps. 2316. Transportation of livestock. 2317. Sale or receipt of livestock. 2318. Trafficking in counterfeit labels for phonorecords and copies of motion pictures or other audiovisual works. 2319. Criminal infringement of a copyright. 2320. Trafficking in counterfeit goods or services. 2321. Trafficking in certain motor vehicles or motor vehicle parts. AMENDMENTS 1986 - Pub. L. 99-646, Sec. 42(b), Nov. 10, 1986, 100 Stat. 3601, renumbered item 2320 relating to trafficking in certain motor vehicles or motor vehicle parts as item 2321. 1984 - Pub. L. 98-547, title II, Sec. 204(b), Oct. 25, 1984, 98 Stat. 2770, added item 2320 relating to trafficking in certain motor vehicles or motor vehicle parts. Pub. L. 98-473, title II, Sec. 1115, 1502(b), Oct. 12, 1984, 98 Stat. 2149, 2179, substituted 'livestock' for 'cattle' in items 2316 and 2317 and added item 2320 relating to trafficking in counterfeit goods or services. 1982 - Pub. L. 97-180, Sec. 4, May 24, 1982, 96 Stat. 92, substituted 'Trafficking in counterfeit labels for phonorecords and copies of motion pictures or other audiovisual works' for 'Transportation, sale, or receipt of phonograph records bearing forged or counterfeit labels' in item 2318 and added item 2319. 1962 - Pub. L. 87-773, Sec. 2, Oct. 9, 1962, 76 Stat. 775, added item 2318. 1961 - Pub. L. 87-371, Sec. 4, Oct. 4, 1961, 75 Stat. 802, inserted 'fraudulent State tax stamps,' in item 2314, and substituted 'moneys, or fraudulent State tax stamps' for 'or monies' in item 2315. -CROSS- CROSS REFERENCES Baggage, express and freight; thefts and other depredations including transportation of money or goods stolen in transit, see section 659 of this title. ------DocID 24533 Document 775 of 1438------ -CITE- 18 USC Sec. 2311 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2311. Definitions -STATUTE- As used in this chapter: 'Aircraft' means any contrivance now known or hereafter invented, used, or designed for navigation of or for flight in the air; 'Cattle' means one or more bulls, steers, oxen, cows, heifers, or calves, or the carcass or carcasses thereof; 'Money' means the legal tender of the United States or of any foreign country, or any counterfeit thereof; 'Motor vehicle' includes an automobile, automobile truck, automobile wagon, motorcycle, or any other self-propelled vehicle designed for running on land but not on rails; 'Securities' includes any note, stock certificate, bond, debenture, check, draft, warrant, traveler's check, letter of credit, warehouse receipt, negotiable bill of lading, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate; valid or blank motor vehicle title; certificate of interest in property, tangible or intangible; instrument or document or writing evidencing ownership of goods, wares, and merchandise, or transferring or assigning any right, title, or interest in or to goods, wares, and merchandise; or, in general, any instrument commonly known as a 'security', or any certificate of interest or participation in, temporary or interim certificate for, receipt for, warrant, or right to subscribe to or purchase any of the foregoing, or any forged, counterfeited, or spurious representation of any of the foregoing; 'Tax stamp' includes any tax stamp, tax token, tax meter imprint, or any other form of evidence of an obligation running to a State, or evidence of the discharge thereof; 'Value' means the face, par, or market value, whichever is the greatest, and the aggregate value of all goods, wares, and merchandise, securities, and money referred to in a single indictment shall constitute the value thereof. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 805; Oct. 4, 1961, Pub. L. 87-371, Sec. 1, 75 Stat. 802; Oct. 25, 1984, Pub. L. 98-547, title II, Sec. 202, 98 Stat. 2770.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408, 414(b), (c), 417, 419a(a) (Oct. 29, 1919, ch. 89, Sec. 2(a), 41 Stat. 324; May 22, 1934, ch. 333, Sec. 2(b), (c), 5, 48 Stat. 794, 795; Aug. 3, 1939, ch. 413, Sec. 3, 53 Stat. 1178; Aug. 18, 1941, ch. 366, Sec. 2(a), 55 Stat. 631; Sept. 24, 1945, ch. 383, Sec. 1, 59 Stat. 536). The definitive provisions in each of said sections were separated therefrom and consolidated into this one section defining terms used in this chapter. The definitions of 'interstate or foreign commerce', contained in said section 408 and in sections 414(a) and 419a(b) of title 18, U.S.C., 1940 ed., are incorporated in section 10 of this title. Other provisions of section 408 of title 18, U.S.C., 1940 ed., are incorporated in sections 2312 and 2313 of this title. In the definition of 'motor vehicle', words 'designed for running on land but not on rails' were substituted for 'not designed for running on rails' so as to conform with the ruling in the case of McBoyle v. U.S. (1931, 51 S. Ct. 340, 283, U. S. 25, 75 L. Ed. 816), in which the Supreme Court held that 'vehicle' is limited to vehicles running on land and that motor vehicle does not include an airplane. In the paragraph defining 'value' which came from said section 417 of title 18, U.S.C., 1940 ed., words 'In the event that a defendant is charged in the same indictment with two or more violations of sections 413-419 of this title, then' were omitted and the same meaning was preserved by the substitution of the words 'a single' for the word 'such.' Minor changes were made in phraseology. AMENDMENTS 1984 - Pub. L. 98-547 inserted 'valid or blank motor vehicle title;'. 1961 - Pub. L. 87-371 inserted definition of 'Tax stamp'. SHORT TITLE OF 1984 AMENDMENT Section 1501 of chapter XV (Sec. 1501-1503) of title II of Pub. L. 98-473 provided that: 'This chapter (enacting section 2320 of this title and amending sections 1116, 1117, and 1118 of Title 15, Commerce and Trade) may be cited as the 'Trademark Counterfeiting Act of 1984'.' SHORT TITLE OF 1982 AMENDMENT Pub. L. 97-180, Sec. 1, May 24, 1982, 96 Stat. 91, provided: 'That this Act (enacting section 2319 of this title and amending section 2318 of this title and section 506 of Title 17, Copyrights) may be cited as the 'Piracy and Counterfeiting Amendments Act of 1982'.' ------DocID 24534 Document 776 of 1438------ -CITE- 18 USC Sec. 2312 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2312. Transportation of stolen vehicles -STATUTE- Whoever transports in interstate or foreign commerce a motor vehicle or aircraft, knowing the same to have been stolen, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 806.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408 (Oct. 29, 1919, ch. 89, Sec. 1, 3, 5, 41 Stat. 324, 325; Sept. 24, 1945, ch. 383, Sec. 2, 3, 59 Stat. 536). The first sentence of said section 408, providing the short title 'An Act to punish the transportation of stolen motor vehicles or aircraft in interstate or foreign commerce,' and derived from section 1 of said act of October 29, 1919, as amended, was omitted as not appropriate in a revision. Definitions of 'aircraft,' 'motor vehicle,' and 'interstate or foreign commerce,' which constituted the second sentence of said section 408 of title 18, U.S.C., 1940 ed., and were derived from section 2 of said act of October 29, 1919, as amended, are incorporated in sections 10 and 2311 of this title. Provision relating to receiving or selling stolen aircraft or motor vehicles, which was derived from section 4 of the act of October 29, 1919, as amended, is incorporated in section 2313 of this title. Venue provision, which was derived from section 5 of the act of October 29, 1919, was omitted as unnecessary, being covered by section 3237 of this title. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in phraseology. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24535 Document 777 of 1438------ -CITE- 18 USC Sec. 2313 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2313. Sale or receipt of stolen vehicles -STATUTE- (a) Whoever receives, possesses, conceals, stores, barters, sells, or disposes of any motor vehicle or aircraft, which has crossed a State or United States boundary after being stolen, knowing the same to have been stolen, shall be fined not more than $5,000 or imprisoned not more than five years, or both. (b) For purposes of this section, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 806; Oct. 25, 1984, Pub. L. 98-547, title II, Sec. 203, 98 Stat. 2770; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1205(l), 104 Stat. 4831.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 408 (Oct. 29, 1919, ch. 89, Sec. 4, 41 Stat. 325; Sept. 24, 1945, ch. 383, Sec. 2, 3, 59 Stat. 536). Section constitutes the fourth sentence of said section 408 of title 18, U.S.C., 1940 ed. Definitions of 'aircraft,' 'motor vehicle,' and 'interstate or foreign commerce,' which constituted the second sentence of said section 408, are incorporated in sections 10 and 2311 of this title. The third sentence of said section 408, relating to transporting stolen aircraft or motor vehicles, is incorporated in section 2312 of this title. The first sentence of said section 408, providing the short title, and the fifth sentence thereof, relating to venue, were omitted. (See reviser's note under section 2312 of this title.) Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-647 designated existing provisions as subsec. (a) and added subsec. (b). 1984 - Pub. L. 98-547 inserted 'possesses,' after 'receives,' and substituted 'which has crossed a State or United States boundary after being stolen,' for 'moving as, or which is a part of, or which constitutes interstate or foreign commerce,'. -CROSS- CROSS REFERENCES Venue of offense involving more than one district, see section 3237 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24536 Document 778 of 1438------ -CITE- 18 USC Sec. 2314 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2314. Transportation of stolen goods, securities, moneys, fraudulent State tax stamps, or articles used in counterfeiting -STATUTE- Whoever transports, transmits, or transfers in interstate or foreign commerce any goods, wares, merchandise, securities or money, of the value of $5,000 or more, knowing the same to have been stolen, converted or taken by fraud; or Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises, transports or causes to be transported, or induces any person or persons to travel in, or to be transported in interstate or foreign commerce in the execution or concealment of a scheme or artifice to defraud that person or those persons of money or property having a value of $5,000 or more; or Whoever, with unlawful or fraudulent intent, transports in interstate or foreign commerce any falsely made, forged, altered, or counterfeited securities or tax stamps, knowing the same to have been falsely made, forged, altered, or counterfeited; or Whoever, with unlawful or fraudulent intent, transports in interstate or foreign commerce any traveler's check bearing a forged countersignature; or Whoever, with unlawful or fraudulent intent, transports in interstate or foreign commerce, any tool, implement, or thing used or fitted to be used in falsely making, forging, altering, or counterfeiting any security or tax stamps, or any part thereof - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. This section shall not apply to any falsely made, forged, altered, counterfeited or spurious representation of an obligation or other security of the United States, or of an obligation, bond, certificate, security, treasury note, bill, promise to pay or bank note issued by any foreign government. This section also shall not apply to any falsely made, forged, altered, counterfeited, or spurious representation of any bank note or bill issued by a bank or corporation of any foreign country which is intended by the laws or usage of such country to circulate as money. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 806; May 24, 1949, ch. 139, Sec. 45, 63 Stat. 96; July 9, 1956, ch. 519, 70 Stat. 507; Oct. 4, 1961, Pub. L. 87-371, Sec. 2, 75 Stat. 802; Sept. 28, 1968, Pub. L. 90-535, 82 Stat. 885; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7057, 7080, 102 Stat. 4402, 4406; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1208, 104 Stat. 4832.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 413, 415, 418, 418a, 419 (May 22, 1934, ch. 333, Sec. 1, 3, 6, 48 Stat. 794, 795; May 22, 1934, ch. 333, Sec. 7, as added Aug. 3, 1939, ch. 413, Sec. 5, 53 Stat. 1179; May 22, 1934, ch. 333, Sec. 7, renumbered Sec. 8 by Aug. 3, 1939, ch. 413, Sec. 6, 53 Stat. 1179; Aug. 3, 1939, ch. 413, Sec. 1, 4, 5, 53 Stat. 1178, 1179). Section consolidates sections 413, 415, 417, 418, 418a, and 419 of title 18, U.S.C., 1940 ed. Words 'or with intent to steal or purloin, knowing the same to have been so stolen, converted, or taken' were omitted as surplusage, since property so 'taken' is 'stolen,' and insertion of word 'knowingly' after 'Whoever' at beginning of section renders such omission possible. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Section 413 of title 18, U.S.C., 1940 ed., providing the short title 'National Stolen Property Act,' was omitted as not appropriate in a revision. Section 414 of title 18, U.S.C., 1940 ed., containing definitions of 'interstate or foreign commerce,' 'securities,' and 'money,' is incorporated in sections 10 and 2311 of this title. Section 417 of title 18, U.S.C., 1940 ed., relating to indictments and determination of 'value' of goods, wares, merchandise, securities, and money referred to in indictments, is also incorporated in section 2311 of this title. Section 418 of title 18, U.S.C., 1940 ed., relating to venue, was omitted as completely covered by section 3237 of this title. Section 418a of title 18, U.S.C., 1940 ed., relating to conspiracy, was omitted as covered by section 371 of this title, the general conspiracy section. Section 419 of title 18, U.S.C., 1940 ed., providing that nothing contained in the National Stolen Property Act should be construed to repeal, modify, or amend any part of the National Motor Vehicle Theft Act, was omitted as unnecessary, in view of this revision and reenactment of the provisions of the latter act (sections 10, 2311-2313 of this title). Changes were made in phraseology and arrangement. 1949 ACT This amendment (see section 45) restates and clarifies the first paragraph of section 2314 of title 18, U.S.C., to conform to the original law upon which the section is based. AMENDMENTS 1990 - Pub. L. 101-647 inserted 'or foreign' after 'interstate' in second par. 1988 - Pub. L. 100-690, Sec. 7057(a), substituted 'transports, transmits, or transfers' for 'transports' in first par. Pub. L. 100-690, Sec. 7080, inserted 'or persons' after 'any person' and 'or those persons' after 'that person' in second par. Pub. L. 100-690, Sec. 7057(b), struck out 'or by a bank or corporation of any foreign country' after 'foreign government' in last par. and inserted at end 'This section also shall not apply to any falsely made, forged, altered, counterfeited, or spurious representation of any bank note or bill issued by a bank or corporation of any foreign country which is intended by the laws or usage of such country to circulate as money.' 1968 - Pub. L. 90-535 prohibited transportation with unlawful or fraudulent intent in interstate or foreign commerce of traveler's checks bearing forged countersignatures. 1961 - Pub. L. 87-371 inserted 'or tax stamps' after 'securities' in third par. and after 'security' in fourth par., and 'fraudulent State tax stamps,' in section catchline. 1956 - Act July 9, 1956, inserted par. relating to interstate transportation of persons in schemes to defraud. 1949 - Act May 24, 1949, substituted 'knowing the same to have been stolen, converted or taken by fraud' for 'theretofore stolen, converted, or taken by fraud' in first par. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24537 Document 779 of 1438------ -CITE- 18 USC Sec. 2315 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2315. Sale or receipt of stolen goods, securities, moneys, or fraudulent State tax stamps -STATUTE- Whoever receives, possesses, conceals, stores, barters, sells, or disposes of any goods, wares, or merchandise, securities, or money of the value of $5,000 or more, or pledges or accepts as security for a loan any goods, wares, or merchandise, or securities, of the value of $500 or more, which have crossed a State or United States boundary after being stolen, unlawfully converted, or taken, knowing the same to have been stolen, unlawfully converted, or taken; or Whoever receives, possesses, conceals, stores, barters, sells, or disposes of any falsely made, forged, altered, or counterfeited securities or tax stamps, or pledges or accepts as security for a loan any falsely made, forged, altered, or counterfeited securities or tax stamps, moving as, or which are a part of, or which constitute interstate or foreign commerce, knowing the same to have been so falsely made, forged, altered, or counterfeited; or Whoever receives in interstate or foreign commerce, or conceals, stores, barters, sells, or disposes of, any tool, implement, or thing used or intended to be used in falsely making, forging, altering, or counterfeiting any security or tax stamp, or any part thereof, moving as, or which is a part of, or which constitutes interstate or foreign commerce, knowing that the same is fitted to be used, or has been used, in falsely making, forging, altering, or counterfeiting any security or tax stamp, or any part thereof - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both. This section shall not apply to any falsely made, forged, altered, counterfeited, or spurious representation of an obligation or other security of the United States or of an obligation, bond, certificate, security, treasury note, bill, promise to pay, or bank note, issued by any foreign government. This section also shall not apply to any falsely made, forged, altered, counterfeited, or spurious representation of any bank note or bill issued by a bank or corporation of any foreign country which is intended by the laws or usage of such country to circulate as money. For purposes of this section, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 806; Oct. 4, 1961, Pub. L. 87-371, Sec. 3, 75 Stat. 802; Nov. 10, 1986, Pub. L. 99-646, Sec. 76, 100 Stat. 3618; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7048, 7057(b), 102 Stat. 4401, 4402; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1205(m), 104 Stat. 4831.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 416 (May 22, 1934, ch. 333, Sec. 4, 48 Stat. 795; Aug. 3, 1939, ch. 413, Sec. 2, 53 Stat. 1178). (See reviser's notes under sections 10, 2311 and 2314 of this title for explanation of consolidation or omission of other sections of title 18, U.S.C., 1940 ed., which were derived from the National Stolen Property Act.) Minor changes were made in phraseology. AMENDMENTS 1990 - Pub. L. 101-647 inserted par. at end defining 'State'. 1988 - Pub. L. 100-690, Sec. 7048, substituted 'moving as, or which are a part of, or which constitute interstate or foreign commerce' for 'which have crossed a State or United States boundary after being stolen, unlawfully converted, or taken' in second par. Pub. L. 100-690, Sec. 7057(b), struck out 'or by a bank or corporation of any foreign country' after 'foreign government' in last par. and inserted at end 'This section also shall not apply to any falsely made, forged, altered, counterfeited, or spurious representation of any bank note or bill issued by a bank or corporation of any foreign country which is intended by the laws or usage of such country to circulate as money.' 1986 - Pub. L. 99-646 substituted 'receives, possesses, conceals' for 'receives, conceals' and 'which have crossed a State or United States boundary after being stolen, unlawfully converted, or taken' for 'moving as, or which are part of, or which constitute interstate or foreign commerce' in first and second pars. 1961 - Pub. L. 87-371 inserted 'or tax stamps' after 'securities', wherever appearing, in second par., and 'or tax stamp' after 'security', wherever appearing, in third par., and substituted 'moneys, or fraudulent State tax stamps' for 'or monies' in section catchline. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title. ------DocID 24538 Document 780 of 1438------ -CITE- 18 USC Sec. 2316 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2316. Transportation of livestock -STATUTE- Whoever transports in interstate or foreign commerce any livestock, knowing the same to have been stolen, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 807; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1113, 98 Stat. 2149.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 419b, 419d (Aug. 18, 1941, ch. 366, Sec. 3, 5, 55 Stat. 631). This section consolidates sections 419b and 419d of title 18, U.S.C., 1940 ed. Definition of 'cattle', contained in section 419a(a) of title 18, U.S.C., 1940 ed., is incorporated in section 2311 of this title. Definition of 'interstate or foreign commerce', constituting section 419a(b) of title 18, U.S.C., 1940 ed., is incorporated in section 10 of this title. The venue provision of said section 419d of title 18, U.S.C., 1940 ed., was omitted as completely covered by section 3237 of this title. Reference to persons causing or procuring was omitted as unnecessary in view of definition of 'principal' in section 2 of this title. Minor changes were made in phraseology. AMENDMENTS 1984 - Pub. L. 98-473 substituted 'livestock' for 'cattle' in section catchline and text. ------DocID 24539 Document 781 of 1438------ -CITE- 18 USC Sec. 2317 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2317. Sale or receipt of livestock -STATUTE- Whoever receives, conceals, stores, barters, buys, sells, or disposes of any livestock, moving in or constituting a part of interstate or foreign commerce, knowing the same to have been stolen, shall be fined not more than $5,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 807; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1114, 98 Stat. 2149.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 419c, 419d (Aug. 18, 1941, ch. 366, Sec. 4, 5, 55 Stat. 632). Definitions of 'cattle' and 'interstate or foreign commerce', contained in section 419a of title 18, U.S.C., 1940 ed., are incorporated in sections 10 and 2311 of this title. Venue provision of said section 419d of title 18, U.S.C., 1940 ed., was omitted as completely covered by section 3237 of this title. Minor changes were made in phraseology. AMENDMENTS 1984 - Pub. L. 98-473 substituted 'livestock' for 'cattle' in section catchline and text. ------DocID 24540 Document 782 of 1438------ -CITE- 18 USC Sec. 2318 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2318. Trafficking in counterfeit labels for phonorecords and copies of motion pictures or other audiovisual works -STATUTE- (a) Whoever, in any of the circumstances described in subsection (c) of this section, knowingly traffics in a counterfeit label affixed or designed to be affixed to a phonorecord, or a copy of a motion picture or other audiovisual work, shall be fined not more than $250,000 or imprisoned for not more than five years, or both. (b) As used in this section - (1) the term 'counterfeit label' means an identifying label or container that appears to be genuine, but is not; (2) the term 'traffic' means to transport, transfer or otherwise dispose of, to another, as consideration for anything of value or to make or obtain control of with intent to so transport, transfer or dispose of; and (3) the terms 'copy', 'phonorecord', 'motion picture', and 'audiovisual work' have, respectively, the meanings given those terms in section 101 (relating to definitions) of title 17. (c) The circumstances referred to in subsection (a) of this section are - (1) the offense is committed within the special maritime and territorial jurisdiction of the United States; or within the special aircraft jurisdiction of the United States (as defined in section 101 of the Federal Aviation Act of 1958); (2) the mail or a facility of interstate or foreign commerce is used or intended to be used in the commission of the offense; or (3) the counterfeit label is affixed to or encloses, or is designed to be affixed to or enclose, a copyrighted motion picture or other audiovisual work, or a phonorecord of a copyrighted sound recording. (d) When any person is convicted of any violation of subsection (a), the court in its judgment of conviction shall in addition to the penalty therein prescribed, order the forfeiture and destruction or other disposition of all counterfeit labels and all articles to which counterfeit labels have been affixed or which were intended to have had such labels affixed. (e) Except to the extent they are inconsistent with the provisions of this title, all provisions of section 509, title 17, United States Code, are applicable to violations of subsection (a). -SOURCE- (Added Pub. L. 87-773, Sec. 1, Oct. 9, 1962, 76 Stat. 775, and amended Pub. L. 93-573, title I, Sec. 103, Dec. 31, 1974, 88 Stat. 1873; Pub. L. 94-553, title I, Sec. 111, Oct. 19, 1976, 90 Stat. 2600; Pub. L. 97-180, Sec. 2, May 24, 1982, 96 Stat. 91; Pub. L. 101-647, title XXXV, Sec. 3567, Nov. 29, 1990, 104 Stat. 4928.) -REFTEXT- REFERENCES IN TEXT Section 101 of the Federal Aviation Act of 1958, referred to in subsec. (c)(1), is classified to section 1301 of Title 49, Appendix, Transportation. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647 struck out comma after 'phonorecords' in section catchline. 1982 - Pub. L. 97-180 substituted 'Trafficking in counterfeit labels for phonorecords, and copies of motion pictures or other audiovisual works' for 'Transportation, sale or receipt of phonograph records bearing forged or counterfeit labels' in section catchline. Subsec. (a). Pub. L. 97-180 substituted provision that violators of this section shall be fined not more than $250,000 or imprisoned for not more than five years or both for provision that whoever knowingly and with fraudulent intent transported, caused to be transported, received, sold, or offered for sale in interstate or foreign commerce any phonograph record, disk, wire, tape, film, or other article on which sounds were recorded, to which or upon which was stamped, pasted, or affixed any forged or counterfeited label, knowing the label to have been falsely made, forged, or counterfeited would be fined not more than $10,000 or imprisoned for not more than one year, or both, for the first such offense and would be fined not more than $25,000 or imprisoned for not more than two years, or both, for any subsequent offense. Subsecs. (b) to (e). Pub. L. 97-180 added subsecs. (b) and (c), redesignated former subsecs. (b) and (c) as (d) and (e), respectively, and in subsec. (d) as so redesignated struck out the comma after 'judgment of conviction shall'. 1976 - Pub. L. 94-553 designated existing provisions as subsec. (a) and substituted '$10,000' for '$25,000' and '$25,000' for '$50,000', and added subsecs. (b) and (c). 1974 - Pub. L. 93-573 substituted 'not more than $25,000 or imprisoned for not more than one year, or both, for the first offense and shall be fined not more than $50,000 or imprisoned not more than 2 years, or both, for any subsequent offense' for 'not more than $1,000 or imprisoned not more than one year or both'. EFFECTIVE DATE OF 1976 AMENDMENT Amendment by Pub. L. 94-553 effective Jan. 1, 1978, see section 102 of Pub. L. 94-553, set out as a note preceding section 101 of Title 17, Copyrights. ------DocID 24541 Document 783 of 1438------ -CITE- 18 USC Sec. 2319 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2319. Criminal infringement of a copyright -STATUTE- (a) Whoever violates section 506(a) (relating to criminal offenses) of title 17 shall be punished as provided in subsection (b) of this section and such penalties shall be in addition to any other provisions of title 17 or any other law. (b) Any person who commits an offense under subsection (a) of this section - (1) shall be fined not more than $250,000 or imprisoned for not more than five years, or both, if the offense - (A) involves the reproduction or distribution, during any one-hundred-and-eighty-day period, of at least one thousand phonorecords or copies infringing the copyright in one or more sound recordings; (B) involves the reproduction or distribution, during any one-hundred-and-eighty-day period, of at least sixty-five copies infringing the copyright in one or more motion pictures or other audiovisual works; or (C) is a second or subsequent offense under either of subsection (b)(1) or (b)(2) of this section, where a prior offense involved a sound recording, or a motion picture or other audiovisual work; (2) shall be fined not more than $250,000 or imprisoned for not more than two years, or both, if the offense - (A) involves the reproduction or distribution, during any one-hundred-and-eighty-day period, of more than one hundred but less than one thousand phonorecords or copies infringing the copyright in one or more sound recordings; or (B) involves the reproduction or distribution, during any one-hundred-and-eighty-day period, of more than seven but less than sixty-five copies infringing the copyright in one or more motion pictures or other audiovisual works; and (3) shall be fined not more than $25,000 or imprisoned for not more than one year, or both, in any other case. (c) As used in this section - (1) the terms 'sound recording', 'motion picture', 'audiovisual work', 'phonorecord', and 'copies' have, respectively, the meanings set forth in section 101 (relating to definitions) of title 17; and (2) the terms 'reproduction' and 'distribution' refer to the exclusive rights of a copyright owner under clauses (1) and (3) respectively of section 106 (relating to exclusive rights in copyrighted works), as limited by sections 107 through 118, of title 17. -SOURCE- (Added Pub. L. 97-180, Sec. 3, May 24, 1982, 96 Stat. 92.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1956 of this title; title 17 sections 109, 506. ------DocID 24542 Document 784 of 1438------ -CITE- 18 USC Sec. 2320 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2320. Trafficking in counterfeit goods or services -STATUTE- (a) Whoever intentionally traffics or attempts to traffic in goods or services and knowingly uses a counterfeit mark on or in connection with such goods or services shall, if an individual, be fined not more than $250,000 or imprisoned not more than five years, or both, and, if a person other than an individual, be fined not more than $1,000,000. In the case of an offense by a person under this section that occurs after that person is convicted of another offense under this section, the person convicted, if an individual, shall be fined not more than $1,000,000 or imprisoned not more than fifteen years, or both, and if other than an individual, shall be fined not more than $5,000,000. (b) Upon a determination by a preponderance of the evidence that any articles in the possession of a defendant in a prosecution under this section bear counterfeit marks, the United States may obtain an order for the destruction of such articles. (c) All defenses, affirmative defenses, and limitations on remedies that would be applicable in an action under the Lanham Act shall be applicable in a prosecution under this section. In a prosecution under this section, the defendant shall have the burden of proof, by a preponderance of the evidence, of any such affirmative defense. (d) For the purposes of this section - (1) the term 'counterfeit mark' means - (A) a spurious mark - (i) that is used in connection with trafficking in goods or services; (ii) that is identical with, or substantially indistinguishable from, a mark registered for those goods or services on the principal register in the United States Patent and Trademark Office and in use, whether or not the defendant knew such mark was so registered; and (iii) the use of which is likely to cause confusion, to cause mistake, or to deceive; or (B) a spurious designation that is identical with, or substantially indistinguishable from, a designation as to which the remedies of the Lanham Act are made available by reason of section 110 of the Olympic Charter Act; but such term does not include any mark or designation used in connection with goods or services of which the manufacturer or producer was, at the time of the manufacture or production in question authorized to use the mark or designation for the type of goods or services so manufactured or produced, by the holder of the right to use such mark or designation; (2) the term 'traffic' means transport, transfer, or otherwise dispose of, to another, as consideration for anything of value, or make or obtain control of with intent so to transport, transfer, or dispose of; (3) the term 'Lanham Act' means the Act entitled 'An Act to provide for the registration and protection of trademarks used in commerce, to carry out the provisions of certain international conventions, and for other purposes', approved July 5, 1946 (15 U.S.C. 1051 et seq.); and (4) the term 'Olympic Charter Act' means the Act entitled 'An Act to incorporate the United States Olympic Association', approved September 21, 1950 (36 U.S.C. 371 et seq.). -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1502(a), Oct. 12, 1984, 98 Stat. 2178.) -REFTEXT- REFERENCES IN TEXT The Lanham Act, referred to in subsecs. (c) and (d)(1)(B), (3), also known as the Trademark Act of 1946, is act July 5, 1946, ch. 540, 60 Stat. 427, as amended, which is classified generally to chapter 22 (Sec. 1051 et seq.) of Title 15, Commerce and Trade. For complete classification of this Act to the Code, see Short Title note set out under section 1051 of Title 15 and Tables. The Olympic Charter Act, referred to in subsec. (d)(4), is act Sept. 21, 1950, ch. 975, 64 Stat. 899, as amended, which is classified generally to chapter 17 (Sec. 371 et seq.) of Title 36, Patriotic Societies and Observances. Section 110 of the Olympic Charter Act is classified to section 380 of Title 36. For complete classification of this Act to the Code, see Tables. -MISC2- PRIOR PROVISIONS Another section 2320 was renumbered section 2321 of this title. ------DocID 24543 Document 785 of 1438------ -CITE- 18 USC Sec. 2321 -EXPCITE- TITLE 18 PART I CHAPTER 113 -HEAD- Sec. 2321. Trafficking in certain motor vehicles or motor vehicle parts -STATUTE- (a) Whoever buys, receives, possesses, or obtains control of, with intent to sell or otherwise dispose of, a motor vehicle or motor vehicle part, knowing that an identification number for such motor vehicle or part has been removed, obliterated, tampered with, or altered, shall be fined not more than $20,000 or imprisoned not more than ten years, or both. (b) Subsection (a) does not apply if the removal, obliteration, tampering, or alteration - (1) is caused by collision or fire; or (2) is not a violation of section 511 of this title. (c) As used in this section, the terms 'identification number' and 'motor vehicle' have the meaning given those terms in section 511 of this title. -SOURCE- (Added Pub. L. 98-547, title II, Sec. 204(a), Oct. 25, 1984, 98 Stat. 2770, Sec. 2320, and renumbered Sec. 2321, Pub. L. 99-646, Sec. 42(a), Nov. 10, 1986, 100 Stat. 3601.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2516 of this title; title 15 section 2034. ------DocID 24544 Document 786 of 1438------ -CITE- 18 USC CHAPTER 113A -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- CHAPTER 113A - TERRORISM -MISC1- Sec. 2331. Definitions. 2332. Criminal penalties. 2333. Civil remedies. 2334. Jurisdiction and venue. 2335. Limitation of actions. 2336. Other limitations. 2337. Suits against government officials. 2338. Exclusive Federal jurisdiction. AMENDMENTS 1990 - Pub. L. 101-519, Sec. 132(b)(5), Nov. 5, 1990, 104 Stat. 2252, substituted 'TERRORISM' for 'EXTRATERRITORIAL JURISDICTION OVER TERRORIST ACTS ABROAD AGAINST UNITED STATES NATIONALS' as chapter heading and 'Definitions' for 'Terrorist acts abroad against United States nationals' in item 2331, and added items 2332 to 2338. 1988 - Pub. L. 100-690, title VII, Sec. 7062, Nov. 18, 1988, 102 Stat. 4404, added item 2331. ------DocID 24545 Document 787 of 1438------ -CITE- 18 USC Sec. 2331 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2331. Definitions -STATUTE- As used in this chapter - (1) the term 'international terrorism' means activities that - (A) involve violent acts or acts dangerous to human life that are a violation of the criminal laws of the United States or of any State, or that would be a criminal violation if committed within the jurisdiction of the United States or of any State; (B) appear to be intended - (i) to intimidate or coerce a civilian population; (ii) to influence the policy of a government by intimidation or coercion; or (iii) to affect the conduct of a government by assassination or kidnapping; and (C) occur primarily outside the territorial jurisdiction of the United States, or transcend national boundaries in terms of the means by which they are accomplished, the persons they appear intended to intimidate or coerce, or the locale in which their perpetrators operate or seek asylum; (2) the term 'national of the United States' has the meaning given such term in section 101(a)(22) of the Immigration and Nationality Act; (3) the term 'person' means any individual or entity capable of holding a legal or beneficial interest in property; and (4) the term 'act of war' means any act occurring in the course of - (A) declared war; (B) armed conflict, whether or not war has been declared, between two or more nations; or (C) armed conflict between military forces of any origin. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(3), Nov. 5, 1990, 104 Stat. 2250.) -REFTEXT- REFERENCES IN TEXT Section 101(a)(22) of the Immigration and Nationality Act, referred to in par. (2), is classified to section 1101(a)(22) of Title 8, Aliens and Nationality. -MISC2- PRIOR PROVISIONS A prior section 2331 was renumbered section 2332 of this title. EFFECTIVE DATE OF 1990 AMENDMENT Section 132(d) of Pub. L. 101-519 provided that: 'This section and the amendments made by this section (see Short Title of 1990 Amendment note below) shall apply to any pending case and any cause of action arising on or after 3 years before the date of enactment of this section (Nov. 5, 1990).' SHORT TITLE OF 1990 AMENDMENT Section 132(a) of Pub. L. 101-519 provided that: 'This section (enacting this section and sections 2333 to 2338 of this title, amending section 2332 of this title, renumbering section 2331 of this title as 2332, and enacting provisions set out as a note under this section) may be cited as the 'Antiterrorism Act of 1990'.' ------DocID 24546 Document 788 of 1438------ -CITE- 18 USC Sec. 2332 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2332. Criminal penalties -STATUTE- (a) Homicide. - Whoever kills a national of the United States, while such national is outside the United States, shall - (1) if the killing is a murder as defined in section 1111(a) of this title, be fined under this title or imprisoned for any term of years or for life, or both so fined and so imprisoned; (2) if the killing is a voluntary manslaughter as defined in section 1112(a) of this title, be fined under this title or imprisoned not more than ten years, or both; and (3) if the killing is an involuntary manslaughter as defined in section 1112(a) of this title, be fined under this title or imprisoned not more than three years, or both. (b) Attempt or Conspiracy With Respect to Homicide. - Whoever outside the United States attempts to kill, or engages in a conspiracy to kill, a national of the United States shall - (1) in the case of an attempt to commit a killing that is a murder as defined in this chapter, be fined under this title or imprisoned not more than 20 years, or both; and (2) in the case of a conspiracy by two or more persons to commit a killing that is a murder as defined in section 1111(a) of this title, if one or more of such persons do any overt act to effect the object of the conspiracy, be fined under this title or imprisoned for any term of years or for life, or both so fined and so imprisoned. (c) Other Conduct. - Whoever outside the United States engages in physical violence - (1) with intent to cause serious bodily injury to a national of the United States; or (2) with the result that serious bodily injury is caused to a national of the United States; shall be fined under this title or imprisoned not more than five years, or both. (d) Limitation on Prosecution. - No prosecution for any offense described in this section shall be undertaken by the United States except on written certification of the Attorney General or the highest ranking subordinate of the Attorney General with responsibility for criminal prosecutions that, in the judgment of the certifying official, such offense was intended to coerce, intimidate, or retaliate against a government or a civilian population. -SOURCE- (Added Pub. L. 99-399, title XII, Sec. 1202(a), Aug. 27, 1986, 100 Stat. 896, Sec. 2331; renumbered Sec. 2332 and amended Pub. L. 101-519, Sec. 132(b)(1), (2), Nov. 5, 1990, 104 Stat. 2250.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-519, Sec. 132(b)(2), renumbered section 2331 of this title as this section, and substituted 'Criminal penalties' for 'Terrorist acts abroad against United States nationals' as section catchline. Subsecs. (d), (e). Pub. L. 101-519, Sec. 132(b)(1), redesignated subsec. (e) as (d) and struck out former subsec. (d) which read as follows: 'As used in this section the term 'national of the United States' has the meaning given such term in section 101(a)(22) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(22)).' EFFECTIVE DATE OF 1990 AMENDMENT Amendment by Pub. L. 101-519 applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as a note under section 2331 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2333 of this title. ------DocID 24547 Document 789 of 1438------ -CITE- 18 USC Sec. 2333 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2333. Civil remedies -STATUTE- (a) Action and Jurisdiction. - Any national of the United States injured in his person, property, or business by reason of an act of international terrorism, or his estate, survivors, or heirs, may sue therefor in any appropriate district court of the United States and shall recover threefold the damages he sustains and the cost of the suit, including attorney's fees. (b) Estopped Under United States Law. - A final judgment or decree rendered in favor of the United States in any criminal proceeding under section 1116, 1201, 1203, or 2332 of this title or section 1472(i), (k), (l), (n), or (r) of title 49 App. shall estop the defendant from denying the essential allegations of the criminal offense in any subsequent civil proceeding under this section. (c) Estopped Under Foreign Law. - A final judgment or decree rendered in favor of any foreign state in any criminal proceeding shall, to the extent that such judgment or decree may be accorded full faith and credit under the law of the United States, estop the defendant from denying the essential allegations of the criminal offense in any subsequent civil proceeding under this section. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(4), Nov. 5, 1990, 104 Stat. 2250.) -MISC1- EFFECTIVE DATE Section applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as an Effective Date of 1990 Amendment note under section 2331 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2334, 2335, 2336, 2337 of this title. ------DocID 24548 Document 790 of 1438------ -CITE- 18 USC Sec. 2334 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2334. Jurisdiction and venue -STATUTE- (a) General Venue. - Any civil action under section 2333 of this title against any person may be instituted in the district court of the United States for any district where any plaintiff resides or where any defendant resides or is served, or has an agent. Process in such a civil action may be served in any district where the defendant resides, is found, or has an agent. (b) Special Maritime or Territorial Jurisdiction. - If the actions giving rise to the claim occurred within the special maritime and territorial jurisdiction of the United States, as defined in section 7 of this title, then any civil action under section 2333 of this title against any person may be instituted in the district court of the United States for any district in which any plaintiff resides or the defendant resides, is served, or has an agent. (c) Service on Witnesses. - A witness in a civil action brought under section 2333 of this title may be served in any district where the witness resides, is found, or has an agent. (d) Convenience of the Forum. - The district court shall not dismiss any action brought under section 2333 of this title on the grounds of the inconvenience or inappropriateness of the forum chosen, unless - (1) the action may be maintained in a foreign court that has jurisdiction over the subject matter and over all the defendants; (2) that foreign court is significantly more convenient and appropriate; and (3) that foreign court offers a remedy which is substantially the same as the one available in the courts of the United States. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(4), Nov. 5, 1990, 104 Stat. 2251.) -MISC1- EFFECTIVE DATE Section applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as an Effective Date of 1990 Amendment note under section 2331 of this title. ------DocID 24549 Document 791 of 1438------ -CITE- 18 USC Sec. 2335 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2335. Limitation of actions -STATUTE- (a) In General. - Subject to subsection (b), a suit for recovery of damages under section 2333 of this title shall not be maintained unless commenced within 3 years from the date the cause of action accrued. (b) Calculation of Period. - The time of the absence of the defendant from the United States or from any jurisdiction in which the same or a similar action arising from the same facts may be maintained by the plaintiff, or any concealment of his whereabouts, shall not be reckoned within this period of limitation. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(4), Nov. 5, 1990, 104 Stat. 2251.) -MISC1- EFFECTIVE DATE Section applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as an Effective Date of 1990 Amendment note under section 2331 of this title. ------DocID 24550 Document 792 of 1438------ -CITE- 18 USC Sec. 2336 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2336. Other limitations -STATUTE- No action shall be maintained under section 2333 of this title for injury or loss by reason of an act of war. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(4), Nov. 5, 1990, 104 Stat. 2252.) -MISC1- EFFECTIVE DATE Section applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as an Effective Date of 1990 Amendment note under section 2331 of this title. ------DocID 24551 Document 793 of 1438------ -CITE- 18 USC Sec. 2337 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2337. Suits against government officials -STATUTE- No action shall be maintained under section 2333 of this title against - (1) the United States, an agency of the United States, or an officer or employee of the United States or any agency thereof acting within his official capacity or under color of legal authority; or (2) a foreign state, an agency of a foreign state, or an officer or employee of a foreign state or an agency thereof acting within his official capacity or under color of legal authority. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(4), Nov. 5, 1990, 104 Stat. 2252.) -MISC1- EFFECTIVE DATE Section applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as an Effective Date of 1990 Amendment note under section 2331 of this title. ------DocID 24552 Document 794 of 1438------ -CITE- 18 USC Sec. 2338 -EXPCITE- TITLE 18 PART I CHAPTER 113A -HEAD- Sec. 2338. Exclusive Federal jurisdiction -STATUTE- The district courts of the United States shall have exclusive jurisdiction over an action brought under this chapter. -SOURCE- (Added Pub. L. 101-519, Sec. 132(b)(4), Nov. 5, 1990, 104 Stat. 2252.) -MISC1- EFFECTIVE DATE Section applicable to any pending case and any cause of action arising on or after 3 years before Nov. 5, 1990, see section 132(d) of Pub. L. 101-519, set out as an Effective Date of 1990 Amendment note under section 2331 of this title. ------DocID 24553 Document 795 of 1438------ -CITE- 18 USC CHAPTER 114 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- CHAPTER 114 - TRAFFICKING IN CONTRABAND CIGARETTES -MISC1- Sec. 2341. Definitions. 2342. Unlawful acts. 2343. Recordkeeping and inspection. 2344. Penalties. 2345. Effect on State law. 2346. Enforcement and regulations. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 49 section 781. ------DocID 24554 Document 796 of 1438------ -CITE- 18 USC Sec. 2341 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- Sec. 2341. Definitions -STATUTE- As used in this chapter - (1) the term 'cigarette' means - (A) any roll of tobacco wrapped in paper or in any substance not containing tobacco; and (B) any roll of tobacco wrapped in any substance containing tobacco which, because of its appearance, the type of tobacco used in the filler, or its packaging and labeling, is likely to be offered to, or purchased by, consumers as a cigarette described in subparagraph (A); (2) the term 'contraband cigarettes' means a quantity in excess of 60,000 cigarettes, which bear no evidence of the payment of applicable State cigarette taxes in the State where such cigarettes are found, if such State requires a stamp, impression, or other indication to be placed on packages or other containers of cigarettes to evidence payment of cigarette taxes, and which are in the possession of any person other than - (A) a person holding a permit issued pursuant to chapter 52 of the Internal Revenue Code of 1986 as a manufacturer of tobacco products or as an export warehouse proprietor, or a person operating a customs bonded warehouse pursuant to section 311 or 555 of the Tariff Act of 1930 (19 U.S.C. 1311 or 1555) or an agent of such person; (B) a common or contract carrier transporting the cigarettes involved under a proper bill of lading or freight bill which states the quantity, source, and destination of such cigarettes; (C) a person - (i) who is licensed or otherwise authorized by the State where the cigarettes are found to account for and pay cigarette taxes imposed by such State; and (ii) who has complied with the accounting and payment requirements relating to such license or authorization with respect to the cigarettes involved; or (D) an officer, employee, or other agent of the United States or a State, or any department, agency, or instrumentality of the United States or a State (including any political subdivision of a State) having possession of such cigarettes in connection with the performance of official duties; (3) the term 'common or contract carrier' means a carrier holding a certificate of convenience and necessity, a permit for contract carrier by motor vehicle, or other valid operating authority under subtitle IV of title 49, or under equivalent operating authority from a regulatory agency of the United States or of any State; (4) the term 'State' means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or the Virgin Islands; and (5) the term 'Secretary' means the Secretary of the Treasury. -SOURCE- (Added Pub. L. 95-575, Sec. 1, Nov. 2, 1978, 92 Stat. 2463, and amended Pub. L. 97-449, Sec. 5(c), Jan. 12, 1983, 96 Stat. 2442; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.) -REFTEXT- REFERENCES IN TEXT Chapter 52 of the Internal Revenue Code of 1986, referred to in par. (2)(A), is classified generally to chapter 52 (Sec. 5701 et seq.) of Title 26, Internal Revenue Code. -MISC2- AMENDMENTS 1986 - Par. (2)(A). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. 1983 - Par. (3). Pub. L. 97-449 substituted 'subtitle IV of title 49' for 'the Interstate Commerce Act'. EFFECTIVE DATE Section 4 of Pub. L. 95-575 provided: '(a) Except as provided in subsection (b), this Act (enacting this chapter, amending section 1961 of this title and sections 781 and 787 of Title 49, Appendix, Transportation, and enacting provisions set out as a note under this section) shall take effect on the date of its enactment (Nov. 2, 1978). '(b) Sections 2342(b) and 2343 of title 18, United States Code as enacted by the first section of this Act, shall take effect on the first day of the first month beginning more than 120 days after the date of the enactment of this Act (Nov. 2, 1978).' AUTHORIZATION OF APPROPRIATIONS Section 5 of Pub. L. 95-575 provided that: 'There are hereby authorized to be appropriated such sums as may be necessary to carry out the provisions of chapter 114 of title 18, United States Code, added by the first section of this Act.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title; title 49 App. section 787. ------DocID 24555 Document 797 of 1438------ -CITE- 18 USC Sec. 2342 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- Sec. 2342. Unlawful acts -STATUTE- (a) It shall be unlawful for any person knowingly to ship, transport, receive, possess, sell, distribute, or purchase contraband cigarettes. (b) It shall be unlawful for any person knowingly to make any false statement or representation with respect to the information required by this chapter to be kept in the records of any person who ships, sells, or distributes any quantity of cigarettes in excess of 60,000 in a single transaction. -SOURCE- (Added Pub. L. 95-575, Sec. 1, Nov. 2, 1978, 92 Stat. 2464.) -MISC1- EFFECTIVE DATE Subsec. (a) of this section effective Nov. 2, 1978, and subsec. (b) of this section effective on first day of first month beginning more than 120 days after Nov. 2, 1978, see section 4 of Pub. L. 95-575, set out as a note under section 2341 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2344 of this title. ------DocID 24556 Document 798 of 1438------ -CITE- 18 USC Sec. 2343 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- Sec. 2343. Recordkeeping and inspection -STATUTE- (a) Any person who ships, sells, or distributes any quantity of cigarettes in excess of 60,000 in a single transaction shall maintain such information about the shipment, receipt, sale, and distribution of cigarettes as the Secretary may prescribe by rule or regulation. The Secretary may require such person to keep only - (1) the name, address, destination (including street address), vehicle license number, driver's license number, signature of the person receiving such cigarettes, and the name of the purchaser; (2) a declaration of the specific purpose of the receipt (personal use, resale, or delivery to another); and (3) a declaration of the name and address of the recipient's principal in all cases when the recipient is acting as an agent. Such information shall be contained on business records kept in the normal course of business. Nothing contained herein shall authorize the Secretary to require reporting under this section. (b) Upon the consent of any person who ships, sells, or distributes any quantity of cigarettes in excess of 60,000 in a single transaction, or pursuant to a duly issued search warrant, the Secretary may enter the premises (including places of storage) of such person for the purpose of inspecting any records or information required to be maintained by such person under this chapter, and any cigarettes kept or stored by such person at such premises. -SOURCE- (Added Pub. L. 95-575, Sec. 1, Nov. 2, 1978, 92 Stat. 2464.) -MISC1- EFFECTIVE DATE Section effective on first day of first month beginning more than 120 days after Nov. 2, 1978, see section 4 of Pub. L. 95-575, set out as a note under section 2341 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2344, 2346 of this title. ------DocID 24557 Document 799 of 1438------ -CITE- 18 USC Sec. 2344 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- Sec. 2344. Penalties -STATUTE- (a) Whoever knowingly violates section 2342(a) of this title shall be fined not more than $100,000 or imprisoned not more than five years, or both. (b) Whoever knowingly violates any rule or regulation promulgated under section 2343(a) or 2346 of this title or violates section 2342(b) of this title shall be fined not more than $5,000 or imprisoned not more than three years, or both. (c) Any contraband cigarettes involved in any violation of the provisions of this chapter shall be subject to seizure and forfeiture, and all provisions of the Internal Revenue Code of 1986 relating to the seizure, forfeiture, and disposition of firearms, as defined in section 5845(a) of such Code, shall, so far as applicable, extend to seizures and forfeitures under the provisions of this chapter. -SOURCE- (Added Pub. L. 95-575, Sec. 1, Nov. 2, 1978, 92 Stat. 2464, and amended Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.) -REFTEXT- REFERENCES IN TEXT The Internal Revenue Code of 1986, referred to in subsec. (c), is classified generally to Title 26, Internal Revenue Code. Section 5845(a) of the Internal Revenue Code of 1986, referred to in subsec. (c), is classified to section 5845(a) of Title 26. -MISC2- AMENDMENTS 1986 - Subsec. (c). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title. ------DocID 24558 Document 800 of 1438------ -CITE- 18 USC Sec. 2345 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- Sec. 2345. Effect on State law -STATUTE- (a) Nothing in this chapter shall be construed to affect the concurrent jurisdiction of a State to enact and enforce cigarette tax laws, to provide for the confiscation of cigarettes and other property seized for violation of such laws, and to provide for penalties for the violation of such laws. (b) Nothing in this chapter shall be construed to inhibit or otherwise affect any coordinated law enforcement effort by a number of States, through interstate compact or otherwise, to provide for the administration of State cigarette tax laws, to provide for the confiscation of cigarettes and other property seized in violation of such laws, and to establish cooperative programs for the administration of such laws. -SOURCE- (Added Pub. L. 95-575, Sec. 1, Nov. 2, 1978, 92 Stat. 2465.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1961 of this title. ------DocID 24559 Document 801 of 1438------ -CITE- 18 USC Sec. 2346 -EXPCITE- TITLE 18 PART I CHAPTER 114 -HEAD- Sec. 2346. Enforcement and regulations -STATUTE- The Secretary, subject to the provisions of section 2343(a) of this title, shall enforce the provisions of this chapter and may prescribe such rules and regulations as he deems reasonably necessary to carry out the provisions of this chapter. -SOURCE- (Added Pub. L. 95-575, Sec. 1, Nov. 2, 1978, 92 Stat. 2465.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1961, 2344 of this title. ------DocID 24560 Document 802 of 1438------ -CITE- 18 USC CHAPTER 115 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- CHAPTER 115 - TREASON, SEDITION, AND SUBVERSIVE ACTIVITIES -MISC1- Sec. 2381. Treason. 2382. Misprision of treason. 2383. Rebellion or insurrection. 2384. Seditious conspiracy. 2385. Advocating overthrow of Government. 2386. Registration of certain organizations. 2387. Activities affecting armed forces generally. 2388. Activities affecting armed forces during war. 2389. Recruiting for service against United States. 2390. Enlistment to serve against United States. 2391. Temporary extension of section 2388. AMENDMENTS 1953 - Act June 30, 1953, ch. 175, Sec. 5, 67 Stat. 134, added item 2391. -CROSS- CROSS REFERENCES Wire or oral communications, authorization for interception, to provide evidence of offenses under this section, see section 2516 of this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2516 of this title; title 5 section 8312; title 8 section 1251; title 22 sections 1641k, 1642h; title 42 section 402; title 50 App. section 2017g. ------DocID 24561 Document 803 of 1438------ -CITE- 18 USC Sec. 2381 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2381. Treason -STATUTE- Whoever, owing allegiance to the United States, levies war against them or adheres to their enemies, giving them aid and comfort within the United States or elsewhere, is guilty of treason and shall suffer death, or shall be imprisoned not less than five years and fined not less than $10,000; and shall be incapable of holding any office under the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 807.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 1, 2 (Mar. 4, 1909, ch. 321, Sec. 1, 2, 35 Stat. 1088). Section consolidates sections 1 and 2 of title 18, U.S.C., 1940 ed. The language referring to collection of the fine was omitted as obsolete and repugnant to the more humane policy of modern law which does not impose criminal consequences on the innocent. The words 'every person so convicted of treason' were omitted as redundant. Minor change was made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Indictment, see rule 7, Appendix to this title. Release from custody, see rule 46. Stay of execution and relief pending review, see rule 38. Trial jurors, peremptory challenges, see rule 24. CROSS REFERENCES Counsel and witnesses in capital cases, see section 3005 of this title. Definition and proof of treason, see Const. Art. 3, Sec. 3, cl. 1. Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 593, 1901, 2071, 2385, and 2387 of this title. Extradition - State, territory, or possession into extraterritorial jurisdiction of United States, see section 3183 of this title. State or territory to State, district or territory, see section 3182 of this title. Federal retirement benefits, forfeiture upon conviction of offenses under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Grand jury indictment for capital crimes, see Const. Amend. 5. Indictment and list of jurors and witnesses for prisoner in capital cases, see section 3432 of this title. National Service Life Insurance, forfeiture of rights to insurance on account of treason, see section 711 of Title 38, Veterans' Benefits. Officers aiding importation of treasonous books and articles, see section 552 of this title. Punishment of treason, power of Congress to declare, see Const. Art. 3, Sec. 3, cl. 2. Release and detention pending judicial proceedings, see section 3141 et seq. of this title. United States nationality as lost by committing any act of treason, see sections 1481 to 1489 of Title 8, Aliens and Nationality. Writings advocating treason declared nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 951 of this title; title 5 section 8312; title 38 section 3505; title 50 App. section 34. ------DocID 24562 Document 804 of 1438------ -CITE- 18 USC Sec. 2382 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2382. Misprision of treason -STATUTE- Whoever, owing allegiance to the United States and having knowledge of the commission of any treason against them, conceals and does not, as soon as may be, disclose and make known the same to the President or to some judge of the United States, or to the governor or to some judge or justice of a particular State, is guilty of misprision of treason and shall be fined not more than $1,000 or imprisoned not more than seven years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 807.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 3 (Mar. 4, 1909, ch. 321, Sec. 3, 35 Stat. 1088). Mandatory punishment provision was rephrased in the alternative. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Misprision of felony, see section 4 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 38 section 3505; title 50 App. section 34. ------DocID 24563 Document 805 of 1438------ -CITE- 18 USC Sec. 2383 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2383. Rebellion or insurrection -STATUTE- Whoever incites, sets on foot, assists, or engages in any rebellion or insurrection against the authority of the United States or the laws thereof, or gives aid or comfort thereto, shall be fined not more than $10,000 or imprisoned not more than ten years, or both; and shall be incapable of holding any office under the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 808.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 4 (Mar. 4, 1909, ch. 321, Sec. 4, 35 Stat. 1088). Word 'moreover' was deleted as surplusage and minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Disqualification as officers or electors of persons who have engaged in insurrection or rebellion and removal of disability, see Const. Amend. 14, Sec. 3. Federal retirement benefits, forfeiture upon conviction of offenses under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Officers aiding importation of books and articles containing matter advocating insurrection against the United States, see section 552 of this title. Writings advocating insurrection declared nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 8 section 1481; title 38 section 3505; title 50 App. section 34. ------DocID 24564 Document 806 of 1438------ -CITE- 18 USC Sec. 2384 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2384. Seditious conspiracy -STATUTE- If two or more persons in any State or Territory, or in any place subject to the jurisdiction of the United States, conspire to overthrow, put down, or to destroy by force the Government of the United States, or to levy war against them, or to oppose by force the authority thereof, or by force to prevent, hinder, or delay the execution of any law of the United States, or by force to seize, take, or possess any property of the United States contrary to the authority thereof, they shall each be fined not more than $20,000 or imprisoned not more than twenty years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 808; July 24, 1956, ch. 678, Sec. 1, 70 Stat. 623.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 6 (Mar. 4, 1909, ch. 321, Sec. 6, 35 Stat. 1089). AMENDMENTS 1956 - Act July 24, 1956, substituted '$20,000' for '$5,000', and 'twenty years' for 'six years'. EFFECTIVE DATE OF 1956 AMENDMENT Section 3 of act July 24, 1956, provided that: 'The foregoing amendments (amending this section and section 2385 of this title) shall apply only with respect to offenses committed on and after the date of the enactment of this Act (July 24, 1956).' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Alien advocates of overthrow of government, exclusion of, see section 1251 of Title 8, Aliens and Nationality. Conspiracy to commit offense or to defraud United States or to impede or injure officer, see sections 371 and 372 of this title. Federal retirement benefits, forfeiture upon conviction of offenses under this section, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Letters and writings containing matter advocating forcible resistance to any law of United States as nonmailable, see section 1717 of this title. Officers aiding importation of books and articles containing matter advocating forcible resistance to any law of the United States, see section 552 of this title. United States nationality as lost by attempting by force to overthrow or bearing arms against the United States, see sections 1481 to 1489 of Title 8, Aliens and Nationality. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 8 section 1481; title 38 section 3505; title 50 App. section 34. ------DocID 24565 Document 807 of 1438------ -CITE- 18 USC Sec. 2385 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2385. Advocating overthrow of Government -STATUTE- Whoever knowingly or willfully advocates, abets, advises, or teaches the duty, necessity, desirability, or propriety of overthrowing or destroying the government of the United States or the government of any State, Territory, District or Possession thereof, or the government of any political subdivision therein, by force or violence, or by the assassination of any officer of any such government; or Whoever, with intent to cause the overthrow or destruction of any such government, prints, publishes, edits, issues, circulates, sells, distributes, or publicly displays any written or printed matter advocating, advising, or teaching the duty, necessity, desirability, or propriety of overthrowing or destroying any government in the United States by force or violence, or attempts to do so; or Whoever organizes or helps or attempts to organize any society, group, or assembly of persons who teach, advocate, or encourage the overthrow or destruction of any such government by force or violence; or becomes or is a member of, or affiliates with, any such society, group, or assembly of persons, knowing the purposes thereof - Shall be fined not more than $20,000 or imprisoned not more than twenty years, or both, and shall be ineligible for employment by the United States or any department or agency thereof, for the five years next following his conviction. If two or more persons conspire to commit any offense named in this section, each shall be fined not more than $20,000 or imprisoned not more than twenty years, or both, and shall be ineligible for employment by the United States or any department or agency thereof, for the five years next following his conviction. As used in this section, the terms 'organizes' and 'organize', with respect to any society, group, or assembly of persons, include the recruiting of new members, the forming of new units, and the regrouping or expansion of existing clubs, classes, and other units of such society, group, or assembly of persons. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 808; July 24, 1956, ch. 678, Sec. 2, 70 Stat. 623; June 19, 1962, Pub. L. 87-486, 76 Stat. 103.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 10, 11, 13 (June 28, 1940, ch. 439, title I, Sec. 2, 3, 5, 54 Stat. 670, 671). Section consolidates sections 10, 11, and 13 of title 18, U.S.C., 1940 ed. Section 13 of title 18, U.S.C., 1940 ed., which contained the punishment provisions applicable to sections 10 and 11 of title 18, U.S.C., 1940 ed., was combined with section 11 of title 18, U.S.C., 1940 ed., and added to this section. In first paragraph, words 'the Government of the United States or the government of any State, Territory, District or possession thereof, or the government of any political subdivision therein' were substituted for 'any government in the United States'. In second and third paragraphs, word 'such' was inserted after 'any' and before 'government', and words 'in the United States' which followed 'government' were omitted. In view of these changes, the provisions of subsection (b) of section 10 of title 18, U.S.C., 1940 ed., which defined the term 'government in the United States' were omitted as unnecessary. Reference to conspiracy to commit any of the prohibited acts was omitted as covered by the general conspiracy provision, incorporated in section 371 of this title. (See reviser's note under that section.) Words 'upon conviction thereof' which preceded 'be fined' were omitted as surplusage, as punishment cannot be imposed until a conviction is secured. The phraseology was considerably changed to effect consolidation but without any change of substance. AMENDMENTS 1962 - Pub. L. 87-486 defined the terms 'organizes' and 'organize'. 1956 - Act July 24, 1956, substituted '$20,000' for '$10,000', and 'twenty years' for 'ten years' in the paragraph prescribing penalties applicable to advocating overthrow of government and inserted provisions relating to conspiracy to commit any offense named in this section. EFFECTIVE DATE OF 1956 AMENDMENT Amendment by act July 24, 1956, as applicable only with respect to offenses committed on and after July 24, 1956, see section 3 of act July 24, 1956, set out as a note under section 2384 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Alien advocates of overthrow of government, exclusion of, see section 1251 of Title 8, Aliens and Nationality. Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 593, 1901, 2071, 2381, and 2387 of this title. Disqualification from holding public office of trust or profit under Guam government, see section 1421b of Title 48, Territories and Insular Possessions. Federal retirement benefits, forfeiture upon conviction of offenses described hereunder, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section see section 3505 of Title 38, Veterans' Benefits. United States nationality as lost by attempting by force to overthrow or bearing arms against the United States, see sections 1481 to 1489 of Title 8, Aliens and Nationality. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 8 section 1481; title 38 section 3505; title 50 App. section 34. ------DocID 24566 Document 808 of 1438------ -CITE- 18 USC Sec. 2386 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2386. Registration of certain organizations -STATUTE- (A) For the purposes of this section: 'Attorney General' means the Attorney General of the United States; 'Organization' means any group, club, league, society, committee, association, political party, or combination of individuals, whether incorporated or otherwise, but such term shall not include any corporation, association, community chest, fund, or foundation, organized and operated exclusively for religious, charitable, scientific, literary, or educational purposes; 'Political activity' means any activity the purpose or aim of which, or one of the purposes or aims of which, is the control by force or overthrow of the Government of the United States or a political subdivision thereof, or any State or political subdivision thereof; An organization is engaged in 'civilian military activity' if: (1) it gives instruction to, or prescribes instruction for, its members in the use of firearms or other weapons or any substitute therefor, or military or naval science; or (2) it receives from any other organization or from any individual instruction in military or naval science; or (3) it engages in any military or naval maneuvers or activities; or (4) it engages, either with or without arms, in drills or parades of a military or naval character; or (5) it engages in any other form of organized activity which in the opinion of the Attorney General constitutes preparation for military action; An organization is 'subject to foreign control' if: (a) it solicits or accepts financial contributions, loans, or support of any kind, directly or indirectly, from, or is affiliated directly or indirectly with, a foreign government or a political subdivision thereof, or an agent, agency, or instrumentality of a foreign government or political subdivision thereof, or a political party in a foreign country, or an international political organization; or (b) its policies, or any of them, are determined by or at the suggestion of, or in collaboration with, a foreign government or political subdivision thereof, or an agent, agency, or instrumentality of a foreign government or a political subdivision thereof, or a political party in a foreign country, or an international political organization. (B)(1) The following organizations shall be required to register with the Attorney General: Every organization subject to foreign control which engages in political activity; Every organization which engages both in civilian military activity and in political activity; Every organization subject to foreign control which engages in civilian military activity; and Every organization, the purpose or aim of which, or one of the purposes or aims of which, is the establishment, control, conduct, seizure, or overthrow of a government or subdivision thereof by the use of force, violence, military measures, or threats of any one or more of the foregoing. Every such organization shall register by filing with the Attorney General, on such forms and in such detail as the Attorney General may by rules and regulations prescribe, a registration statement containing the information and documents prescribed in subsection (B)(3) and shall within thirty days after the expiration of each period of six months succeeding the filing of such registration statement, file with the Attorney General, on such forms and in such detail as the Attorney General may by rules and regulations prescribe, a supplemental statement containing such information and documents as may be necessary to make the information and documents previously filed under this section accurate and current with respect to such preceding six months' period. Every statement required to be filed by this section shall be subscribed, under oath, by all of the officers of the organization. (2) This section shall not require registration or the filing of any statement with the Attorney General by: (a) The armed forces of the United States; or (b) The organized militia or National Guard of any State, Territory, District, or possession of the United States; or (c) Any law-enforcement agency of the United States or of any Territory, District or possession thereof, or of any State or political subdivision of a State, or of any agency or instrumentality of one or more States; or (d) Any duly established diplomatic mission or consular office of a foreign government which is so recognized by the Department of State; or (e) Any nationally recognized organization of persons who are veterans of the armed forces of the United States, or affiliates of such organizations. (3) Every registration statement required to be filed by any organization shall contain the following information and documents: (a) The name and post-office address of the organization in the United States, and the names and addresses of all branches, chapters, and affiliates of such organization; (b) The name, address, and nationality of each officer, and of each person who performs the functions of an officer, of the organization, and of each branch, chapter, and affiliate of the organization; (c) The qualifications for membership in the organization; (d) The existing and proposed aims and purposes of the organization, and all the means by which these aims or purposes are being attained or are to be attained; (e) The address or addresses of meeting places of the organization, and of each branch, chapter, or affiliate of the organization, and the times of meetings; (f) The name and address of each person who has contributed any money, dues, property, or other thing of value to the organization or to any branch, chapter, or affiliate of the organization; (g) A detailed statement of the assets of the organization, and of each branch, chapter, and affiliate of the organization, the manner in which such assets were acquired, and a detailed statement of the liabilities and income of the organization and of each branch, chapter, and affiliate of the organization; (h) A detailed description of the activities of the organization, and of each chapter, branch, and affiliate of the organization; (i) A description of the uniforms, badges, insignia, or other means of identification prescribed by the organization, and worn or carried by its officers or members, or any of such officers or members; (j) A copy of each book, pamphlet, leaflet, or other publication or item of written, printed, or graphic matter issued or distributed directly or indirectly by the organization, or by any chapter, branch, or affiliate of the organization, or by any of the members of the organization under its authority or within its knowledge, together with the name of its author or authors and the name and address of the publisher; (k) A description of all firearms or other weapons owned by the organization, or by any chapter, branch, or affiliate of the organization, identified by the manufacturer's number thereon; (l) In case the organization is subject to foreign control, the manner in which it is so subject; (m) A copy of the charter, articles of association, constitution, bylaws, rules, regulations, agreements, resolutions, and all other instruments relating to the organization, powers, and purposes of the organization and to the powers of the officers of the organization and of each chapter, branch, and affiliate of the organization; and (n) Such other information and documents pertinent to the purposes of this section as the Attorney General may from time to time require. All statements filed under this section shall be public records and open to public examination and inspection at all reasonable hours under such rules and regulations as the Attorney General may prescribe. (C) The Attorney General is authorized at any time to make, amend, and rescind such rules and regulations as may be necessary to carry out this section, including rules and regulations governing the statements required to be filed. (D) Whoever violates any of the provisions of this section shall be fined not more than $10,000 or imprisoned not more than five years, or both. Whoever in a statement filed pursuant to this section willfully makes any false statement or willfully omits to state any fact which is required to be stated, or which is necessary to make the statements made not misleading, shall be fined not more than $2,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 808.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 14-17 (Oct. 17, 1940, ch. 897, Sec. 1-4, 54 Stat. 1201-1204). Section consolidates sections 14-17 of title 18, U.S.C., 1940 ed., as subsections (a), (b), (c), and (d), respectively, of this section, with necessary changes of phraseology and translation of section references. Words 'upon conviction' which preceded 'be subject' were omitted as surplusage, as punishment cannot otherwise be imposed. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 612; title 50 App. section 34. ------DocID 24567 Document 809 of 1438------ -CITE- 18 USC Sec. 2387 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2387. Activities affecting armed forces generally -STATUTE- (a) Whoever, with intent to interfere with, impair, or influence the loyalty, morale, or discipline of the military or naval forces of the United States: (1) advises, counsels, urges, or in any manner causes or attempts to cause insubordination, disloyalty, mutiny, or refusal of duty by any member of the military or naval forces of the United States; or (2) distributes or attempts to distribute any written or printed matter which advises, counsels, or urges insubordination, disloyalty, mutiny, or refusal of duty by any member of the military or naval forces of the United States - Shall be fined not more than $10,000 or imprisoned not more than ten years, or both, and shall be ineligible for employment by the United States or any department or agency thereof, for the five years next following his conviction. (b) For the purposes of this section, the term 'military or naval forces of the United States' includes the Army of the United States, the Navy, Air Force, Marine Corps, Coast Guard, Naval Reserve, Marine Corps Reserve, and Coast Guard Reserve of the United States; and, when any merchant vessel is commissioned in the Navy or is in the service of the Army or the Navy, includes the master, officers, and crew of such vessel. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 811; May 24, 1949, ch. 139, Sec. 46, 63 Stat. 96.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 9, 11, 13 (June 28, 1940, ch. 439, title I, Sec. 1, 3, 5, 54 Stat. 670, 671). Section consolidates sections 9, 11, and 13 of title 18, U.S.C., 1940 ed., with only such changes of phraseology as were necessary to effect consolidation. The revised section extends the provisions so as to include the Coast Guard Reserve in its coverage. Words 'upon conviction thereof' were omitted as unnecessary, as punishment cannot be imposed until conviction is secured. Reference to conspiracy to commit any of the prohibited acts was omitted as covered by the general law incorporated in section 371 of this title. (See reviser's note under that section.) Minor changes were made in arrangement and phraseology. 1949 ACT This section (section 46) inserts the words, 'Air Force,' in subsection (b) of section 2387 of title 18, U.S.C., in view of the establishment in 1947 of this separate branch of the armed services. AMENDMENTS 1949 - Subsec. (b). Act May 24, 1949, made section applicable to the Air Force. -TRANS- TRANSFER OF FUNCTIONS Coast Guard transferred to Department of Transportation and functions, powers, and duties, relating to Coast Guard, of Secretary of the Treasury and of other offices and officers of Department of the Treasury transferred to Secretary of Transportation by Pub. L. 89-670, Oct. 15, 1966, 80 Stat. 931, which created Department of Transportation. See section 108 of Title 49, Transportation. Functions of all officers of Department of the Treasury and functions of all agencies and employees of such Department transferred, with certain exceptions, to Secretary of the Treasury, with power vested in him to authorize their performance or performance of any of his functions, by any of such officers, agencies, and employees, by Reorg. Plan No. 26, of 1950, Sec. 1, 2, eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the Appendix to Title 5, Government Organization and Employees. Such plan excepted from transfer functions of Coast Guard and Commandant thereof when Coast Guard is operating as a part of the Navy under section 1 and 3 of Title 14, Coast Guard. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Disqualification from holding any office of honor, trust, or profit, additional grounds for, see sections 592, 593, 1901, 2071, 2381, and 2385 of this title. Federal retirement benefits, forfeiture upon conviction of offenses described hereunder, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 38 section 3505; title 50 App. section 34. ------DocID 24568 Document 810 of 1438------ -CITE- 18 USC Sec. 2388 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2388. Activities affecting armed forces during war -STATUTE- (a) Whoever, when the United States is at war, willfully makes or conveys false reports or false statements with intent to interfere with the operation or success of the military or naval forces of the United States or to promote the success of its enemies; or Whoever, when the United States is at war, willfully causes or attempts to cause insubordination, disloyalty, mutiny, or refusal of duty, in the military or naval forces of the United States, or willfully obstructs the recruiting or enlistment service of the United States, to the injury of the service or the United States, or attempts to do so - Shall be fined not more than $10,000 or imprisoned not more than twenty years, or both. (b) If two or more persons conspire to violate subsection (a) of this section and one or more such persons do any act to effect the object of the conspiracy, each of the parties to such conspiracy shall be punished as provided in said subsection (a). (c) Whoever harbors or conceals any person who he knows, or has reasonable grounds to believe or suspect, has committed, or is about to commit, an offense under this section, shall be fined not more than $10,000 or imprisoned not more than ten years, or both. (d) This section shall apply within the admiralty and maritime jurisdiction of the United States, and on the high seas, as well as within the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 811.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 33, 34, 35, 37 of title 50, U.S.C., 1940 ed., War and National Defense (June 15, 1917, ch. 30, title I, Sec. 3, 4, 5, 8, 40 Stat. 219; Mar. 3, 1921, ch. 136, 41 Stat. 1359; Mar. 28, 1940, ch. 72, Sec. 2, 54 Stat. 79). Sections 33, 34, 35, and 37 of title 50, U.S.C., 1940 ed., War and National Defense, were consolidated. Sections 34, 35, and 37 of title 50, U.S.C., 1940 ed., War and National Defense, are also incorporated in sections 791, 792, and 794 of this title, to which they relate. Minor changes were made in phraseology. REPEALS Section 7 of act June 30, 1953, ch. 175, 67 Stat. 134, repealed Joint Res. July 3, 1952, ch. 570, Sec. 1(a)(29), 66 Stat. 333; Joint Res. Mar. 31, 1953, ch. 13, Sec. 1, 67 Stat. 18, which had provided that this section should continue in force until six months after the termination of the National emergency proclaimed by 1950 Proc. No. 2914 which is set out as a note preceding section 1 of Appendix to Title 50, War and National Defense. TEMPORARY EXTENSION OF SECTION Temporary extension of section, see section 2391 of this title. REPEAL OF PRIOR EXTENSIONS OF WAR-TIME PROVISIONS Section 6 of Joint Res. July 3, 1952, repealed Joint Res. Apr. 14, 1952, ch. 204, 66 Stat. 54, as amended by Joint Res. May 28, 1952, ch. 339, 66 Stat. 96. Intermediate extensions by Joint Res. June 14, 1952, ch. 437, 66 Stat. 137, and Joint Res. June 30, 1952, ch. 526, 66 Stat. 296, which continued provisions until July 3, 1952, expired by their own terms. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses described hereunder, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. Jurisdiction of offenses, see section 3241 of this title. Letters, writings, etc., in violation of this section as nonmailable, see section 1717 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1717, 2391 of this title; title 5 section 8312; title 38 section 3505; title 50 App. sections 19, 34. ------DocID 24569 Document 811 of 1438------ -CITE- 18 USC Sec. 2389 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2389. Recruiting for service against United States -STATUTE- Whoever recruits soldiers or sailors within the United States, or in any place subject to the jurisdiction thereof, to engage in armed hostility against the same; or Whoever opens within the United States, or in any place subject to the jurisdiction thereof, a recruiting station for the enlistment of such soldiers or sailors to serve in any manner in armed hostility against the United States - Shall be fined not more than $1,000 or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 811.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 7 (Mar. 4, 1909, ch. 321, Sec. 7, 35 Stat. 1089). Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses described hereunder, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 38 section 3505. ------DocID 24570 Document 812 of 1438------ -CITE- 18 USC Sec. 2390 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2390. Enlistment to serve against United States -STATUTE- Whoever enlists or is engaged within the United States or in any place subject to the jurisdiction thereof, with intent to serve in armed hostility against the United States, shall be fined $100 or imprisoned not more than three years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 812.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 8 (Mar. 4, 1909, ch. 321, Sec. 8, 35 Stat. 1089). Mandatory punishment provision was rephrased in the alternative. Minor changes were made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Federal retirement benefits, forfeiture upon conviction of offenses described hereunder, see section 8312 of Title 5, Government Organization and Employees. Forfeiture of veterans' benefits upon conviction under this section, see section 3505 of Title 38, Veterans' Benefits. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 5 section 8312; title 38 section 3505. ------DocID 24571 Document 813 of 1438------ -CITE- 18 USC Sec. 2391 -EXPCITE- TITLE 18 PART I CHAPTER 115 -HEAD- Sec. 2391. Temporary extension of section 2388 -STATUTE- The provisions of section 2388 of this title, as amended and extended by section 1(a)(29) of the Emergency Powers Continuation Act (66 Stat. 333), as further amended by Public Law 12, Eighty-third Congress, in addition to coming into full force and effect in time of war shall remain in full force and effect until six months after the termination of the national emergency proclaimed by the President on December 16, 1950 (Proc. 2912, 3 C.F.R., 1950 Supp., p. 71), or such earlier date as may be prescribed by concurrent resolution of the Congress, and acts which would give rise to legal consequences and penalties under section 2388 when performed during a state of war shall give rise to the same legal consequences and penalties when they are performed during the period above provided for. -SOURCE- (Added June 30, 1953, ch. 175, Sec. 6, 67 Stat. 134.) -REFTEXT- REFERENCES IN TEXT Section 1(a)(29) of the Emergency Powers Continuation Act. (66 Stat. 333), as further amended by Public Law 12, Eighty-third Congress, referred to in text, formerly set out as a note under section 2388 of this title, was repealed by section 7 of act June 30, 1953. (Proc. 2912, 3 C.F.R., 1950 Supp., p. 71), referred to in text, is an erroneous citation. It probably should refer to Proc. 2914 which is set out as a note preceding section 1 of Title 50, Appendix, War and National Defense. -MISC2- TERMINATION OF NATIONAL EMERGENCY Declaration of national emergency in effect on Sept. 14, 1976, was terminated two years from that date by section 1601 of Title 50, War and National Defense. ------DocID 24572 Document 814 of 1438------ -CITE- 18 USC CHAPTER 117 -EXPCITE- TITLE 18 PART I CHAPTER 117 -HEAD- CHAPTER 117 - TRANSPORTATION FOR ILLEGAL SEXUAL ACTIVITY AND RELATED CRIMES -MISC1- Sec. 2421. Transportation generally. 2422. Coercion and enticement. 2423. Transportation of minors. 2424. Filing factual statement about alien individual. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7071, Nov. 18, 1988, 102 Stat. 4405, substituted 'individual' for 'female' in item 2424. 1986 - Pub. L. 99-628, Sec. 5(a)(1), (b)(2), Nov. 7, 1986, 100 Stat. 3511, substituted 'TRANSPORTATION FOR ILLEGAL SEXUAL ACTIVITY AND RELATED CRIMES' for 'WHITE SLAVE TRAFFIC' as chapter heading and substituted 'and enticement' for 'or enticement of female' in item 2422. 1978 - Pub. L. 95-225, Sec. 3(b), Feb. 6, 1978, 92 Stat. 9, substituted 'Transportation of minors' for 'Coercion or enticement of minor female' in item 2423. ------DocID 24573 Document 815 of 1438------ -CITE- 18 USC Sec. 2421 -EXPCITE- TITLE 18 PART I CHAPTER 117 -HEAD- Sec. 2421. Transportation generally -STATUTE- Whoever knowingly transports any individual in interstate or foreign commerce, or in any Territory or Possession of the United States, with intent that such individual engage in prostitution, or in any sexual activity for which any person can be charged with a criminal offense, shall be fined under this title or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 812; May 24, 1949, ch. 139, Sec. 47, 63 Stat. 96; Nov. 7, 1986, Pub. L. 99-628, Sec. 5(b)(1), 100 Stat. 3511.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 397, 398, 401, 404 (June 25, 1910, ch. 395, Sec. 1, 2, 5, 8, 36 Stat. 825-827). Section consolidates sections 397, 398, 401, and 404 of title 18, U.S.C., 1940 ed. Section 397 of title 18, U.S.C., 1940 ed., containing a definition of the terms 'interstate commerce' and 'foreign commerce' was omitted as unnecessary in view of the definition of those terms in section 10 of this title. Section 401 of title 18, U.S.C., 1940 ed., prescribing venue was omitted as unnecessary in view of section 3237 of this title. Section 403 of title 18, U.S.C., 1940 ed., was omitted. No definition of 'Territory' is necessary to the revised section as it is phrased. Construction therein of 'person' is covered by section 1 of title 1, U.S.C., 1940 ed., General Provisions, as amended. Last paragraph of said section relating to construction of this chapter was omitted as surplusage. Words 'Possession of the United States' were inserted in three places in view of mission of said section 403 of title 18, U.S.C., 1940 ed., and, reference in that section to the Canal Zone is covered by those words. This chapter applies to the Territory of Hawaii. (See Sun Chong Lee v. United States, C.C.A. Hawaii, 1942, 125 F. 2d 95.) Section 404 of title 18, U.S.C., 1940 ed., containing the short title was omitted as not appropriate in a revision. Reference to persons causing, procuring, aiding or assisting was deleted as unnecessary because such persons are made principals by section 2 of this title. Words 'and upon conviction thereof' were also deleted as surplusage since punishment cannot be imposed until a conviction is secured. Words 'deemed guilty of a felony' were deleted as unnecessary in view of the definition of a felony in section 1 of this title. (See reviser's note under section 550 of this title.) Minor changes were also made in translations and phraseology. 1949 ACT This section (section 47) corrects a typographical error in section 2421 of title 18, U.S.C. AMENDMENTS 1986 - Pub. L. 99-628 amended section generally. Prior to amendment, section read as follows: 'Whoever knowingly transports in interstate or foreign commerce, or in the District of Columbia or in any Territory or Possession of the United States, any woman or girl for the purpose of prostitution or debauchery, or for any other immoral purpose, or with the intent and purpose to induce, entice, or compel such woman or girl to become a prostitute or to give herself up to debauchery, or to engage in any other immoral practice; or 'Whoever knowingly procures or obtains any ticket or tickets, or any form of transportation or evidence of the right thereto, to be used by any woman or girl in interstate or foreign commerce, or in the District of Columbia or any Territory or Possession of the United States, in going to any place for the purpose of prostitution or debauchery, or for any other immoral purpose, or with the intent or purpose on the part of such person to induce, entice, or compel her to give herself up to the practice of prostitution, or to give herself up to debauchery, or any other immoral practice, whereby any such woman or girl shall be transported in interstate or foreign commerce, or in the District of Columbia or any Territory or Possession of the United States - 'Shall be fined not more than $5,000 or imprisoned not more than five years, or both.' 1949 - Act May 24, 1949, corrected spelling of 'induce'. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961 of this title. ------DocID 24574 Document 816 of 1438------ -CITE- 18 USC Sec. 2422 -EXPCITE- TITLE 18 PART I CHAPTER 117 -HEAD- Sec. 2422. Coercion and enticement -STATUTE- Whoever knowingly persuades, induces, entices, or coerces any individual to travel in interstate or foreign commerce, or in any Territory or Possession of the United States, to engage in prostitution, or in any sexual activity for which any person can be charged with a criminal offense, shall be fined under this title or imprisoned not more than five years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 812; Nov. 7, 1986, Pub. L. 99-628, Sec. 5(b)(1), 100 Stat. 3511; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7070, 102 Stat. 4405.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 399 (June 25, 1910, ch. 395, Sec. 3, 36 Stat. 825). Words 'deemed guilty of a felony' were deleted as unnecessary in view of definition of felony in section 1 of this title. (See reviser's note under section 550 of this title.) Words 'and on conviction thereof shall be' were deleted as surplusage since punishment cannot be imposed until a conviction is secured. The references to persons causing, procuring, aiding or assisting were omitted as unnecessary as such persons are made principals by section 2 of this title. Words 'Possession of the United States' were inserted twice. (See reviser's note under section 2421 of this title.) Minor changes were made in phraseology. AMENDMENTS 1988 - Pub. L. 100-690 substituted 'or' for 'of' before 'foreign commerce'. 1986 - Pub. L. 99-628 substituted 'and enticement' for 'or enticement of female' in section catchline and amended text generally. Prior to amendment, text read as follows: 'Whoever knowingly persuades, induces, entices, or coerces any woman or girl to go from one place to another in interstate or foreign commerce, or in the District of Columbia or in any Territory or Possession of the United States, for the purpose of prostitution or debauchery, or for any other immoral purpose, or with the intent and purpose on the part of such person that such woman or girl shall engage in the practice of prostitution or debauchery, or any other immoral practice, whether with or without her consent, and thereby knowingly causes such woman or girl to go and to be carried or transported as a passenger upon the line or route of any common carrier or carriers in interstate or foreign commerce, or in the District of Columbia or in any Territory or Possession of the United States, shall be fined not more than $5,000 or imprisoned not more than five years, or both.' -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961 of this title. ------DocID 24575 Document 817 of 1438------ -CITE- 18 USC Sec. 2423 -EXPCITE- TITLE 18 PART I CHAPTER 117 -HEAD- Sec. 2423. Transportation of minors -STATUTE- Whoever knowingly transports any individual under the age of 18 years in interstate or foreign commerce, or in any Territory or Possession of the United States, with intent that such individual engage in prostitution, or in any sexual activity for which any person can be charged with a criminal offense, shall be fined under this title or imprisoned not more than ten years, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 812; Feb. 6, 1978, Pub. L. 95-225, Sec. 3(a), 92 Stat. 8; Nov. 7, 1986, Pub. L. 99-628, Sec. 5(b)(1), 100 Stat. 3511.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 400 (June 25, 1910, ch. 395, Sec. 4, 36 Stat. 826). Words 'deemed guilty of a felony' were deleted as unnecessary in view of definition of felony in section 1 of this title. (See reviser's note under section 550 of this title.) Words 'and on conviction thereof shall be' were deleted as surplusage since punishment cannot be imposed until a conviction is secured. Words 'Possession of the United States' were inserted twice. (See reviser's note under section 2421 of this title.) Minor changes were made in phraseology. AMENDMENTS 1986 - Pub. L. 99-628 amended section generally, revising and restating as one paragraph provisions formerly contained in subsec. (a) and striking out subsec. (b) which provided definitions. 1978 - Pub. L. 95-225 substituted 'Transportation of minors' for 'Coercion or enticement of minor female' in section catchline, designated existing provision as subsec. (a), substituted provisions relating to conduct prohibiting the transportation of minors for provisions relating to conduct prohibiting the coercion or enticement of a minor female, and added subsec. (b). -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961 of this title. ------DocID 24576 Document 818 of 1438------ -CITE- 18 USC Sec. 2424 -EXPCITE- TITLE 18 PART I CHAPTER 117 -HEAD- Sec. 2424. Filing factual statement about alien individual -STATUTE- (a) Whoever keeps, maintains, controls, supports, or harbors in any house or place for the purpose of prostitution, or for any other immoral purpose, any alien individual within three years after that individual has entered the United States from any country, party to the arrangement adopted July 25, 1902, for the suppression of the white-slave traffic, shall file with the Commissioner of Immigration and Naturalization a statement in writing setting forth the name of such alien individual, the place at which that individual is kept, and all facts as to the date of that individual's entry into the United States, the port through which that individual entered, that individual's age, nationality, and parentage, and concerning that individual's procuration to come to this country within the knowledge of such person; and Whoever fails within thirty days after commencing to keep, maintain, control, support, or harbor in any house or place for the purpose of prostitution, or for any other immoral purpose, any alien individual within three years after that individual has entered the United States from any country, party to the said arrangement for the suppression of the white-slave traffic, to file such statement concerning such alien individual with the Commissioner of Immigration and Naturalization; or Whoever knowingly and willfully states falsely or fails to disclose in such statement any fact within that person's knowledge or belief with reference to the age, nationality, or parentage of any such alien individual, or concerning that individual's procuration to come to this country - Shall be fined not more than $2,000 or imprisoned not more than two years, or both. (b) In any prosecution brought under this section, if it appears that any such statement required is not on file in the office of the Commissioner of Immigration and Naturalization, the person whose duty it is to file such statement shall be presumed to have failed to file said statement, unless such person or persons shall prove otherwise. No person shall be excused from furnishing the statement, as required by this section, on the ground or for the reason that the statement so required by that person, or the information therein contained, might tend to criminate that person or subject that person to a penalty or forfeiture, but no information contained in the statement or any evidence which is directly or indirectly derived from such information may be used against any person making such statement in any criminal case, except a prosecution for perjury, giving a false statement or otherwise failing to comply with this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 813; Oct. 15, 1970, Pub. L. 91-452, title II, Sec. 226, 84 Stat. 930; Nov. 7, 1986, Pub. L. 99-628, Sec. 5(c), 100 Stat. 3511.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 402(2), (3) (June 25, 1910, ch. 395, Sec. 6, 36 Stat. 826). First paragraph of section 402 of title 18, U.S.C., 1940 ed., was omitted from this section and recommended for transfer to Title 8, Aliens and Nationality. Words 'shall be deemed guilty of a misdemeanor' were omitted as unnecessary in view of the definition of a misdemeanor in section 1 of this title. (See reviser's note under section 212 of this title.) Minor changes were made in phraseology. AMENDMENTS 1986 - Pub. L. 99-628, Sec. 5(c)(1), substituted 'individual' for 'female' in section catchline. Subsec. (a). Pub. L. 99-628, Sec. 5(c)(2)-(4), (6), substituted 'individual' for 'woman or girl', 'that individual' for 'she', 'that individual's' for 'her', and 'that person's' for 'his' wherever appearing. Subsec. (b). Pub. L. 99-628, Sec. 5(c)(5), substituted 'that person' for 'him' wherever appearing. 1970 - Subsec. (b). Pub. L. 91-452 substituted provisions that no information contained in the statement or any evidence directly or indirectly derived from such information be used against any person making such statement in any criminal case, except a prosecution for perjury, giving a false statement, or otherwise failing to comply with this section, for provisions that no person be prosecuted or subjected to any penalty or forfeiture under any law of the United States for or on account of any transaction, etc., truthfully reported in his statement. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-452 effective on sixtieth day following Oct. 15, 1970, and not to affect any immunity to which any individual is entitled under this section by reason of any testimony given before sixtieth day following Oct. 15, 1970, see section 260 of Pub. L. 91-452, set out as an Effective Date; Savings Provision note under section 6001 of this title. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. CROSS REFERENCES Importation of aliens for immoral purposes as forbidden, see section 1328 of Title 8, Aliens and Nationality. International agreement signed May 18, 1904, for the suppression of the white-slave traffic is set forth, with the adherence of the United States thereto, in 35 Stat. 1979. Prevention of transportation in foreign commerce of alien women and girls under international agreement, see section 1557 of Title 8, Aliens and Nationality. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 1961 of this title. ------DocID 24577 Document 819 of 1438------ -CITE- 18 USC CHAPTER 119 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- CHAPTER 119 - WIRE AND ELECTRONIC COMMUNICATIONS INTERCEPTION AND INTERCEPTION OF ORAL COMMUNICATIONS -MISC1- Sec. 2510. Definitions. 2511. Interception and disclosure of wire, oral, or electronic communications prohibited. 2512. Manufacture, distribution, possession, and advertising of wire, oral, or electronic communication intercepting devices prohibited. 2513. Confiscation of wire, oral, or electronic communication intercepting devices. (2514. Repealed.) 2515. Prohibition of use as evidence of intercepted wire or oral communications. 2516. Authorization for interception of wire, oral, or electronic communications. 2517. Authorization for disclosure and use of intercepted wire, oral, or electronic communications. 2518. Procedure for interception of wire, oral, or electronic communications. 2519. Reports concerning intercepted wire, oral, or electronic communications. 2520. Recovery of civil damages authorized. 2521. Injunction against illegal interception. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7035, Nov. 18, 1988, 102 Stat. 4398, substituted 'wire, oral, or electronic' for 'wire or oral' in items 2511, 2512, 2513, 2516, 2517, 2518, and 2519. 1986 - Pub. L. 99-508, title I, Sec. 101(c)(2), 110(b), Oct. 21, 1986, 100 Stat. 1851, 1859, inserted 'AND ELECTRONIC COMMUNICATIONS' in chapter heading and added item 2521. 1970 - Pub. L. 91-452, title II, Sec. 227(b), Oct. 15, 1970, 84 Stat. 930, struck out item 2514 'Immunity of witnesses', which section was repealed four years following the sixtieth day after Oct. 15, 1970. 1968 - Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 212, added chapter 119 and items 2510 to 2520. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2232 of this title; title 47 section 605; title 50 section 1805. ------DocID 24578 Document 820 of 1438------ -CITE- 18 USC Sec. 2510 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2510. Definitions -STATUTE- As used in this chapter - (1) 'wire communication' means any aural transfer made in whole or in part through the use of facilities for the transmission of communications by the aid of wire, cable, or other like connection between the point of origin and the point of reception (including the use of such connection in a switching station) furnished or operated by any person engaged in providing or operating such facilities for the transmission of interstate or foreign communications or communications affecting interstate or foreign commerce and such term includes any electronic storage of such communication, but such term does not include the radio portion of a cordless telephone communication that is transmitted between the cordless telephone handset and the base unit; (2) 'oral communication' means any oral communication uttered by a person exhibiting an expectation that such communication is not subject to interception under circumstances justifying such expectation, but such term does not include any electronic communication; (3) 'State' means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any territory or possession of the United States; (4) 'intercept' means the aural or other acquisition of the contents of any wire, electronic, or oral communication through the use of any electronic, mechanical, or other device. (5) 'electronic, mechanical, or other device' means any device or apparatus which can be used to intercept a wire, oral, or electronic communication other than - (a) any telephone or telegraph instrument, equipment or facility, or any component thereof, (i) furnished to the subscriber or user by a provider of wire or electronic communication service in the ordinary course of its business and being used by the subscriber or user in the ordinary course of its business or furnished by such subscriber or user for connection to the facilities of such service and used in the ordinary course of its business; or (ii) being used by a provider of wire or electronic communication service in the ordinary course of its business, or by an investigative or law enforcement officer in the ordinary course of his duties; (b) a hearing aid or similar device being used to correct subnormal hearing to not better than normal; (6) 'person' means any employee, or agent of the United States or any State or political subdivision thereof, and any individual, partnership, association, joint stock company, trust, or corporation; (7) 'Investigative or law enforcement officer' means any officer of the United States or of a State or political subdivision thereof, who is empowered by law to conduct investigations of or to make arrests for offenses enumerated in this chapter, and any attorney authorized by law to prosecute or participate in the prosecution of such offenses; (8) 'contents', when used with respect to any wire, oral, or electronic communication, includes any information concerning the substance, purport, or meaning of that communication; (9) 'Judge of competent jurisdiction' means - (a) a judge of a United States district court or a United States court of appeals; and (b) a judge of any court of general criminal jurisdiction of a State who is authorized by a statute of that State to enter orders authorizing interceptions of wire, oral, or electronic communications; (10) 'communication common carrier' shall have the same meaning which is given the term 'common carrier' by section 153(h) of title 47 of the United States Code; (11) 'aggrieved person' means a person who was a party to any intercepted wire, oral, or electronic communication or a person against whom the interception was directed; (12) 'electronic communication' means any transfer of signs, signals, writing, images, sounds, data, or intelligence of any nature transmitted in whole or in part by a wire, radio, electromagnetic, photoelectronic or photooptical system that affects interstate or foreign commerce, but does not include - (A) the radio portion of a cordless telephone communication that is transmitted between the cordless telephone handset and the base unit; (B) any wire or oral communication; (C) any communication made through a tone-only paging device; or (D) any communication from a tracking device (as defined in section 3117 of this title); (13) 'user' means any person or entity who - (A) uses an electronic communication service; and (B) is duly authorized by the provider of such service to engage in such use; (14) 'electronic communications system' means any wire, radio, electromagnetic, photooptical or photoelectronic facilities for the transmission of electronic communications, and any computer facilities or related electronic equipment for the electronic storage of such communications; (15) 'electronic communication service' means any service which provides to users thereof the ability to send or receive wire or electronic communications; (16) 'readily accessible to the general public' means, with respect to a radio communication, that such communication is not - (A) scrambled or encrypted; (B) transmitted using modulation techniques whose essential parameters have been withheld from the public with the intention of preserving the privacy of such communication; (C) carried on a subcarrier or other signal subsidiary to a radio transmission; (D) transmitted over a communication system provided by a common carrier, unless the communication is a tone only paging system communication; or (E) transmitted on frequencies allocated under part 25, subpart D, E, or F of part 74, or part 94 of the Rules of the Federal Communications Commission, unless, in the case of a communication transmitted on a frequency allocated under part 74 that is not exclusively allocated to broadcast auxiliary services, the communication is a two-way voice communication by radio; (17) 'electronic storage' means - (A) any temporary, intermediate storage of a wire or electronic communication incidental to the electronic transmission thereof; and (B) any storage of such communication by an electronic communication service for purposes of backup protection of such communication; and (18) 'aural transfer' means a transfer containing the human voice at any point between and including the point of origin and the point of reception. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 212, and amended Pub. L. 99-508, title I, Sec. 101(a), (c)(1)(A), (4), Oct. 21, 1986, 100 Stat. 1848, 1851.) -MISC1- AMENDMENTS 1986 - Par. (1). Pub. L. 99-508, Sec. 101(a)(1), substituted 'any aural transfer' for 'any communication', inserted '(including the use of such connection in a switching station)' after 'reception', struck out 'as a common carrier' after 'person engaged', and inserted 'or communications affecting interstate or foreign commerce and such term includes any electronic storage of such communication, but such term does not include the radio portion of a cordless telephone communication that is transmitted between the cordless telephone handset and the base unit' before the semicolon at end. Par. (2). Pub. L. 99-508, Sec. 101(a)(2), inserted ', but such term does not include any electronic communication' before the semicolon at end. Par. (4). Pub. L. 99-508, Sec. 101(a)(3), inserted 'or other' after 'aural' and ', electronic,' after 'wire'. Par. (5). Pub. L. 99-508, Sec. 101(a)(4), (c)(1)(A), (4), substituted 'wire, oral, or electronic' for 'wire or oral' in introductory provisions, substituted 'provider of wire or electronic communication service' for 'communications common carrier' in subpars. (a)(i) and (ii), and inserted 'or furnished by such subscriber or user for connection to the facilities of such service and used in the ordinary course of its business' before the semicolon in subpar. (a)(i). Par. (8). Pub. L. 99-508, Sec. 101(a)(5), (c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' and struck out 'identity of the parties to such communication or the existence,' after 'concerning the'. Pars. (9)(b), (11). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral'. Pars. (12) to (18). Pub. L. 99-508, Sec. 101(a)(6), added pars. (12) to (18). EFFECTIVE DATE OF 1986 AMENDMENT Section 111 of title I of Pub. L. 99-508 provided that: '(a) In General. - Except as provided in subsection (b) or (c), this title and the amendments made by this title (enacting sections 2521 and 3117 of this title, amending this section and sections 2232, 2511 to 2513, and 2516 to 2520 of this title, and enacting provisions set out as notes under this section) shall take effect 90 days after the date of the enactment of this Act (Oct. 21, 1986) and shall, in the case of conduct pursuant to a court order or extension, apply only with respect to court orders or extensions made after this title takes effect. '(b) Special Rule for State Authorizations of Interceptions. - Any interception pursuant to section 2516(2) of title 18 of the United States Code which would be valid and lawful without regard to the amendments made by this title shall be valid and lawful notwithstanding such amendments if such interception occurs during the period beginning on the date such amendments take effect and ending on the earlier of - '(1) the day before the date of the taking effect of State law conforming the applicable State statute with chapter 119 of title 18, United States Code, as so amended; or '(2) the date two years after the date of the enactment of this Act (Oct. 21, 1986). '(c) Effective Date for Certain Approvals by Justice Department Officials. - Section 104 of this Act (amending section 2516 of this title) shall take effect on the date of enactment of this Act (Oct. 21, 1986).' SHORT TITLE OF 1986 AMENDMENT Section 1 of Pub. L. 99-508 provided that: 'This Act (enacting sections 1367, 2521, 2701 to 2710, 3117, and 3121 to 3126 of this title, amending sections 2232, 2511 to 2513, and 2516 to 2520 of this title, and enacting provisions set out as notes under this section and sections 2701 and 3121 of this title) may be cited as the 'Electronic Communications Privacy Act of 1986'.' INTELLIGENCE ACTIVITIES Section 107 of Pub. L. 99-508 provided that: '(a) In General. - Nothing in this Act or the amendments made by this Act (see Short Title of 1986 Amendment note above) constitutes authority for the conduct of any intelligence activity. '(b) Certain Activities Under Procedures Approved by the Attorney General. - Nothing in chapter 119 or chapter 121 of title 18, United States Code, shall affect the conduct, by officers or employees of the United States Government in accordance with other applicable Federal law, under procedures approved by the Attorney General of activities intended to - '(1) intercept encrypted or other official communications of United States executive branch entities or United States Government contractors for communications security purposes; '(2) intercept radio communications transmitted between or among foreign powers or agents of a foreign power as defined by the Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. 1801 et seq.); or '(3) access an electronic communication system used exclusively by a foreign power or agent of a foreign power as defined by the Foreign Intelligence Surveillance Act of 1978.' CONGRESSIONAL FINDINGS Section 801 of Pub. L. 90-351 provided that: 'On the basis of its own investigations and of published studies, the Congress makes the following findings: '(a) Wire communications are normally conducted through the use of facilities which form part of an interstate network. The same facilities are used for interstate and intrastate communications. There has been extensive wiretapping carried on without legal sanctions, and without the consent of any of the parties to the conversation. Electronic, mechanical, and other intercepting devices are being used to overhear oral conversations made in private, without the consent of any of the parties to such communications. The contents of these communications and evidence derived therefrom are being used by public and private parties as evidence in court and administrative proceedings, and by persons whose activities affect interstate commerce. The possession, manufacture, distribution, advertising, and use of these devices are facilitated by interstate commerce. '(b) In order to protect effectively the privacy of wire and oral communications, to protect the integrity of court and administrative proceedings, and to prevent the obstruction of interstate commerce, it is necessary for Congress to define on a uniform basis the circumstances and conditions under which the interception of wire and oral communications may be authorized, to prohibit any unauthorized interception of such communications, and the use of the contents thereof in evidence in courts and administrative proceedings. '(c) Organized criminals make extensive use of wire and oral communications in their criminal activities. The interception of such communications to obtain evidence of the commission of crimes or to prevent their commission is an indispensable aid to law enforcement and the administration of justice. '(d) To safeguard the privacy of innocent persons, the interception of wire or oral communications where none of the parties to the communication has consented to the interception should be allowed only when authorized by a court of competent jurisdiction and should remain under the control and supervision of the authorizing court. Interception of wire and oral communications should further be limited to certain major types of offenses and specific categories of crime with assurances that the interception is justified and that the information obtained thereby will not be misused.' NATIONAL COMMISSION FOR THE REVIEW OF FEDERAL AND STATE LAWS RELATING TO WIRETAPPING AND ELECTRONIC SURVEILLANCE Section 804 of Pub. L. 90-351, as amended by Pub. L. 91-452, title XII, Sec. 1212, Oct. 15, 1970, 84 Stat. 961; Pub. L. 91-644, title VI, Sec. 20, Jan. 2, 1971, 84 Stat. 1892; Pub. L. 93-609, Sec. 1-4, Jan. 2, 1975, 88 Stat. 1972, 1973; Pub. L. 94-176, Dec. 23, 1975, 89 Stat. 1031, established a National Commission for the Review of Federal and State Laws Relating to Wiretapping and Electronic Surveillance, provided for its membership, Chairman, powers and functions, compensation and allowances, required the Commission to study and review the operation of the provisions of this chapter to determine their effectiveness and to submit interim reports and a final report to the President and to the Congress of its findings and recommendations on or before Apr. 30, 1976, and also provided for its termination sixty days after submission of the final report. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2711, 3127, 3504 of this title; title 15 section 1114. ------DocID 24579 Document 821 of 1438------ -CITE- 18 USC Sec. 2511 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2511. Interception and disclosure of wire, oral, or electronic communications prohibited -STATUTE- (1) Except as otherwise specifically provided in this chapter any person who - (a) intentionally intercepts, endeavors to intercept, or procures any other person to intercept or endeavor to intercept, any wire, oral, or electronic communication; (b) intentionally uses, endeavors to use, or procures any other person to use or endeavor to use any electronic, mechanical, or other device to intercept any oral communication when - (i) such device is affixed to, or otherwise transmits a signal through, a wire, cable, or other like connection used in wire communication; or (ii) such device transmits communications by radio, or interferes with the transmission of such communication; or (iii) such person knows, or has reason to know, that such device or any component thereof has been sent through the mail or transported in interstate or foreign commerce; or (iv) such use or endeavor to use (A) takes place on the premises of any business or other commercial establishment the operations of which affect interstate or foreign commerce; or (B) obtains or is for the purpose of obtaining information relating to the operations of any business or other commercial establishment the operations of which affect interstate or foreign commerce; or (v) such person acts in the District of Columbia, the Commonwealth of Puerto Rico, or any territory or possession of the United States; (c) intentionally discloses, or endeavors to disclose, to any other person the contents of any wire, oral, or electronic communication, knowing or having reason to know that the information was obtained through the interception of a wire, oral, or electronic communication in violation of this subsection; or (d) intentionally uses, or endeavors to use, the contents of any wire, oral, or electronic communication, knowing or having reason to know that the information was obtained through the interception of a wire, oral, or electronic communication in violation of this subsection; shall be punished as provided in subsection (4) or shall be subject to suit as provided in subsection (5). (2)(a)(i) It shall not be unlawful under this chapter for an operator of a switchboard, or an officer, employee, or agent of a provider of wire or electronic communication service, whose facilities are used in the transmission of a wire communication, to intercept, disclose, or use that communication in the normal course of his employment while engaged in any activity which is a necessary incident to the rendition of his service or to the protection of the rights or property of the provider of that service, except that a provider of wire communication service to the public shall not utilize service observing or random monitoring except for mechanical or service quality control checks. (ii) Notwithstanding any other law, providers of wire or electronic communication service, their officers, employees, and agents, landlords, custodians, or other persons, are authorized to provide information, facilities, or technical assistance to persons authorized by law to intercept wire, oral, or electronic communications or to conduct electronic surveillance, as defined in section 101 of the Foreign Intelligence Surveillance Act of 1978, if such provider, its officers, employees, or agents, landlord, custodian, or other specified person, has been provided with - (A) a court order directing such assistance signed by the authorizing judge, or (B) a certification in writing by a person specified in section 2518(7) of this title or the Attorney General of the United States that no warrant or court order is required by law, that all statutory requirements have been met, and that the specified assistance is required, setting forth the period of time during which the provision of the information, facilities, or technical assistance is authorized and specifying the information, facilities, or technical assistance required. No provider of wire or electronic communication service, officer, employee, or agent thereof, or landlord, custodian, or other specified person shall disclose the existence of any interception or surveillance or the device used to accomplish the interception or surveillance with respect to which the person has been furnished a court order or certification under this chapter, except as may otherwise be required by legal process and then only after prior notification to the Attorney General or to the principal prosecuting attorney of a State or any political subdivision of a State, as may be appropriate. Any such disclosure, shall render such person liable for the civil damages provided for in section 2520. No cause of action shall lie in any court against any provider of wire or electronic communication service, its officers, employees, or agents, landlord, custodian, or other specified person for providing information, facilities, or assistance in accordance with the terms of a court order or certification under this chapter. (b) It shall not be unlawful under this chapter for an officer, employee, or agent of the Federal Communications Commission, in the normal course of his employment and in discharge of the monitoring responsibilities exercised by the Commission in the enforcement of chapter 5 of title 47 of the United States Code, to intercept a wire or electronic communication, or oral communication transmitted by radio, or to disclose or use the information thereby obtained. (c) It shall not be unlawful under this chapter for a person acting under color of law to intercept a wire, oral, or electronic communication, where such person is a party to the communication or one of the parties to the communication has given prior consent to such interception. (d) It shall not be unlawful under this chapter for a person not acting under color of law to intercept a wire, oral, or electronic communication where such person is a party to the communication or where one of the parties to the communication has given prior consent to such interception unless such communication is intercepted for the purpose of committing any criminal or tortious act in violation of the Constitution or laws of the United States or of any State. (e) Notwithstanding any other provision of this title or section 705 or 706 of the Communications Act of 1934, it shall not be unlawful for an officer, employee, or agent of the United States in the normal course of his official duty to conduct electronic surveillance, as defined in section 101 of the Foreign Intelligence Surveillance Act of 1978, as authorized by that Act. (f) Nothing contained in this chapter or chapter 121, or section 705 of the Communications Act of 1934, shall be deemed to affect the acquisition by the United States Government of foreign intelligence information from international or foreign communications, or foreign intelligence activities conducted in accordance with otherwise applicable Federal law involving a foreign electronic communications system, utilizing a means other than electronic surveillance as defined in section 101 of the Foreign Intelligence Surveillance Act of 1978, and procedures in this chapter or chapter 121 and the Foreign Intelligence Surveillance Act of 1978 shall be the exclusive means by which electronic surveillance, as defined in section 101 of such Act, and the interception of domestic wire and oral communications may be conducted. (g) It shall not be unlawful under this chapter or chapter 121 of this title for any person - (i) to intercept or access an electronic communication made through an electronic communication system that is configured so that such electronic communication is readily accessible to the general public; (ii) to intercept any radio communication which is transmitted - (I) by any station for the use of the general public, or that relates to ships, aircraft, vehicles, or persons in distress; (II) by any governmental, law enforcement, civil defense, private land mobile, or public safety communications system, including police and fire, readily accessible to the general public; (III) by a station operating on an authorized frequency within the bands allocated to the amateur, citizens band, or general mobile radio services; or (IV) by any marine or aeronautical communications system; (iii) to engage in any conduct which - (I) is prohibited by section 633 of the Communications Act of 1934; or (II) is excepted from the application of section 705(a) of the Communications Act of 1934 by section 705(b) of that Act; (iv) to intercept any wire or electronic communication the transmission of which is causing harmful interference to any lawfully operating station or consumer electronic equipment, to the extent necessary to identify the source of such interference; or (v) for other users of the same frequency to intercept any radio communication made through a system that utilizes frequencies monitored by individuals engaged in the provision or the use of such system, if such communication is not scrambled or encrypted. (h) It shall not be unlawful under this chapter - (i) to use a pen register or a trap and trace device (as those terms are defined for the purposes of chapter 206 (relating to pen registers and trap and trace devices) of this title); or (ii) for a provider of electronic communication service to record the fact that a wire or electronic communication was initiated or completed in order to protect such provider, another provider furnishing service toward the completion of the wire or electronic communication, or a user of that service, from fraudulent, unlawful or abusive use of such service. (3)(a) Except as provided in paragraph (b) of this subsection, a person or entity providing an electronic communication service to the public shall not intentionally divulge the contents of any communication (other than one to such person or entity, or an agent thereof) while in transmission on that service to any person or entity other than an addressee or intended recipient of such communication or an agent of such addressee or intended recipient. (b) A person or entity providing electronic communication service to the public may divulge the contents of any such communication - (i) as otherwise authorized in section 2511(2)(a) or 2517 of this title; (ii) with the lawful consent of the originator or any addressee or intended recipient of such communication; (iii) to a person employed or authorized, or whose facilities are used, to forward such communication to its destination; or (iv) which were inadvertently obtained by the service provider and which appear to pertain to the commission of a crime, if such divulgence is made to a law enforcement agency. (4)(a) Except as provided in paragraph (b) of this subsection or in subsection (5), whoever violates subsection (1) of this section shall be fined under this title or imprisoned not more than five years, or both. (b) If the offense is a first offense under paragraph (a) of this subsection and is not for a tortious or illegal purpose or for purposes of direct or indirect commercial advantage or private commercial gain, and the wire or electronic communication with respect to which the offense under paragraph (a) is a radio communication that is not scrambled or encrypted, then - (i) if the communication is not the radio portion of a cellular telephone communication, a public land mobile radio service communication or a paging service communication, and the conduct is not that described in subsection (5), the offender shall be fined under this title or imprisoned not more than one year, or both; and (ii) if the communication is the radio portion of a cellular telephone communication, a public land mobile radio service communication or a paging service communication, the offender shall be fined not more than $500. (c) Conduct otherwise an offense under this subsection that consists of or relates to the interception of a satellite transmission that is not encrypted or scrambled and that is transmitted - (i) to a broadcasting station for purposes of retransmission to the general public; or (ii) as an audio subcarrier intended for redistribution to facilities open to the public, but not including data transmissions or telephone calls, is not an offense under this subsection unless the conduct is for the purposes of direct or indirect commercial advantage or private financial gain. (5)(a)(i) If the communication is - (A) a private satellite video communication that is not scrambled or encrypted and the conduct in violation of this chapter is the private viewing of that communication and is not for a tortious or illegal purpose or for purposes of direct or indirect commercial advantage or private commercial gain; or (B) a radio communication that is transmitted on frequencies allocated under subpart D of part 74 of the rules of the Federal Communications Commission that is not scrambled or encrypted and the conduct in violation of this chapter is not for a tortious or illegal purpose or for purposes of direct or indirect commercial advantage or private commercial gain, then the person who engages in such conduct shall be subject to suit by the Federal Government in a court of competent jurisdiction. (ii) In an action under this subsection - (A) if the violation of this chapter is a first offense for the person under paragraph (a) of subsection (4) and such person has not been found liable in a civil action under section 2520 of this title, the Federal Government shall be entitled to appropriate injunctive relief; and (B) if the violation of this chapter is a second or subsequent offense under paragraph (a) of subsection (4) or such person has been found liable in any prior civil action under section 2520, the person shall be subject to a mandatory $500 civil fine. (b) The court may use any means within its authority to enforce an injunction issued under paragraph (ii)(A), and shall impose a civil fine of not less than $500 for each violation of such an injunction. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 213, and amended Pub. L. 91-358, title II, Sec. 211(a), July 29, 1970, 84 Stat. 654; Pub. L. 95-511, title II, Sec. 201(a)-(c), Oct. 25, 1978, 92 Stat. 1796, 1797; Pub. L. 98-549, Sec. 6(b)(2), Oct. 30, 1984, 98 Stat. 2804; Pub. L. 99-508, title I, Sec. 101(b), (c)(1), (5), (6), (d), (f)((1)), 102, Oct. 21, 1986, 100 Stat. 1849, 1851-1853.) -REFTEXT- REFERENCES IN TEXT The Foreign Intelligence Surveillance Act of 1978, referred to in par. (2)(e), (f), is Pub. L. 95-511, Oct. 25, 1978, 92 Stat. 1783, which is classified principally to chapter 36 (Sec. 1801 et seq.) of Title 50, War and National Defense. Section 101 of the Foreign Intelligence Surveillance Act of 1978, referred to in par. (2)(a)(ii), (e), and (f), is classified to section 1801 of Title 50. For complete classification of this Act to the Code, see Short Title note set out under section 1801 of Title 50 and Tables. Sections 633, 705, and 706 of the Communications Act of 1934, referred to in par. (2)(e), (f), (g)(iii), are classified to sections 553, 605, and 606 of Title 47, Telegraphs, Telephones, and Radiotelegraphs, respectively. -MISC2- AMENDMENTS 1986 - Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline. Par. (1). Pub. L. 99-508, Sec. 101(c)(1)(A), (d)(1), (f)((1)), substituted 'intentionally' for 'willfully' in subpars. (a) to (d) and 'wire, oral, or electronic' for 'wire or oral' wherever appearing in subpars. (a), (c), and (d), and in concluding provisions substituted 'shall be punished as provided in subsection (4) or shall be subject to suit as provided in subsection (5)' for 'shall be fined not more than $10,000 or imprisoned not more than five years, or both'. Par. (2)(a)(i). Pub. L. 99-508, Sec. 101(c)(5), substituted 'a provider of wire or electronic communication service' for 'any communication common carrier' and 'of the provider of that service, except that a provider of wire communication service to the public' for 'of the carrier of such communication: Provided, That said communication common carriers'. Par. (2)(a)(ii). Pub. L. 99-508, Sec. 101(b)(1), (c)(1)(A), (6), substituted 'providers of wire or electronic communication service' for 'communication common carriers', 'wire, oral, or electronic' for 'wire or oral', 'if such provider' for 'if the common carrier', 'provider of wire or electronic communication service' for 'communication common carrier' wherever appearing, 'such disclosure' for 'violation of this subparagraph by a communication common carrier or an officer, employee, or agent thereof', 'render such person liable' for 'render the carrier liable', and 'a court order or certification under this chapter' for 'an order or certification under this subparagraph' in two places. Par. (2)(b). Pub. L. 99-508, Sec. 101(c)(1)(B), inserted 'or electronic' after 'wire'. Par. (2)(c). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral'. Par. (2)(d). Pub. L. 99-508, Sec. 101(b)(2), (c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' and struck out 'or for the purpose of committing any other injurious act' after 'of any State'. Par. (2)(f). Pub. L. 99-508, Sec. 101(b)(3), inserted 'or chapter 121' in two places and substituted 'foreign communications, or foreign intelligence activities conducted in accordance with otherwise applicable Federal law involving a foreign electronic communications system, utilizing a means' for 'foreign communications by a means'. Par. (2)(g), (h). Pub. L. 99-508, Sec. 101(b)(4), added subpars. (g) and (h). Par. (3). Pub. L. 99-508, Sec. 102, added par. (3). Pars. (4), (5). Pub. L. 99-508, Sec. 101(d)(2), added pars. (4) and (5). 1984 - Par. (2)(e). Pub. L. 98-549, Sec. 6(b)(2)(A), substituted 'section 705 or 706' for 'section 605 or 606'. Par. (2)(f). Pub. L. 98-549, Sec. 6(b)(2)(B), substituted 'section 705' for 'section 605'. 1978 - Par. (2)(a)(ii). Pub. L. 95-511, Sec. 201(a), substituted provisions authorizing communication common carriers etc., to provide information to designated persons, prohibiting disclosure of intercepted information, and rendering violators civilly liable for provision exempting communication common carriers from criminality for giving information to designated officers. Par. (2)(e), (f). Pub. L. 95-511, Sec. 201(b), added par. (2)(e) and (f). Par. (3). Pub. L. 95-511, Sec. 201(c), struck out par. (3) which provided that nothing in this chapter or section 605 of title 47 limited the President's constitutional power to gather necessary intelligence to protect the national security and stated the conditions necessary for the reception into evidence and disclosure of communications intercepted by the President. 1970 - Par. (2)(a). Pub. L. 91-358 designated existing provisions as cl. (i) and added cl. (ii). EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-549 effective 60 days after Oct. 30, 1984, see section 9(a) of Pub. L. 98-549, set out as an Effective Date note under section 521 of Title 47, Telegraphs, Telephones, and Radiotelegraphs. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-511 effective Oct. 25, 1978, except as specifically provided, see section 301 of Pub. L. 95-511, set out as an Effective Date note under section 1801 of Title 50, War and National Defense. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-358 effective on first day of seventh calendar month which begins after July 29, 1970, see section 901(a) of Pub. L. 91-358. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2513, 2516, 2520, 2702, 2707 of this title. ------DocID 24580 Document 822 of 1438------ -CITE- 18 USC Sec. 2512 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2512. Manufacture, distribution, possession, and advertising of wire, oral, or electronic communication intercepting devices prohibited -STATUTE- (1) Except as otherwise specifically provided in this chapter, any person who intentionally - (a) sends through the mail, or sends or carries in interstate or foreign commerce, any electronic, mechanical, or other device, knowing or having reason to know that the design of such device renders it primarily useful for the purpose of the surreptitious interception of wire, oral, or electronic communications; (b) manufactures, assembles, possesses, or sells any electronic, mechanical, or other device, knowing or having reason to know that the design of such device renders it primarily useful for the purpose of the surreptitious interception of wire, oral, or electronic communications, and that such device or any component thereof has been or will be sent through the mail or transported in interstate or foreign commerce; or (c) places in any newspaper, magazine, handbill, or other publication any advertisement of - (i) any electronic, mechanical, or other device knowing or having reason to know that the design of such device renders it primarily useful for the purpose of the surreptitious interception of wire, oral, or electronic communications; or (ii) any other electronic, mechanical, or other device, where such advertisement promotes the use of such device for the purpose of the surreptitious interception of wire, oral, or electronic communications, knowing or having reason to know that such advertisement will be sent through the mail or transported in interstate or foreign commerce, shall be fined not more than $10,000 or imprisoned not more than five years, or both. (2) It shall not be unlawful under this section for - (a) a provider of wire or electronic communication service or an officer, agent, or employee of, or a person under contract with, such a provider, in the normal course of the business of providing that wire or electronic communication service, or (b) an officer, agent, or employee of, or a person under contract with, the United States, a State, or a political subdivision thereof, in the normal course of the activities of the United States, a State, or a political subdivision thereof, to send through the mail, send or carry in interstate or foreign commerce, or manufacture, assemble, possess, or sell any electronic, mechanical, or other device knowing or having reason to know that the design of such device renders it primarily useful for the purpose of the surreptitious interception of wire, oral, or electronic communications. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 214, and amended Pub. L. 99-508, title I, Sec. 101(c)(1)(A), (7), (f)(2), Oct. 21, 1986, 100 Stat. 1851, 1853.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline. Par. (1). Pub. L. 99-508, Sec. 101(c)(1)(A), (f)(2), substituted 'intentionally' for 'willfully' in introductory provision and 'wire, oral, or electronic' for 'wire or oral' in subpars. (a), (b), and (c)(i), (ii). Par. (2)(a). Pub. L. 99-508, Sec. 101(c)(7), substituted 'a provider of wire or electronic communication service or' for 'a communications common carrier or', 'such a provider, in' for 'a communications common carrier, in', and 'business of providing that wire or electronic communication service' for 'communications common carrier's business'. Par. (2)(b). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2513, 2516 of this title. ------DocID 24581 Document 823 of 1438------ -CITE- 18 USC Sec. 2513 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2513. Confiscation of wire, oral, or electronic communication intercepting devices -STATUTE- Any electronic, mechanical, or other device used, sent, carried, manufactured, assembled, possessed, sold, or advertised in violation of section 2511 or section 2512 of this chapter may be seized and forfeited to the United States. All provisions of law relating to (1) the seizure, summary and judicial forfeiture, and condemnation of vessels, vehicles, merchandise, and baggage for violations of the customs laws contained in title 19 of the United States Code, (2) the disposition of such vessels, vehicles, merchandise, and baggage or the proceeds from the sale thereof, (3) the remission or mitigation of such forfeiture, (4) the compromise of claims, and (5) the award of compensation to informers in respect of such forfeitures, shall apply to seizures and forfeitures incurred, or alleged to have been incurred, under the provisions of this section, insofar as applicable and not inconsistent with the provisions of this section; except that such duties as are imposed upon the collector of customs or any other person with respect to the seizure and forfeiture of vessels, vehicles, merchandise, and baggage under the provisions of the customs laws contained in title 19 of the United States Code shall be performed with respect to seizure and forfeiture of electronic, mechanical, or other intercepting devices under this section by such officers, agents, or other persons as may be authorized or designated for that purpose by the Attorney General. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 215, and amended Pub. L. 99-508, title I, Sec. 101(c)(1)(A), Oct. 21, 1986, 100 Stat. 1851.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-508 substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. ------DocID 24582 Document 824 of 1438------ -CITE- 18 USC Sec. 2514 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- (Sec. 2514. Repealed. Pub. L. 91-452, title II, Sec. 227(a), Oct. 15, 1970, 84 Stat. 930) -MISC1- Section, Pub. L. 90-351, title II, Sec. 802, June 19, 1968, 82 Stat. 216, provided for immunity of witnesses giving testimony or producing evidence under compulsion in Federal grand jury or court proceedings. Subject matter is covered in sections 6002 and 6003 of this title. EFFECTIVE DATE OF REPEAL Sections 227(a) and 260 of Pub. L. 91-452 provided for repeal of this section effective four years following sixtieth day after date of enactment of Pub. L. 91-452, which was approved Oct. 15, 1970, such repeal not affecting any immunity to which any individual was entitled under this section by reason of any testimony or other information given before such date. See section 260 of Pub. L. 91-452, set out as an Effective Date; Savings Provision note under section 6001 of this title. ------DocID 24583 Document 825 of 1438------ -CITE- 18 USC Sec. 2515 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2515. Prohibition of use as evidence of intercepted wire or oral communications -STATUTE- Whenever any wire or oral communication has been intercepted, no part of the contents of such communication and no evidence derived therefrom may be received in evidence in any trial, hearing, or other proceeding in or before any court, grand jury, department, officer, agency, regulatory body, legislative committee, or other authority of the United States, a State, or a political subdivision thereof if the disclosure of that information would be in violation of this chapter. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 216.) ------DocID 24584 Document 826 of 1438------ -CITE- 18 USC Sec. 2516 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2516. Authorization for interception of wire, oral, or electronic communications -STATUTE- (1) The Attorney General, Deputy Attorney General, Associate Attorney General, (FOOTNOTE 1) or any Assistant Attorney General, any acting Assistant Attorney General, or any Deputy Assistant Attorney General in the Criminal Division specially designated by the Attorney General, may authorize an application to a Federal judge of competent jurisdiction for, and such judge may grant in conformity with section 2518 of this chapter an order authorizing or approving the interception of wire or oral communications by the Federal Bureau of Investigation, or a Federal agency having responsibility for the investigation of the offense as to which the application is made, when such interception may provide or has provided evidence of - (FOOTNOTE 1) See 1984 Amendment note below. (a) any offense punishable by death or by imprisonment for more than one year under sections 2274 through 2277 of title 42 of the United States Code (relating to the enforcement of the Atomic Energy Act of 1954), section 2284 of title 42 of the United States Code (relating to sabotage of nuclear facilities or fuel), or under the following chapters of this title: chapter 37 (relating to espionage), chapter 105 (relating to sabotage), chapter 115 (relating to treason), chapter 102 (relating to riots), chapter 65 (relating to malicious mischief), chapter 111 (relating to destruction of vessels), or chapter 81 (relating to piracy); (b) a violation of section 186 or section 501(c) of title 29, United States Code (dealing with restrictions on payments and loans to labor organizations), or any offense which involves murder, kidnapping, robbery, or extortion, and which is punishable under this title; (c) any offense which is punishable under the following sections of this title: section 201 (bribery of public officials and witnesses), section 215 (relating to bribery of bank officials), section 224 (bribery in sporting contests), subsection (d), (e), (f), (g), (h), or (i) of section 844 (unlawful use of explosives), section 1032 (relating to concealment of assets), section 1084 (transmission of wagering information), section 751 (relating to escape), section 1014 (relating to loans and credit applications generally; renewals and discounts), sections 1503, 1512, and 1513 (influencing or injuring an officer, juror, or witness generally), section 1510 (obstruction of criminal investigations), section 1511 (obstruction of State or local law enforcement), section 1751 (Presidential and Presidential staff assassination, kidnaping, and assault), section 1951 (interference with commerce by threats or violence), section 1952 (interstate and foreign travel or transportation in aid of racketeering enterprises), section 1958 (relating to use of interstate commerce facilities in the commission of murder for hire), section 1959 (relating to violent crimes in aid of racketeering activity), section 1954 (offer, acceptance, or solicitation to influence operations of employee benefit plan), section 1955 (prohibition of business enterprises of gambling), section 1956 (laundering of monetary instruments), section 1957 (relating to engaging in monetary transactions in property derived from specified unlawful activity), section 659 (theft from interstate shipment), section 664 (embezzlement from pension and welfare funds), section 1343 (fraud by wire, radio, or television), section 1344 (relating to bank fraud), sections 2251 and 2252 (sexual exploitation of children), sections 2312, 2313, 2314, and 2315 (interstate transportation of stolen property), section 2321 (relating to trafficking in certain motor vehicles or motor vehicle parts), section 1203 (relating to hostage taking), section 1029 (relating to fraud and related activity in connection with access devices), section 3146 (relating to penalty for failure to appear), section 3521(b)(3) (relating to witness relocation and assistance), section 32 (relating to destruction of aircraft or aircraft facilities), section 1963 (violations with respect to racketeer influenced and corrupt organizations), section 115 (relating to threatening or retaliating against a Federal official), and section 1341 (relating to mail fraud), section 351 (violations with respect to congressional, Cabinet, or Supreme Court assassinations, kidnaping, and assault), section 831 (relating to prohibited transactions involving nuclear materials), section 33 (relating to destruction of motor vehicles or motor vehicle facilities), section 175 (relating to biological weapons), or section 1992 (relating to wrecking trains); (d) any offense involving counterfeiting punishable under section 471, 472, or 473 of this title; (e) any offense involving fraud connected with a case under title 11 or the manufacture, importation, receiving, concealment, buying, selling, or otherwise dealing in narcotic drugs, marihuana, or other dangerous drugs, punishable under any law of the United States; (f) any offense including extortionate credit transactions under sections 892, 893, or 894 of this title; (g) a violation of section 5322 of title 31, United States Code (dealing with the reporting of currency transactions); (h) any felony violation of sections 2511 and 2512 (relating to interception and disclosure of certain communications and to certain intercepting devices) of this title; (i) any felony violation of chapter 71 (relating to obscenity) of this title; (j) any violation of section 11(c)(2) of the Natural Gas Pipeline Safety Act of 1968 (relating to destruction of a natural gas pipeline) or subsection (i) or (n) of section 902 of the Federal Aviation Act of 1958 (relating to aircraft piracy); (k) any criminal violation of section 2778 of title 22 (relating to the Arms Export Control Act); (l) the location of any fugitive from justice from an offense described in this section; or (FOOTNOTE 2) (FOOTNOTE 2) So in original. The word 'or' probably should not appear. (m) any felony violation of sections 922 and 924 of title 18, United States Code (relating to firearms); (n) any violation of section 5861 of the Internal Revenue Code of 1986 (relating to firearms); and (FOOTNOTE 3) (FOOTNOTE 3) So in original. Probably should be 'or'. (o) any conspiracy to commit any offense described in any subparagraph of this paragraph. (2) The principal prosecuting attorney of any State, or the principal prosecuting attorney of any political subdivision thereof, if such attorney is authorized by a statute of that State to make application to a State court judge of competent jurisdiction for an order authorizing or approving the interception of wire, oral, or electronic communications, may apply to such judge for, and such judge may grant in conformity with section 2518 of this chapter and with the applicable State statute an order authorizing, or approving the interception of wire, oral, or electronic communications by investigative or law enforcement officers having responsibility for the investigation of the offense as to which the application is made, when such interception may provide or has provided evidence of the commission of the offense of murder, kidnapping, gambling, robbery, bribery, extortion, or dealing in narcotic drugs, marihuana or other dangerous drugs, or other crime dangerous to life, limb, or property, and punishable by imprisonment for more than one year, designated in any applicable State statute authorizing such interception, or any conspiracy to commit any of the foregoing offenses. (3) Any attorney for the Government (as such term is defined for the purposes of the Federal Rules of Criminal Procedure) may authorize an application to a Federal judge of competent jurisdiction for, and such judge may grant, in conformity with section 2518 of this title, an order authorizing or approving the interception of electronic communications by an investigative or law enforcement officer having responsibility for the investigation of the offense as to which the application is made, when such interception may provide or has provided evidence of any Federal felony. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 216, and amended Pub. L. 91-452, title VIII, Sec. 810, title IX, Sec. 902(a), title XI, Sec. 1103, Oct. 15, 1970, 84 Stat. 940, 947, 959; Pub. L. 91-644, title IV, Sec. 16, Jan. 2, 1971, 84 Stat. 1891; Pub. L. 95-598, title III, Sec. 314(h), Nov. 6, 1978, 92 Stat. 2677; Pub. L. 97-285, Sec. 2(e), 4(e), Oct. 6, 1982, 96 Stat. 1220, 1221; Pub. L. 98-292, Sec. 8, May 21, 1984, 98 Stat. 206; Pub. L. 98-473, title II, Sec. 1203(c), Oct. 12, 1984, 98 Stat. 2152; Pub. L. 99-508, title I, Sec. 101(c)(1)(A), 104, 105, Oct. 21, 1986, 100 Stat. 1851, 1855; Pub. L. 99-570, title I, Sec. 1365(c), Oct. 27, 1986, 100 Stat. 3207-35; Pub. L. 100-690, title VI, Sec. 6461, title VII, Sec. 7036, 7053(d), 7525, Nov. 18, 1988, 102 Stat. 4374, 4399, 4402, 4502; Pub. L. 101-298, Sec. 3(b), May 22, 1990, 104 Stat. 203; Pub. L. 101-647, title XXV, Sec. 2531, title XXXV, Sec. 3568, Nov. 29, 1990, 104 Stat. 4879, 4928.) -REFTEXT- REFERENCES IN TEXT The Atomic Energy Act of 1954, referred to in par. (1)(a), is act Aug. 30, 1954, ch. 1073, 68 Stat. 921, as amended, which is classified generally to chapter 23 (Sec. 2011 et seq.) of Title 42, The Public Health and Welfare. For complete classification of this Act to the Code, see Short Title note set out under section 2011 of Title 42 and Tables. Section 11(c)(2) of the Natural Gas Pipeline Safety Act of 1968, referred to in par. (1)(j), is classified to section 1679a(c)(2) of Title 49, Appendix, Transportation. Section 902 of the Federal Aviation Act of 1958, referred to in par. (1)(j), is classified to section 1472 of Title 49, Appendix. The Arms Export Control Act, referred to in par. (1)(k), is Pub. L. 90-269, Oct. 22, 1968, 82 Stat. 1320, as amended, which is classified principally to chapter 39 (Sec. 2751 et seq.) of Title 22, Foreign Relations and Intercourse. For complete classification of this Act to the Code, see Short Title note set out under section 2751 of Title 22 and Tables. Section 5861 of the Internal Revenue Code of 1986, referred to in par. (1)(n), is classified to section 5861 of Title 26, Internal Revenue Code. The Federal Rules of Criminal Procedure, referred to in par. (3), are set out in the Appendix to this title. -MISC2- AMENDMENTS 1990 - Par. (1)(c). Pub. L. 101-647, Sec. 2531(1), inserted 'section 215 (relating to bribery of bank officials),' before 'section 224', 'section 1032 (relating to concealment of assets),' before section 1084, 'section 1014 (relating to loans and credit applications generally; renewals and discounts),' before 'sections 1503,' and 'section 1344 (relating to bank fraud),' before 'sections 2251 and 2252' and struck out 'the section in chapter 65 relating to destruction of an energy facility,' after 'retaliating against a Federal official),'. Pub. L. 101-298, which directed the insertion of 'section 175 (relating to biological weapons),' after 'section 33 (relating to destruction of motor vehicles or motor vehicle facilities),' in subsec. (c), was executed by making the insertion in par. (1)(c) as the probable intent of Congress. Par. (1)(j). Pub. L. 101-647, Sec. 3568, which directed amendment of subsec. (j) by substituting 'any violation of section 11(c)(2) of the Natural Gas Pipeline Safety Act of 1968 (relating to destruction of a natural gas pipeline) or section 902(i) or (n) of the Federal Aviation Act of 1958 (relating to aircraft piracy)' for 'any violation of section 1679a(c)(2) (relating to destruction of a natural gas pipeline) or subsection (i) or (n) of section 1472 (relating to aircraft piracy) of title 49, of the United States Code', was probably intended as an amendment to par. (1)(j), but could not be executed because the language to be struck out did not appear following execution of amendment by Pub. L. 101-647, Sec. 2531(3). See below. Pub. L. 101-647, Sec. 2531(3), which directed substitution of 'any violation of section 11(c)(2) of the Natural Gas Pipeline Safety Act of 1968 (relating to destruction of a natural gas pipeline) or subsection (i) or (n) of section 902 of the Federal Aviation Act of 1958 (relating to aircraft piracy)' for 'any violation of section 1679a(c)(2) (relating to destruction of a natural gas pipeline) or subsection (i) or (n) of section 1472 (relating to aircraft piracy) of title 49, of the United States Code', was executed by making the substitution for 'any violation of section 1679a(c)(2) (relating to destruction of a natural gas pipeline) or subsection (i) or (n) of section 1472 (relating to aircraft piracy) of title 49, of the United States Code' to reflect the probable intent of Congress. Par. (1)(m). Pub. L. 101-647, Sec. 2531(2)(A), struck out subpar. (m) relating to conspiracy which read as follows: 'any conspiracy to commit any of the foregoing offenses.' Par. (1)(o). Pub. L. 101-647, Sec. 2531(2)(B)-(D), added subpar. (o). 1988 - Par. (1). Pub. L. 100-690, Sec. 7036(a)(1), inserted 'or' after 'Associate Attorney General,' in introductory provisions. Par. (1)(a). Pub. L. 100-690, Sec. 7036(c)(1), which directed the amendment of subpar. (a) by substituting '(relating to riots),' for '(relating to riots);' was executed by substituting '(relating to riots),' for '(relating to riots)' as the probable intent of Congress. Par. (1)(c). Pub. L. 100-690, Sec. 7053(d), which directed the amendment of section 2516(c) by substituting '1958' for '1952A' and '1959' for '1952B' was executed by making the substitutions in par. (1)(c) as the probable intent of Congress. Pub. L. 100-690, Sec. 7036(b), struck out 'section 2252 or 2253 (sexual exploitation of children),' after 'wire, radio, or television),' and substituted 'section 2321' for 'the second section 2320'. Pub. L. 100-690, Sec. 7036(a)(2), which directed the amendment of par. (1) by striking the comma that follows a comma was executed to subpar. (c) by striking out the second comma after 'to mail fraud)'. Par. (1)(i). Pub. L. 100-690, Sec. 7525, added subpar. (i) and redesignated former subpar. (i) as (j). Par. (1)(j). Pub. L. 100-690, Sec. 7525, redesignated former subpar. (i) as (j). Former subpar. (j) redesignated (k). Pub. L. 100-690, Sec. 7036(c)(2), which directed amendment of subpar. (j) by striking 'or;' was executed by striking 'or' after 'Export Control Act);' to reflect the probable intent of Congress. Par. (1)(k). Pub. L. 100-690, Sec. 7525, redesignated former subpar. (j) as (k). Former subpar. (k) redesignated (l). Pub. L. 100-690, Sec. 7036(c)(3), struck out 'or' at end. Par. (1)(l). Pub. L. 100-690, Sec. 7525, redesignated former subpar. (k) as (l). Former subpar. (l) redesignated (m). Par. (1)(m). Pub. L. 100-690, Sec. 7525, redesignated former subpar. (l) relating to conspiracy as (m). Pub. L. 100-690, Sec. 6461, added subpar. (m) relating to sections 922 and 924. Par. (1)(n). Pub. L. 100-690, Sec. 6461, added subpar. (n). 1986 - Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline. Par. (1). Pub. L. 99-508, Sec. 104, substituted 'any Assistant Attorney General, any acting Assistant Attorney General, or any Deputy Assistant Attorney General in the Criminal Division' for 'or any Assistant Attorney General' in introductory provisions. Par. (1)(a). Pub. L. 99-508, Sec. 105(a)(5), inserted 'section 2284 of title 42 of the United States Code (relating to sabotage of nuclear facilities or fuel),' struck out 'or' after '(relating to treason),' and inserted 'chapter 65 (relating to malicious mischief), chapter 111 (relating to destruction of vessels), or chapter 81 (relating to piracy)'. Par. (1)(c). Pub. L. 99-570, which directed the amendment of subpar. (c) by inserting 'section 1956 (laundering of monetary instruments), section 1957 (relating to engaging in monetary transactions in property derived from specified unlawful activity),' after 'section 1955 (prohibition of relating to business enterprises of gambling),' was executed by inserting this phrase after 'section 1955 (prohibition of business enterprises of gambling),' as the probable intent of Congress. Pub. L. 99-508, Sec. 105(a)(1), inserted 'section 751 (relating to escape),' 'the second section 2320 (relating to trafficking in certain motor vehicles or motor vehicle parts), section 1203 (relating to hostage taking), section 1029 (relating to fraud and related activity in connection with access devices), section 3146 (relating to penalty for failure to appear), section 3521(b)(3) (relating to witness relocation and assistance), section 32 (relating to destruction of aircraft or aircraft facilities),' and 'section 1952A (relating to use of interstate commerce facilities in the commission of murder for hire), section 1952B (relating to violent crimes in aid of racketeering activity),' substituted '2312, 2313, 2314,' for '2314', inserted ', section 115 (relating to threatening or retaliating against a Federal official), the section in chapter 65 relating to destruction of an energy facility, and section 1341 (relating to mail fraud),' substituted ', section 351' for 'or section 351', and inserted ', section 831 (relating to prohibited transactions involving nuclear materials), section 33 (relating to destruction of motor vehicles or motor vehicle facilities), or section 1992 (relating to wrecking trains)'. Par. (1)(h) to (l). Pub. L. 99-508, Sec. 105(a)(2)-(4), added subpars. (h) to (k) and redesignated former subpar. (h) as (l). Par. (2). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in two places. Par. (3). Pub. L. 99-508, Sec. 105(b), added par. (3). 1984 - Par. (1). Pub. L. 98-473, Sec. 1203(c)(4), which directed the amendment of the first par. of par. (1) by inserting 'Deputy Attorney General, Associate Attorney General,' after 'Attorney General.' was executed by making the insertion after the first reference to 'Attorney General,' to reflect the probable intent of Congress. Par. (1)(c). Pub. L. 98-473, Sec. 1203(c)(2), inserted references to sections 1512 and 1513 after '1503'. Pub. L. 98-473, Sec. 1203(c)(1), inserted 'section 1343 (fraud by wire, radio, or television), section 2252 or 2253 (sexual exploitation of children),' after 'section 664 (embezzlement from pension and welfare funds),'. Pub. L. 98-292 inserted 'sections 2251 and 2252 (sexual exploitation of children),' after 'section 664 (embezzlement from pension and welfare funds),'. Par. (1)(g), (h). Pub. L. 98-473, Sec. 1203(c)(3), added par. (g) and redesignated former par. (g) as (h). 1982 - Par. (1)(c). Pub. L. 97-285 substituted '(Presidential and Presidential staff assassination, kidnaping, and assault)' for '(Presidential assassinations, kidnapping, and assault)' after 'section 1751' and substituted '(violations with respect to congressional, Cabinet, or Supreme Court assassinations, kidnaping, and assault)' for '(violations with respect to congressional assassination, kidnapping, and assault)' after 'section 351'. 1978 - Par. (1)(e). Pub. L. 95-598 substituted 'fraud connected with a case under title 11' for 'bankruptcy fraud'. 1971 - Par. (1)(c). Pub. L. 91-644 inserted reference to section 351 offense (violations with respect to congressional assassination, kidnaping, and assault). 1970 - Par. (1)(c). Pub. L. 91-452 inserted reference to sections 844(d), (e), (f), (g), (h), or (i), 1511, 1955, and 1963 of this title. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by sections 101(c)(1)(A) and 105 of Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions pursuant to section 2516(2) of this title, and amendment by section 104 of Pub. L. 99-508 effective Oct. 21, 1986, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2518 of this title; title 28 section 594. ------DocID 24585 Document 827 of 1438------ -CITE- 18 USC Sec. 2517 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2517. Authorization for disclosure and use of intercepted wire, oral, or electronic communications -STATUTE- (1) Any investigative or law enforcement officer who, by any means authorized by this chapter, has obtained knowledge of the contents of any wire, oral, or electronic communication, or evidence derived therefrom, may disclose such contents to another investigative or law enforcement officer to the extent that such disclosure is appropriate to the proper performance of the official duties of the officer making or receiving the disclosure. (2) Any investigative or law enforcement officer who, by any means authorized by this chapter, has obtained knowledge of the contents of any wire, oral, or electronic communication or evidence derived therefrom may use such contents to the extent such use is appropriate to the proper performance of his official duties. (3) Any person who has received, by any means authorized by this chapter, any information concerning a wire, oral, or electronic communication, or evidence derived therefrom intercepted in accordance with the provisions of this chapter may disclose the contents of that communication or such derivative evidence while giving testimony under oath or affirmation in any proceeding held under the authority of the United States or of any State or political subdivision thereof. (4) No otherwise privileged wire, oral, or electronic communication intercepted in accordance with, or in violation of, the provisions of this chapter shall lose its privileged character. (5) When an investigative or law enforcement officer, while engaged in intercepting wire, oral, or electronic communications in the manner authorized herein, intercepts wire, oral, or electronic communications relating to offenses other than those specified in the order of authorization or approval, the contents thereof, and evidence derived therefrom, may be disclosed or used as provided in subsections (1) and (2) of this section. Such contents and any evidence derived therefrom may be used under subsection (3) of this section when authorized or approved by a judge of competent jurisdiction where such judge finds on subsequent application that the contents were otherwise intercepted in accordance with the provisions of this chapter. Such application shall be made as soon as practicable. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 217, and amended Pub. L. 91-452, title IX, Sec. 902(b), Oct. 15, 1970, 84 Stat. 947; Pub. L. 99-508, title I, Sec. 101(c)(1)(A), Oct. 21, 1986, 100 Stat. 1851.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-508 substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline and wherever appearing in text. 1970 - Par. (3). Pub. L. 91-452 substituted 'proceeding held under the authority of the United States or of any State or political subdivision thereof' for 'criminal proceeding in any court of the United States or of any State or in any Federal or State grand jury proceeding'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2511, 2518, 2702 of this title. ------DocID 24586 Document 828 of 1438------ -CITE- 18 USC Sec. 2518 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2518. Procedure for interception of wire, oral, or electronic communications -STATUTE- (1) Each application for an order authorizing or approving the interception of a wire, oral, or electronic communication under this chapter shall be made in writing upon oath or affirmation to a judge of competent jurisdiction and shall state the applicant's authority to make such application. Each application shall include the following information: (a) the identity of the investigative or law enforcement officer making the application, and the officer authorizing the application; (b) a full and complete statement of the facts and circumstances relied upon by the applicant, to justify his belief that an order should be issued, including (i) details as to the particular offense that has been, is being, or is about to be committed, (ii) except as provided in subsection (11), a particular description of the nature and location of the facilities from which or the place where the communication is to be intercepted, (iii) a particular description of the type of communications sought to be intercepted, (iv) the identity of the person, if known, committing the offense and whose communications are to be intercepted; (c) a full and complete statement as to whether or not other investigative procedures have been tried and failed or why they reasonably appear to be unlikely to succeed if tried or to be too dangerous; (d) a statement of the period of time for which the interception is required to be maintained. If the nature of the investigation is such that the authorization for interception should not automatically terminate when the described type of communication has been first obtained, a particular description of facts establishing probable cause to believe that additional communications of the same type will occur thereafter; (e) a full and complete statement of the facts concerning all previous applications known to the individual authorizing and making the application, made to any judge for authorization to intercept, or for approval of interceptions of, wire, oral, or electronic communications involving any of the same persons, facilities or places specified in the application, and the action taken by the judge on each such application; and (f) where the application is for the extension of an order, a statement setting forth the results thus far obtained from the interception, or a reasonable explanation of the failure to obtain such results. (2) The judge may require the applicant to furnish additional testimony or documentary evidence in support of the application. (3) Upon such application the judge may enter an ex parte order, as requested or as modified, authorizing or approving interception of wire, oral, or electronic communications within the territorial jurisdiction of the court in which the judge is sitting (and outside that jurisdiction but within the United States in the case of a mobile interception device authorized by a Federal court within such jurisdiction), if the judge determines on the basis of the facts submitted by the applicant that - (a) there is probable cause for belief that an individual is committing, has committed, or is about to commit a particular offense enumerated in section 2516 of this chapter; (b) there is probable cause for belief that particular communications concerning that offense will be obtained through such interception; (c) normal investigative procedures have been tried and have failed or reasonably appear to be unlikely to succeed if tried or to be too dangerous; (d) except as provided in subsection (11), there is probable cause for belief that the facilities from which, or the place where, the wire, oral, or electronic communications are to be intercepted are being used, or are about to be used, in connection with the commission of such offense, or are leased to, listed in the name of, or commonly used by such person. (4) Each order authorizing or approving the interception of any wire, oral, or electronic communication under this chapter shall specify - (a) the identity of the person, if known, whose communications are to be intercepted; (b) the nature and location of the communications facilities as to which, or the place where, authority to intercept is granted; (c) a particular description of the type of communication sought to be intercepted, and a statement of the particular offense to which it relates; (d) the identity of the agency authorized to intercept the communications, and of the person authorizing the application; and (e) the period of time during which such interception is authorized, including a statement as to whether or not the interception shall automatically terminate when the described communication has been first obtained. An order authorizing the interception of a wire, oral, or electronic communication under this chapter shall, upon request of the applicant, direct that a provider of wire or electronic communication service, landlord, custodian or other person shall furnish the applicant forthwith all information, facilities, and technical assistance necessary to accomplish the interception unobtrusively and with a minimum of interference with the services that such service provider, landlord, custodian, or person is according the person whose communications are to be intercepted. Any provider of wire or electronic communication service, landlord, custodian or other person furnishing such facilities or technical assistance shall be compensated therefor by the applicant for reasonable expenses incurred in providing such facilities or assistance. (5) No order entered under this section may authorize or approve the interception of any wire, oral, or electronic communication for any period longer than is necessary to achieve the objective of the authorization, nor in any event longer than thirty days. Such thirty-day period begins on the earlier of the day on which the investigative or law enforcement officer first begins to conduct an interception under the order or ten days after the order is entered. Extensions of an order may be granted, but only upon application for an extension made in accordance with subsection (1) of this section and the court making the findings required by subsection (3) of this section. The period of extension shall be no longer than the authorizing judge deems necessary to achieve the purposes for which it was granted and in no event for longer than thirty days. Every order and extension thereof shall contain a provision that the authorization to intercept shall be executed as soon as practicable, shall be conducted in such a way as to minimize the interception of communications not otherwise subject to interception under this chapter, and must terminate upon attainment of the authorized objective, or in any event in thirty days. In the event the intercepted communication is in a code or foreign language, and an expert in that foreign language or code is not reasonably available during the interception period, minimization may be accomplished as soon as practicable after such interception. An interception under this chapter may be conducted in whole or in part by Government personnel, or by an individual operating under a contract with the Government, acting under the supervision of an investigative or law enforcement officer authorized to conduct the interception. (6) Whenever an order authorizing interception is entered pursuant to this chapter, the order may require reports to be made to the judge who issued the order showing what progress has been made toward achievement of the authorized objective and the need for continued interception. Such reports shall be made at such intervals as the judge may require. (7) Notwithstanding any other provision of this chapter, any investigative or law enforcement officer, specially designated by the Attorney General, the Deputy Attorney General, the Associate Attorney General, or by the principal prosecuting attorney of any State or subdivision thereof acting pursuant to a statute of that State, who reasonably determines that - (a) an emergency situation exists that involves - (i) immediate danger of death or serious physical injury to any person, (ii) conspiratorial activities threatening the national security interest, or (iii) conspiratorial activities characteristic of organized crime, that requires a wire, oral, or electronic communication to be intercepted before an order authorizing such interception can, with due diligence, be obtained, and (b) there are grounds upon which an order could be entered under this chapter to authorize such interception, may intercept such wire, oral, or electronic communication if an application for an order approving the interception is made in accordance with this section within forty-eight hours after the interception has occurred, or begins to occur. In the absence of an order, such interception shall immediately terminate when the communication sought is obtained or when the application for the order is denied, whichever is earlier. In the event such application for approval is denied, or in any other case where the interception is terminated without an order having been issued, the contents of any wire, oral, or electronic communication intercepted shall be treated as having been obtained in violation of this chapter, and an inventory shall be served as provided for in subsection (d) of this section on the person named in the application. (8)(a) The contents of any wire, oral, or electronic communication intercepted by any means authorized by this chapter shall, if possible, be recorded on tape or wire or other comparable device. The recording of the contents of any wire, oral, or electronic communication under this subsection shall be done in such a way as will protect the recording from editing or other alterations. Immediately upon the expiration of the period of the order, or extensions thereof, such recordings shall be made available to the judge issuing such order and sealed under his directions. Custody of the recordings shall be wherever the judge orders. They shall not be destroyed except upon an order of the issuing or denying judge and in any event shall be kept for ten years. Duplicate recordings may be made for use or disclosure pursuant to the provisions of subsections (1) and (2) of section 2517 of this chapter for investigations. The presence of the seal provided for by this subsection, or a satisfactory explanation for the absence thereof, shall be a prerequisite for the use or disclosure of the contents of any wire, oral, or electronic communication or evidence derived therefrom under subsection (3) of section 2517. (b) Applications made and orders granted under this chapter shall be sealed by the judge. Custody of the applications and orders shall be wherever the judge directs. Such applications and orders shall be disclosed only upon a showing of good cause before a judge of competent jurisdiction and shall not be destroyed except on order of the issuing or denying judge, and in any event shall be kept for ten years. (c) Any violation of the provisions of this subsection may be punished as contempt of the issuing or denying judge. (d) Within a reasonable time but not later than ninety days after the filing of an application for an order of approval under section 2518(7)(b) which is denied or the termination of the period of an order or extensions thereof, the issuing or denying judge shall cause to be served, on the persons named in the order or the application, and such other parties to intercepted communications as the judge may determine in his discretion that is in the interest of justice, an inventory which shall include notice of - (1) the fact of the entry of the order or the application; (2) the date of the entry and the period of authorized, approved or disapproved interception, or the denial of the application; and (3) the fact that during the period wire, oral, or electronic communications were or were not intercepted. The judge, upon the filing of a motion, may in his discretion make available to such person or his counsel for inspection such portions of the intercepted communications, applications and orders as the judge determines to be in the interest of justice. On an ex parte showing of good cause to a judge of competent jurisdiction the serving of the inventory required by this subsection may be postponed. (9) The contents of any wire, oral, or electronic communication intercepted pursuant to this chapter or evidence derived therefrom shall not be received in evidence or otherwise disclosed in any trial, hearing, or other proceeding in a Federal or State court unless each party, not less than ten days before the trial, hearing, or proceeding, has been furnished with a copy of the court order, and accompanying application, under which the interception was authorized or approved. This ten-day period may be waived by the judge if he finds that it was not possible to furnish the party with the above information ten days before the trial, hearing, or proceeding and that the party will not be prejudiced by the delay in receiving such information. (10)(a) Any aggrieved person in any trial, hearing, or proceeding in or before any court, department, officer, agency, regulatory body, or other authority of the United States, a State, or a political subdivision thereof, may move to suppress the contents of any wire or oral communication intercepted pursuant to this chapter, or evidence derived therefrom, on the grounds that - (i) the communication was unlawfully intercepted; (ii) the order of authorization or approval under which it was intercepted is insufficient on its face; or (iii) the interception was not made in conformity with the order of authorization or approval. Such motion shall be made before the trial, hearing, or proceeding unless there was no opportunity to make such motion or the person was not aware of the grounds of the motion. If the motion is granted, the contents of the intercepted wire or oral communication, or evidence derived therefrom, shall be treated as having been obtained in violation of this chapter. The judge, upon the filing of such motion by the aggrieved person, may in his discretion make available to the aggrieved person or his counsel for inspection such portions of the intercepted communication or evidence derived therefrom as the judge determines to be in the interests of justice. (b) In addition to any other right to appeal, the United States shall have the right to appeal from an order granting a motion to suppress made under paragraph (a) of this subsection, or the denial of an application for an order of approval, if the United States attorney shall certify to the judge or other official granting such motion or denying such application that the appeal is not taken for purposes of delay. Such appeal shall be taken within thirty days after the date the order was entered and shall be diligently prosecuted. (c) The remedies and sanctions described in this chapter with respect to the interception of electronic communications are the only judicial remedies and sanctions for nonconstitutional violations of this chapter involving such communications. (11) The requirements of subsections (1)(b)(ii) and (3)(d) of this section relating to the specification of the facilities from which, or the place where, the communication is to be intercepted do not apply if - (a) in the case of an application with respect to the interception of an oral communication - (i) the application is by a Federal investigative or law enforcement officer and is approved by the Attorney General, the Deputy Attorney General, the Associate Attorney General, an Assistant Attorney General, or an acting Assistant Attorney General; (ii) the application contains a full and complete statement as to why such specification is not practical and identifies the person committing the offense and whose communications are to be intercepted; and (iii) the judge finds that such specification is not practical; and (b) in the case of an application with respect to a wire or electronic communication - (i) the application is by a Federal investigative or law enforcement officer and is approved by the Attorney General, the Deputy Attorney General, the Associate Attorney General, an Assistant Attorney General, or an acting Assistant Attorney General; (ii) the application identifies the person believed to be committing the offense and whose communications are to be intercepted and the applicant makes a showing of a purpose, on the part of that person, to thwart interception by changing facilities; and (iii) the judge finds that such purpose has been adequately shown. (12) An interception of a communication under an order with respect to which the requirements of subsections (1)(b)(ii) and (3)(d) of this section do not apply by reason of subsection (11) shall not begin until the facilities from which, or the place where, the communication is to be intercepted is ascertained by the person implementing the interception order. A provider of wire or electronic communications service that has received an order as provided for in subsection (11)(b) may move the court to modify or quash the order on the ground that its assistance with respect to the interception cannot be performed in a timely or reasonable fashion. The court, upon notice to the government, shall decide such a motion expeditiously. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 218, and amended Pub. L. 91-358, title II, Sec. 211(b), July 29, 1970, 84 Stat. 654; Pub. L. 95-511, title II, Sec. 201(d)-(g), Oct. 25, 1978, 92 Stat. 1797, 1798; Pub. L. 98-473, title II, Sec. 1203(a), (b), Oct. 12, 1984, 98 Stat. 2152; Pub. L. 99-508, title I, Sec. 101(c)(1)(A), (8), (e), 106(a)-(d)(3), Oct. 21, 1986, 100 Stat. 1851-1853, 1856, 1857.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline. Par. (1). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in introductory provisions. Par. (1)(b)(ii). Pub. L. 99-508, Sec. 106(d)(1), inserted 'except as provided in subsection (11),'. Par. (1)(e). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral'. Par. (3). Pub. L. 99-508, Sec. 101(c)(1)(A), 106(a), in introductory provisions, substituted 'wire, oral, or electronic' for 'wire or oral' and inserted '(and outside that jurisdiction but within the United States in the case of a mobile interception device authorized by a Federal court within such jurisdiction)'. Par. (3)(d). Pub. L. 99-508, Sec. 101(c)(1)(A), 106(d)(2), inserted 'except as provided in subsection (11),' and substituted 'wire, oral, or electronic' for 'wire or oral'. Par. (4). Pub. L. 99-508, Sec. 101(c)(1)(A), (8), 106(b), substituted 'wire, oral, or electronic' for 'wire or oral' wherever appearing and, in closing provisions, substituted 'provider of wire or electronic communication service' for 'communication common carrier' wherever appearing, 'such service provider' for 'such carrier', and 'for reasonable expenses incurred in providing such facilities or assistance' for 'at the prevailing rates'. Par. (5). Pub. L. 99-508, Sec. 101(c)(1)(A), 106(c), substituted 'wire, oral, or electronic' for 'wire or oral' and inserted provisions which related to beginning of thirty-day period, minimization where intercepted communication is in code or foreign language and expert in that code or foreign language is not immediately available, and conduct of interception by Government personnel or by individual operating under Government contract, acting under supervision of investigative or law enforcement officer authorized to conduct interception. Pars. (7), (8)(a), (d)(3), (9). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' wherever appearing. Par. (10)(c). Pub. L. 99-508, Sec. 101(e), added subpar. (c). Pars. (11), (12). Pub. L. 99-508, Sec. 106(d)(3), added pars. (11) and (12). 1984 - Par. (7). Pub. L. 98-473, Sec. 1203(a), inserted ', the Deputy Attorney General, the Associate Attorney General,' after 'Attorney General' in provisions preceding subpar. (a). Par. (7)(a). Pub. L. 98-473, Sec. 1203(b), amended subpar. (a) generally, adding cl. (i) and designated existing provisions as cls. (ii) and (iii). 1978 - Par. (1). Pub. L. 95-511, Sec. 201(d), inserted 'under this chapter' after 'communication'. Par. (4). Pub. L. 95-511, Sec. 201(e), inserted 'under this chapter' after 'wire or oral communication' wherever appearing. Par. (9). Pub. L. 95-511, Sec. 201(e), substituted 'any wire or oral communication intercepted pursuant to this chapter' for 'any intercepted wire or oral communication'. Par. (10). Pub. L. 95-511, Sec. 201(g), substituted 'any wire or oral communication intercepted pursuant to this chapter,' for 'any intercepted wire or oral communication,'. 1970 - Par. (4). Pub. L. 91-358 inserted the provision that, upon the request of the applicant, an order authorizing the interception of a wire or oral communication direct that a communication common carrier, landlord, custodian, or other person furnish the applicant with all information, facilities, and technical assistance necessary to accomplish the interception unobtrusively and with a minimum of interference with the services provided. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-511 effective Oct. 25, 1978, except as specifically provided, see section 301 of Pub. L. 95-511, set out as an Effective Date note under section 1801 of Title 50, War and National Defense. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-358 effective on first day of seventh calendar month which begins after July 29, 1970, see section 901(a) of Pub. L. 91-358. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2511, 2516, 2519, 2520, 2701, 2707 of this title. ------DocID 24587 Document 829 of 1438------ -CITE- 18 USC Sec. 2519 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2519. Reports concerning intercepted wire, oral, or electronic communications -STATUTE- (1) Within thirty days after the expiration of an order (or each extension thereof) entered under section 2518, or the denial of an order approving an interception, the issuing or denying judge shall report to the Administrative Office of the United States Courts - (a) the fact that an order or extension was applied for; (b) the kind of order or extension applied for (including whether or not the order was an order with respect to which the requirements of sections 2518(1)(b)(ii) and 2518(3)(d) of this title did not apply by reason of section 2518(11) of this title); (c) the fact that the order or extension was granted as applied for, was modified, or was denied; (d) the period of interceptions authorized by the order, and the number and duration of any extensions of the order; (e) the offense specified in the order or application, or extension of an order; (f) the identity of the applying investigative or law enforcement officer and agency making the application and the person authorizing the application; and (g) the nature of the facilities from which or the place where communications were to be intercepted. (2) In January of each year the Attorney General, an Assistant Attorney General specially designated by the Attorney General, or the principal prosecuting attorney of a State, or the principal prosecuting attorney for any political subdivision of a State, shall report to the Administrative Office of the United States Courts - (a) the information required by paragraphs (a) through (g) of subsection (1) of this section with respect to each application for an order or extension made during the preceding calendar year; (b) a general description of the interceptions made under such order or extension, including (i) the approximate nature and frequency of incriminating communications intercepted, (ii) the approximate nature and frequency of other communications intercepted, (iii) the approximate number of persons whose communications were intercepted, and (iv) the approximate nature, amount, and cost of the manpower and other resources used in the interceptions; (c) the number of arrests resulting from interceptions made under such order or extension, and the offenses for which arrests were made; (d) the number of trials resulting from such interceptions; (e) the number of motions to suppress made with respect to such interceptions, and the number granted or denied; (f) the number of convictions resulting from such interceptions and the offenses for which the convictions were obtained and a general assessment of the importance of the interceptions; and (g) the information required by paragraphs (b) through (f) of this subsection with respect to orders or extensions obtained in a preceding calendar year. (3) In April of each year the Director of the Administrative Office of the United States Courts shall transmit to the Congress a full and complete report concerning the number of applications for orders authorizing or approving the interception of wire, oral, or electronic communications pursuant to this chapter and the number of orders and extensions granted or denied pursuant to this chapter during the preceding calendar year. Such report shall include a summary and analysis of the data required to be filed with the Administrative Office by subsections (1) and (2) of this section. The Director of the Administrative Office of the United States Courts is authorized to issue binding regulations dealing with the content and form of the reports required to be filed by subsections (1) and (2) of this section. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 222, and amended Pub. L. 95-511, title II, Sec. 201(h), Oct. 25, 1978, 92 Stat. 1798; Pub. L. 99-508, title I, Sec. 101(c)(1)(A), 106(d)(4), Oct. 21, 1986, 100 Stat. 1851, 1857.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral' in section catchline. Par. (1)(b). Pub. L. 99-508, Sec. 106(d)(4), inserted '(including whether or not the order was an order with respect to which the requirements of sections 2518(1)(b)(ii) and 2518(3)(d) of this title did not apply by reason of section 2518(11) of this title)'. Par. (3). Pub. L. 99-508, Sec. 101(c)(1)(A), substituted 'wire, oral, or electronic' for 'wire or oral'. 1978 - Par. (3). Pub. L. 95-511 inserted 'pursuant to this chapter' after 'wire or oral communications' and 'granted or denied'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-511 effective Oct. 25, 1978, except as specifically provided, see section 301 of Pub. L. 95-511, set out as an Effective Date note under section 1801 of Title 50, War and National Defense. ------DocID 24588 Document 830 of 1438------ -CITE- 18 USC Sec. 2520 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2520. Recovery of civil damages authorized -STATUTE- (a) In General. - Except as provided in section 2511(2)(a)(ii), any person whose wire, oral, or electronic communication is intercepted, disclosed, or intentionally used in violation of this chapter may in a civil action recover from the person or entity which engaged in that violation such relief as may be appropriate. (b) Relief. - In an action under this section, appropriate relief includes - (1) such preliminary and other equitable or declaratory relief as may be appropriate; (2) damages under subsection (c) and punitive damages in appropriate cases; and (3) a reasonable attorney's fee and other litigation costs reasonably incurred. (c) Computation of Damages. - (1) In an action under this section, if the conduct in violation of this chapter is the private viewing of a private satellite video communication that is not scrambled or encrypted or if the communication is a radio communication that is transmitted on frequencies allocated under subpart D of part 74 of the rules of the Federal Communications Commission that is not scrambled or encrypted and the conduct is not for a tortious or illegal purpose or for purposes of direct or indirect commercial advantage or private commercial gain, then the court shall assess damages as follows: (A) If the person who engaged in that conduct has not previously been enjoined under section 2511(5) and has not been found liable in a prior civil action under this section, the court shall assess the greater of the sum of actual damages suffered by the plaintiff, or statutory damages of not less than $50 and not more than $500. (B) If, on one prior occasion, the person who engaged in that conduct has been enjoined under section 2511(5) or has been found liable in a civil action under this section, the court shall assess the greater of the sum of actual damages suffered by the plaintiff, or statutory damages of not less than $100 and not more than $1000. (2) In any other action under this section, the court may assess as damages whichever is the greater of - (A) the sum of the actual damages suffered by the plaintiff and any profits made by the violator as a result of the violation; or (B) statutory damages of whichever is the greater of $100 a day for each day of violation or $10,000. (d) Defense. - A good faith reliance on - (1) a court warrant or order, a grand jury subpoena, a legislative authorization, or a statutory authorization; (2) a request of an investigative or law enforcement officer under section 2518(7) of this title; or (3) a good faith determination that section 2511(3) of this title permitted the conduct complained of; is a complete defense against any civil or criminal action brought under this chapter or any other law. (e) Limitation. - A civil action under this section may not be commenced later than two years after the date upon which the claimant first has a reasonable opportunity to discover the violation. -SOURCE- (Added Pub. L. 90-351, title III, Sec. 802, June 19, 1968, 82 Stat. 223, and amended Pub. L. 91-358, title II, Sec. 211(c), July 29, 1970, 84 Stat. 654; Pub. L. 99-508, title I, Sec. 103, Oct. 21, 1986, 100 Stat. 1853.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-508 amended section generally. Prior to amendment, section read as follows: 'Any person whose wire or oral communication is intercepted, disclosed, or used in violation of this chapter shall (1) have a civil cause of action against any person who intercepts, discloses, or uses, or procures any other person to intercept, disclose, or use such communications, and (2) be entitled to recover from any such person - '(a) actual damages but not less than liquidated damages computed at the rate of $100 a day for each day of violation or $1,000, whichever is higher; '(b) punitive damages; and '(c) a reasonable attorney's fee and other litigation costs reasonably incurred. A good faith reliance on a court order or legislative authorization shall constitute a complete defense to any civil or criminal action brought under this chapter or under any other law.' 1970 - Pub. L. 91-358 substituted provisions that a good faith reliance on a court order or legislative authorization constitute a complete defense to any civil or criminal action brought under this chapter or under any other law, for provisions that a good faith reliance on a court order or on the provisions of section 2518(7) of this chapter constitute a complete defense to any civil or criminal action brought under this chapter. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as a note under section 2510 of this title. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-358 effective on first day of seventh calendar month which begins after July 29, 1970, see section 901(a) of Pub. L. 91-358. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2511 of this title. ------DocID 24589 Document 831 of 1438------ -CITE- 18 USC Sec. 2521 -EXPCITE- TITLE 18 PART I CHAPTER 119 -HEAD- Sec. 2521. Injunction against illegal interception -STATUTE- Whenever it shall appear that any person is engaged or is about to engage in any act which constitutes or will constitute a felony violation of this chapter, the Attorney General may initiate a civil action in a district court of the United States to enjoin such violation. The court shall proceed as soon as practicable to the hearing and determination of such an action, and may, at any time before final determination, enter such a restraining order or prohibition, or take such other action, as is warranted to prevent a continuing and substantial injury to the United States or to any person or class of persons for whose protection the action is brought. A proceeding under this section is governed by the Federal Rules of Civil Procedure, except that, if an indictment has been returned against the respondent, discovery is governed by the Federal Rules of Criminal Procedure. -SOURCE- (Added Pub. L. 99-508, title I, Sec. 110(a), Oct. 21, 1986, 100 Stat. 1859.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. The Federal Rules of Criminal Procedure, referred to in text, are set out in the Appendix to this title. -MISC2- EFFECTIVE DATE Section effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as an Effective Date of 1986 Amendment note under section 2510 of this title. ------DocID 24590 Document 832 of 1438------ -CITE- 18 USC CHAPTER 121 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- CHAPTER 121 - STORED WIRE AND ELECTRONIC COMMUNICATIONS AND TRANSACTIONAL RECORDS ACCESS -MISC1- Sec. 2701. Unlawful access to stored communications. 2702. Disclosure of contents. 2703. Requirements for governmental access. 2704. Backup preservation. 2705. Delayed notice. 2706. Cost reimbursement. 2707. Civil action. 2708. Exclusivity of remedies. 2709. Counterintelligence access to telephone toll and transactional records. 2710. Wrongful disclosure of video tape rental or sale records. 2711. Definitions for chapter. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7067, Nov. 18, 1988, 102 Stat. 4405, which directed amendment of item 2710 by inserting 'for chapter' after 'Definitions' was executed by making the insertion in item 2711 to reflect the probable intent of Congress and the intervening redesignation of item 2710 as 2711 by Pub. L. 100-618, see below. Pub. L. 100-618, Sec. 2(b), Nov. 5, 1988, 102 Stat. 3197, added item 2710 and redesignated former item 2710 as 2711. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2511 of this title. ------DocID 24591 Document 833 of 1438------ -CITE- 18 USC Sec. 2701 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2701. Unlawful access to stored communications -STATUTE- (a) Offense. - Except as provided in subsection (c) of this section whoever - (1) intentionally accesses without authorization a facility through which an electronic communication service is provided; or (2) intentionally exceeds an authorization to access that facility; and thereby obtains, alters, or prevents authorized access to a wire or electronic communication while it is in electronic storage in such system shall be punished as provided in subsection (b) of this section. (b) Punishment. - The punishment for an offense under subsection (a) of this section is - (1) if the offense is committed for purposes of commercial advantage, malicious destruction or damage, or private commercial gain - (A) a fine of not more than $250,000 or imprisonment for not more than one year, or both, in the case of a first offense under this subparagraph; and (B) a fine under this title or imprisonment for not more than two years, or both, for any subsequent offense under this subparagraph; and (2) a fine of not more than $5,000 or imprisonment for not more than six months, or both, in any other case. (c) Exceptions. - Subsection (a) of this section does not apply with respect to conduct authorized - (1) by the person or entity providing a wire or electronic communications service; (2) by a user of that service with respect to a communication of or intended for that user; or (3) in section 2703, 2704 or 2518 of this title. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1860.) -MISC1- EFFECTIVE DATE Section 202 of title II of Pub. L. 99-508 provided that: 'This title and the amendments made by this title (enacting this chapter) shall take effect ninety days after the date of the enactment of this Act (Oct. 21, 1986) and shall, in the case of conduct pursuant to a court order or extension, apply only with respect to court orders or extensions made after this title takes effect.' SHORT TITLE OF 1988 AMENDMENT Pub. L. 100-618, Sec. 1, Nov. 5, 1988, 102 Stat. 3195, provided that: 'This Act (enacting section 2710 of this title and renumbering former section 2710 as 2711 of this title) may be cited as the 'Video Privacy Protection Act of 1988'.' ------DocID 24592 Document 834 of 1438------ -CITE- 18 USC Sec. 2702 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2702. Disclosure of contents -STATUTE- (a) Prohibitions. - Except as provided in subsection (b) - (1) a person or entity providing an electronic communication service to the public shall not knowingly divulge to any person or entity the contents of a communication while in electronic storage by that service; and (2) a person or entity providing remote computing service to the public shall not knowingly divulge to any person or entity the contents of any communication which is carried or maintained on that service - (A) on behalf of, and received by means of electronic transmission from (or created by means of computer processing of communications received by means of electronic transmission from), a subscriber or customer of such service; and (B) solely for the purpose of providing storage or computer processing services to such subscriber or customer, if the provider is not authorized to access the contents of any such communications for purposes of providing any services other than storage or computer processing. (b) Exceptions. - A person or entity may divulge the contents of a communication - (1) to an addressee or intended recipient of such communication or an agent of such addressee or intended recipient; (2) as otherwise authorized in section 2517, 2511(2)(a), or 2703 of this title; (3) with the lawful consent of the originator or an addressee or intended recipient of such communication, or the subscriber in the case of remote computing service; (4) to a person employed or authorized or whose facilities are used to forward such communication to its destination; (5) as may be necessarily incident to the rendition of the service or to the protection of the rights or property of the provider of that service; or (6) to a law enforcement agency, if such contents - (A) were inadvertently obtained by the service provider; and (B) appear to pertain to the commission of a crime. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1860, and amended Pub. L. 100-690, title VII, Sec. 7037, Nov. 18, 1988, 102 Stat. 4399.) -MISC1- AMENDMENTS 1988 - Subsec. (b)(2). Pub. L. 100-690 substituted '2517' for '2516'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2706 of this title. ------DocID 24593 Document 835 of 1438------ -CITE- 18 USC Sec. 2703 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2703. Requirements for governmental access -STATUTE- (a) Contents of Electronic Communications in Electronic Storage. - A governmental entity may require the disclosure by a provider of electronic communication service of the contents of an electronic communication, that is in electronic storage in an electronic communications system for one hundred and eighty days or less, only pursuant to a warrant issued under the Federal Rules of Criminal Procedure or equivalent State warrant. A governmental entity may require the disclosure by a provider of electronic communications services of the contents of an electronic communication that has been in electronic storage in an electronic communications system for more than one hundred and eighty days by the means available under subsection (b) of this section. (b) Contents of Electronic Communications in a Remote Computing Service. - (1) A governmental entity may require a provider of remote computing service to disclose the contents of any electronic communication to which this paragraph is made applicable by paragraph (2) of this subsection - (A) without required notice to the subscriber or customer, if the governmental entity obtains a warrant issued under the Federal Rules of Criminal Procedure or equivalent State warrant; or (B) with prior notice from the governmental entity to the subscriber or customer if the governmental entity - (i) uses an administrative subpoena authorized by a Federal or State statute or a Federal or State grand jury or trial subpoena; or (ii) obtains a court order for such disclosure under subsection (d) of this section; except that delayed notice may be given pursuant to section 2705 of this title. (2) Paragraph (1) is applicable with respect to any electronic communication that is held or maintained on that service - (A) on behalf of, and received by means of electronic transmission from (or created by means of computer processing of communications received by means of electronic transmission from), a subscriber or customer of such remote computing service; and (B) solely for the purpose of providing storage or computer processing services to such subscriber or customer, if the provider is not authorized to access the contents of any such communications for purposes of providing any services other than storage or computer processing. (c) Records Concerning Electronic Communication Service or Remote Computing Service. - (1)(A) Except as provided in subparagraph (B), a provider of electronic communication service or remote computing service may disclose a record or other information pertaining to a subscriber to or customer of such service (not including the contents of communications covered by subsection (a) or (b) of this section) to any person other than a governmental entity. (B) A provider of electronic communication service or remote computing service shall disclose a record or other information pertaining to a subscriber to or customer of such service (not including the contents of communications covered by subsection (a) or (b) of this section) to a governmental entity only when the governmental entity - (i) uses an administrative subpoena authorized by a Federal or State statute, or a Federal or State grand jury or trial subpoena; (ii) obtains a warrant issued under the Federal Rules of Criminal Procedure or equivalent State warrant; (iii) obtains a court order for such disclosure under subsection (d) of this section; or (iv) has the consent of the subscriber or customer to such disclosure. (2) A governmental entity receiving records or information under this subsection is not required to provide notice to a subscriber or customer. (d) Requirements for Court Order. - A court order for disclosure under subsection (b) or (c) of this section may be issued by any court that is a court of competent jurisdiction set forth in section 3126(2)(A) of this title and shall issue only if the governmental entity shows that there is reason to believe the contents of a wire or electronic communication, or the records or other information sought, are relevant to a legitimate law enforcement inquiry. In the case of a State governmental authority, such a court order shall not issue if prohibited by the law of such State. A court issuing an order pursuant to this section, on a motion made promptly by the service provider, may quash or modify such order, if the information or records requested are unusually voluminous in nature or compliance with such order otherwise would cause an undue burden on such provider. (e) No Cause of Action Against a Provider Disclosing Information Under This Chapter. - No cause of action shall lie in any court against any provider of wire or electronic communication service, its officers, employees, agents, or other specified persons for providing information, facilities, or assistance in accordance with the terms of a court order, warrant, subpoena, or certification under this chapter. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1861, and amended Pub. L. 100-690, title VII, Sec. 7038, 7039, Nov. 18, 1988, 102 Stat. 4399.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsecs. (a), (b)(1)(A), and (c)(1)(B)(ii), are set out in the Appendix to this title. -MISC2- AMENDMENTS 1988 - Subsecs. (b)(1)(B)(i), (c)(1)(B)(i). Pub. L. 100-690, Sec. 7038, inserted 'or trial' after 'grand jury'. Subsec. (d). Pub. L. 100-690, Sec. 7039, inserted 'may be issued by any court that is a court of competent jurisdiction set forth in section 3126(2)(A) of this title and' before 'shall issue'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2701, 2702, 2704, 2705, 2706, 2707 of this title. ------DocID 24594 Document 836 of 1438------ -CITE- 18 USC Sec. 2704 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2704. Backup preservation -STATUTE- (a) Backup Preservation. - (1) A governmental entity acting under section 2703(b)(2) may include in its subpoena or court order a requirement that the service provider to whom the request is directed create a backup copy of the contents of the electronic communications sought in order to preserve those communications. Without notifying the subscriber or customer of such subpoena or court order, such service provider shall create such backup copy as soon as practicable consistent with its regular business practices and shall confirm to the governmental entity that such backup copy has been made. Such backup copy shall be created within two business days after receipt by the service provider of the subpoena or court order. (2) Notice to the subscriber or customer shall be made by the governmental entity within three days after receipt of such confirmation, unless such notice is delayed pursuant to section 2705(a). (3) The service provider shall not destroy such backup copy until the later of - (A) the delivery of the information; or (B) the resolution of any proceedings (including appeals of any proceeding) concerning the government's subpoena or court order. (4) The service provider shall release such backup copy to the requesting governmental entity no sooner than fourteen days after the governmental entity's notice to the subscriber or customer if such service provider - (A) has not received notice from the subscriber or customer that the subscriber or customer has challenged the governmental entity's request; and (B) has not initiated proceedings to challenge the request of the governmental entity. (5) A governmental entity may seek to require the creation of a backup copy under subsection (a)(1) of this section if in its sole discretion such entity determines that there is reason to believe that notification under section 2703 of this title of the existence of the subpoena or court order may result in destruction of or tampering with evidence. This determination is not subject to challenge by the subscriber or customer or service provider. (b) Customer Challenges. - (1) Within fourteen days after notice by the governmental entity to the subscriber or customer under subsection (a)(2) of this section, such subscriber or customer may file a motion to quash such subpoena or vacate such court order, with copies served upon the governmental entity and with written notice of such challenge to the service provider. A motion to vacate a court order shall be filed in the court which issued such order. A motion to quash a subpoena shall be filed in the appropriate United States district court or State court. Such motion or application shall contain an affidavit or sworn statement - (A) stating that the applicant is a customer or subscriber to the service from which the contents of electronic communications maintained for him have been sought; and (B) stating the applicant's reasons for believing that the records sought are not relevant to a legitimate law enforcement inquiry or that there has not been substantial compliance with the provisions of this chapter in some other respect. (2) Service shall be made under this section upon a governmental entity by delivering or mailing by registered or certified mail a copy of the papers to the person, office, or department specified in the notice which the customer has received pursuant to this chapter. For the purposes of this section, the term 'delivery' has the meaning given that term in the Federal Rules of Civil Procedure. (3) If the court finds that the customer has complied with paragraphs (1) and (2) of this subsection, the court shall order the governmental entity to file a sworn response, which may be filed in camera if the governmental entity includes in its response the reasons which make in camera review appropriate. If the court is unable to determine the motion or application on the basis of the parties' initial allegations and response, the court may conduct such additional proceedings as it deems appropriate. All such proceedings shall be completed and the motion or application decided as soon as practicable after the filing of the governmental entity's response. (4) If the court finds that the applicant is not the subscriber or customer for whom the communications sought by the governmental entity are maintained, or that there is a reason to believe that the law enforcement inquiry is legitimate and that the communications sought are relevant to that inquiry, it shall deny the motion or application and order such process enforced. If the court finds that the applicant is the subscriber or customer for whom the communications sought by the governmental entity are maintained, and that there is not a reason to believe that the communications sought are relevant to a legitimate law enforcement inquiry, or that there has not been substantial compliance with the provisions of this chapter, it shall order the process quashed. (5) A court order denying a motion or application under this section shall not be deemed a final order and no interlocutory appeal may be taken therefrom by the customer. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1863.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Civil Procedure, referred to in subsec. (b)(2), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2701, 2706 of this title. ------DocID 24595 Document 837 of 1438------ -CITE- 18 USC Sec. 2705 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2705. Delayed notice -STATUTE- (a) Delay of Notification. - (1) A governmental entity acting under section 2703(b) of this title may - (A) where a court order is sought, include in the application a request, which the court shall grant, for an order delaying the notification required under section 2703(b) of this title for a period not to exceed ninety days, if the court determines that there is reason to believe that notification of the existence of the court order may have an adverse result described in paragraph (2) of this subsection; or (B) where an administrative subpoena authorized by a Federal or State statute or a Federal or State grand jury subpoena is obtained, delay the notification required under section 2703(b) of this title for a period not to exceed ninety days upon the execution of a written certification of a supervisory official that there is reason to believe that notification of the existence of the subpoena may have an adverse result described in paragraph (2) of this subsection. (2) An adverse result for the purposes of paragraph (1) of this subsection is - (A) endangering the life or physical safety of an individual; (B) flight from prosecution; (C) destruction of or tampering with evidence; (D) intimidation of potential witnesses; or (E) otherwise seriously jeopardizing an investigation or unduly delaying a trial. (3) The governmental entity shall maintain a true copy of certification under paragraph (1)(B). (4) Extensions of the delay of notification provided in section 2703 of up to ninety days each may be granted by the court upon application, or by certification by a governmental entity, but only in accordance with subsection (b) of this section. (5) Upon expiration of the period of delay of notification under paragraph (1) or (4) of this subsection, the governmental entity shall serve upon, or deliver by registered or first-class mail to, the customer or subscriber a copy of the process or request together with notice that - (A) states with reasonable specificity the nature of the law enforcement inquiry; and (B) informs such customer or subscriber - (i) that information maintained for such customer or subscriber by the service provider named in such process or request was supplied to or requested by that governmental authority and the date on which the supplying or request took place; (ii) that notification of such customer or subscriber was delayed; (iii) what governmental entity or court made the certification or determination pursuant to which that delay was made; and (iv) which provision of this chapter allowed such delay. (6) As used in this subsection, the term 'supervisory official' means the investigative agent in charge or assistant investigative agent in charge or an equivalent of an investigating agency's headquarters or regional office, or the chief prosecuting attorney or the first assistant prosecuting attorney or an equivalent of a prosecuting attorney's headquarters or regional office. (b) Preclusion of Notice to Subject of Governmental Access. - A governmental entity acting under section 2703, when it is not required to notify the subscriber or customer under section 2703(b)(1), or to the extent that it may delay such notice pursuant to subsection (a) of this section, may apply to a court for an order commanding a provider of electronic communications service or remote computing service to whom a warrant, subpoena, or court order is directed, for such period as the court deems appropriate, not to notify any other person of the existence of the warrant, subpoena, or court order. The court shall enter such an order if it determines that there is reason to believe that notification of the existence of the warrant, subpoena, or court order will result in - (1) endangering the life or physical safety of an individual; (2) flight from prosecution; (3) destruction of or tampering with evidence; (4) intimidation of potential witnesses; or (5) otherwise seriously jeopardizing an investigation or unduly delaying a trial. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1864.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2703, 2704 of this title. ------DocID 24596 Document 838 of 1438------ -CITE- 18 USC Sec. 2706 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2706. Cost reimbursement -STATUTE- (a) Payment. - Except as otherwise provided in subsection (c), a governmental entity obtaining the contents of communications, records, or other information under section 2702, 2703, or 2704 of this title shall pay to the person or entity assembling or providing such information a fee for reimbursement for such costs as are reasonably necessary and which have been directly incurred in searching for, assembling, reproducing, or otherwise providing such information. Such reimbursable costs shall include any costs due to necessary disruption of normal operations of any electronic communication service or remote computing service in which such information may be stored. (b) Amount. - The amount of the fee provided by subsection (a) shall be as mutually agreed by the governmental entity and the person or entity providing the information, or, in the absence of agreement, shall be as determined by the court which issued the order for production of such information (or the court before which a criminal prosecution relating to such information would be brought, if no court order was issued for production of the information). (c) Exception. - The requirement of subsection (a) of this section does not apply with respect to records or other information maintained by a communications common carrier that relate to telephone toll records and telephone listings obtained under section 2703 of this title. The court may, however, order a payment as described in subsection (a) if the court determines the information required is unusually voluminous in nature or otherwise caused an undue burden on the provider. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1866, and amended Pub. L. 100-690, title VII, Sec. 7061, Nov. 18, 1988, 102 Stat. 4404.) -MISC1- AMENDMENTS 1988 - Subsec. (c). Pub. L. 100-690 inserted heading. ------DocID 24597 Document 839 of 1438------ -CITE- 18 USC Sec. 2707 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2707. Civil action -STATUTE- (a) Cause of Action. - Except as provided in section 2703(e), any provider of electronic communication service, subscriber, or customer aggrieved by any violation of this chapter in which the conduct constituting the violation is engaged in with a knowing or intentional state of mind may, in a civil action, recover from the person or entity which engaged in that violation such relief as may be appropriate. (b) Relief. - In a civil action under this section, appropriate relief includes - (1) such preliminary and other equitable or declaratory relief as may be appropriate; (2) damages under subsection (c); and (3) a reasonable attorney's fee and other litigation costs reasonably incurred. (c) Damages. - The court may assess as damages in a civil action under this section the sum of the actual damages suffered by the plaintiff and any profits made by the violator as a result of the violation, but in no case shall a person entitled to recover receive less than the sum of $1,000. (d) Defense. - A good faith reliance on - (1) a court warrant or order, a grand jury subpoena, a legislative authorization, or a statutory authorization; (2) a request of an investigative or law enforcement officer under section 2518(7) of this title; or (3) a good faith determination that section 2511(3) of this title permitted the conduct complained of; is a complete defense to any civil or criminal action brought under this chapter or any other law. (e) Limitation. - A civil action under this section may not be commenced later than two years after the date upon which the claimant first discovered or had a reasonable opportunity to discover the violation. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1866.) ------DocID 24598 Document 840 of 1438------ -CITE- 18 USC Sec. 2708 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2708. Exclusivity of remedies -STATUTE- The remedies and sanctions described in this chapter are the only judicial remedies and sanctions for nonconstitutional violations of this chapter. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1867.) ------DocID 24599 Document 841 of 1438------ -CITE- 18 USC Sec. 2709 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2709. Counterintelligence access to telephone toll and transactional records -STATUTE- (a) Duty to Provide. - A wire or electronic communication service provider shall comply with a request for subscriber information and toll billing records information, or electronic communication transactional records in its custody or possession made by the Director of the Federal Bureau of Investigation under subsection (b) of this section. (b) Required Certification. - The Director of the Federal Bureau of Investigation (or an individual within the Federal Bureau of Investigation designated for this purpose by the Director) may request any such information and records if the Director (or the Director's designee) certifies in writing to the wire or electronic communication service provider to which the request is made that - (1) the information sought is relevant to an authorized foreign counterintelligence investigation; and (2) there are specific and articulable facts giving reason to believe that the person or entity to whom the information sought pertains is a foreign power or an agent of a foreign power as defined in section 101 of the Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. 1801). (c) Prohibition of Certain Disclosure. - No wire or electronic communication service provider, or officer, employee, or agent thereof, shall disclose to any person that the Federal Bureau of Investigation has sought or obtained access to information or records under this section. (d) Dissemination by Bureau. - The Federal Bureau of Investigation may disseminate information and records obtained under this section only as provided in guidelines approved by the Attorney General for foreign intelligence collection and foreign counterintelligence investigations conducted by the Federal Bureau of Investigation, and, with respect to dissemination to an agency of the United States, only if such information is clearly relevant to the authorized responsibilities of such agency. (e) Requirement That Certain Congressional Bodies Be Informed. - On a semiannual basis the Director of the Federal Bureau of Investigation shall fully inform the Permanent Select Committee on Intelligence of the House of Representatives and the Select Committee on Intelligence of the Senate concerning all requests made under subsection (b) of this section. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1867.) ------DocID 24600 Document 842 of 1438------ -CITE- 18 USC Sec. 2710 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2710. Wrongful disclosure of video tape rental or sale records -STATUTE- (a) Definitions. - For purposes of this section - (1) the term 'consumer' means any renter, purchaser, or subscriber of goods or services from a video tape service provider; (2) the term 'ordinary course of business' means only debt collection activities, order fulfillment, request processing, and the transfer of ownership; (3) the term 'personally identifiable information' includes information which identifies a person as having requested or obtained specific video materials or services from a video tape service provider; and (4) the term 'video tape service provider' means any person, engaged in the business, in or affecting interstate or foreign commerce, of rental, sale, or delivery of prerecorded video cassette tapes or similar audio visual materials, or any person or other entity to whom a disclosure is made under subparagraph (D) or (E) of subsection (b)(2), but only with respect to the information contained in the disclosure. (b) Video Tape Rental and Sale Records. - (1) A video tape service provider who knowingly discloses, to any person, personally identifiable information concerning any consumer of such provider shall be liable to the aggrieved person for the relief provided in subsection (d). (2) A video tape service provider may disclose personally identifiable information concerning any consumer - (A) to the consumer; (B) to any person with the informed, written consent of the consumer given at the time the disclosure is sought; (C) to a law enforcement agency pursuant to a warrant issued under the Federal Rules of Criminal Procedure, an equivalent State warrant, a grand jury subpoena, or a court order; (D) to any person if the disclosure is solely of the names and addresses of consumers and if - (i) the video tape service provider has provided the consumer with the opportunity, in a clear and conspicuous manner, to prohibit such disclosure; and (ii) the disclosure does not identify the title, description, or subject matter of any video tapes or other audio visual material; however, the subject matter of such materials may be disclosed if the disclosure is for the exclusive use of marketing goods and services directly to the consumer; (E) to any person if the disclosure is incident to the ordinary course of business of the video tape service provider; or (F) pursuant to a court order, in a civil proceeding upon a showing of compelling need for the information that cannot be accommodated by any other means, if - (i) the consumer is given reasonable notice, by the person seeking the disclosure, of the court proceeding relevant to the issuance of the court order; and (ii) the consumer is afforded the opportunity to appear and contest the claim of the person seeking the disclosure. If an order is granted pursuant to subparagraph (C) or (F), the court shall impose appropriate safeguards against unauthorized disclosure. (3) Court orders authorizing disclosure under subparagraph (C) shall issue only with prior notice to the consumer and only if the law enforcement agency shows that there is probable cause to believe that the records or other information sought are relevant to a legitimate law enforcement inquiry. In the case of a State government authority, such a court order shall not issue if prohibited by the law of such State. A court issuing an order pursuant to this section, on a motion made promptly by the video tape service provider, may quash or modify such order if the information or records requested are unreasonably voluminous in nature or if compliance with such order otherwise would cause an unreasonable burden on such provider. (c) Civil Action. - (1) Any person aggrieved by any act of a person in violation of this section may bring a civil action in a United States district court. (2) The court may award - (A) actual damages but not less than liquidated damages in an amount of $2,500; (B) punitive damages; (C) reasonable attorneys' fees and other litigation costs reasonably incurred; and (D) such other preliminary and equitable relief as the court determines to be appropriate. (3) No action may be brought under this subsection unless such action is begun within 2 years from the date of the act complained of or the date of discovery. (4) No liability shall result from lawful disclosure permitted by this section. (d) Personally Identifiable Information. - Personally identifiable information obtained in any manner other than as provided in this section shall not be received in evidence in any trial, hearing, arbitration, or other proceeding in or before any court, grand jury, department, officer, agency, regulatory body, legislative committee, or other authority of the United States, a State, or a political subdivision of a State. (e) Destruction of Old Records. - A person subject to this section shall destroy personally identifiable information as soon as practicable, but no later than one year from the date the information is no longer necessary for the purpose for which it was collected and there are no pending requests or orders for access to such information under subsection (b)(2) or (c)(2) or pursuant to a court order. (f) Preemption. - The provisions of this section preempt only the provisions of State or local law that require disclosure prohibited by this section. -SOURCE- (Added Pub. L. 100-618, Sec. 2(a)(2), Nov. 5, 1988, 102 Stat. 3195.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (b)(2)(C), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 2710 was renumbered section 2711 of this title. ------DocID 24601 Document 843 of 1438------ -CITE- 18 USC Sec. 2711 -EXPCITE- TITLE 18 PART I CHAPTER 121 -HEAD- Sec. 2711. Definitions for chapter -STATUTE- As used in this chapter - (1) the terms defined in section 2510 of this title have, respectively, the definitions given such terms in that section; and (2) the term 'remote computing service' means the provision to the public of computer storage or processing services by means of an electronic communications system. -SOURCE- (Added Pub. L. 99-508, title II, Sec. 201((a)), Oct. 21, 1986, 100 Stat. 1868, Sec. 2710; renumbered Sec. 2711, Pub. L. 100-618, Sec. 2(a)(1), Nov. 5, 1988, 102 Stat. 3195.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-618 renumbered section 2710 of this title as this section. ------DocID 24602 Document 844 of 1438------ -CITE- 18 USC PART II -EXPCITE- TITLE 18 PART II -HEAD- PART II - CRIMINAL PROCEDURE -MISC1- Chap. Sec. 201. General provisions 3001 203. Arrest and commitment 3041 204. Rewards for information concerning terrorists acts (FOOTNOTE 1) 3071 (FOOTNOTE 1) So in original. Does not conform to chapter heading. 205. Searches and seizures 3101 206. Pen Registers and Trap and Trace Devices (FOOTNOTE 2) 3121 (FOOTNOTE 2) So in original. First word only of item should be capitalized. 207. Release and detention pending judicial proceedings 3141 208. Speedy trial 3161 209. Extradition 3181 211. Jurisdiction and venue 3231 213. Limitations 3281 215. Grand jury 3321 216. Special grand jury 3331 217. Indictment and information 3361 219. Trial by United States magistrates 3401 221. Arraignment, pleas and trial 3431 223. Witnesses and evidence 3481 224. Protection of witnesses 3521 225. Verdict 3531 227. Sentences 3551 229. Post-Sentence Administration (FOOTNOTE 3) 3601 (FOOTNOTE 3) So in original. Does not conform to chapter heading and first word only of item should be capitalized. 231. Repealed 232. Miscellaneous Sentencing Provisions (FOOTNOTE 2) 3661 232A. Special forfeiture of collateral profits of crime 3681 233. Contempts 3691 235. Appeal 3731 (237. Repealed.) AMENDMENTS 1988 - Pub. L. 100-702, title IV, Sec. 404(a)(1), Nov. 19, 1988, 102 Stat. 4651, struck out item 237 'Rules of criminal procedure'. 1986 - Pub. L. 99-646, Sec. 41(d), Nov. 10, 1986, 100 Stat. 3600, struck out item for chapter 232 'Special forfeiture of collateral profits of crime' and added item for chapter 232A. Pub. L. 99-508, title III, Sec. 301(b), Oct. 21, 1986, 100 Stat. 1872, added item for chapter 206. 1984 - Pub. L. 98-533, title I, Sec. 101(b), Oct. 19, 1984, 98 Stat. 2708, added item for chapter 204. Pub. L. 98-473, title II, Sec. 203(d), 212(b), 1209(a), 1406(b), Oct. 12, 1984, 98 Stat. 1985, 2011, 2163, 2176, inserted 'and detention pending judicial proceedings' in item for chapter 207, added items for chapters 224, 227, 229, 231, and 232, and struck out items for former chapters 227 'Sentence, judgment, and execution', 229 'Fines, penalties and forfeitures' and 231 'Probation'. 1975 - Pub. L. 93-619, title I, Sec. 102, Jan. 3, 1975, 88 Stat. 2086, added item for chapter 208. 1970 - Pub. L. 91-452, title I, Sec. 101(b), Oct. 15, 1970, 84 Stat. 926, added item for chapter 216. 1968 - Pub. L. 90-578, title III, Sec. 301(c), Oct. 17, 1968, 82 Stat. 1115, substituted 'Trial by United States magistrates' for 'Trial by commissioners' in item for chapter 219. 1966 - Pub. L. 89-465, Sec. 5(e)(2), June 22, 1966, 80 Stat. 217, substituted 'Release' for 'Bail' in item for chapter 207. -SECREF- PART REFERRED TO IN OTHER SECTIONS This part is referred to in title 48 sections 1424-4, 1614, 1694. ------DocID 24603 Document 845 of 1438------ -CITE- 18 USC CHAPTER 201 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- CHAPTER 201 - GENERAL PROVISIONS -MISC1- Sec. 3001. Procedure governed by rules; scope, purpose and effect; definition of terms; local rules; forms - Rule. 3002. Courts always open - Rule. 3003. Calendars - Rule. 3004. Decorum in court room - Rule. 3005. Counsel and witnesses in capital cases. 3006. Assignment of counsel - Rule. 3006A. Adequate representation of defendants. 3007. Motions - Rule. 3008. Service and filing of papers - Rule. 3009. Records - Rule. 3010. Exceptions unnecessary - Rule. 3011. Computation of time - Rule. 3012. Repealed. 3013. Special assessment on convicted persons. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 218(c), 1405(b), Oct. 12, 1984, 98 Stat. 2027, 2175, added item 3013 and substituted 'Repealed' for 'Orders respecting persons in custody' in item 3012. 1964 - Pub. L. 88-455, Sec. 4, Aug. 20, 1964, 78 Stat. 554, added item 3006A. LAW ENFORCEMENT ASSISTANCE ACT OF 1965 Pub. L. 89-197, Sec. 1-11, Sept. 22, 1965, 79 Stat. 828, as amended by Pub. L. 89-798, Nov. 8, 1966, 80 Stat. 1503, was repealed by Pub. L. 90-351, title I, Sec. 405, June 19, 1968, 82 Stat. 204, subject to the provisions of section 3745 of Title 42, The Public Health and Welfare. See section 3701 et seq. (chapter 46) of Title 42. Such Act had provided for grants and contracts for improvement of quality of state and local personnel through professional training; grants and contracts to improve state and local law enforcement techniques; delegation and redelegation of powers; contributions to program by recipients, rules and regulations, necessary stipends, and allowances; studies by Attorney General and technical assistance to states; prohibition against control over local agencies; advisory committees, compensation, and expenses; term of program; appropriations; and reports to President and Congress. COORDINATION OF FEDERAL LAW ENFORCEMENT AND CRIME PREVENTION PROGRAMS Designation of Attorney General to coordinate federal law enforcement and crime prevention program, see Ex. Ord. No. 11396, Feb. 7, 1968, 33 F.R. 2689, set out as a note preceding section 1 of this title. ------DocID 24604 Document 846 of 1438------ -CITE- 18 USC Sec. 3001 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3001. Procedure governed by rules; scope, purpose and effect; definition of terms; local rules; forms - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Scope, rule 1. Purpose and construction, rule 2. Proceedings to which rules apply, rules 54 and 59. Definition, rule 54(c). Rules of District Courts and Circuit Courts of Appeal, rule 57. Forms, rule 58. Effective date, rule 59. Citation of rule, rule 60. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) ------DocID 24605 Document 847 of 1438------ -CITE- 18 USC Sec. 3002 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3002. Courts always open - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Business hours, rule 56. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) ------DocID 24606 Document 848 of 1438------ -CITE- 18 USC Sec. 3003 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3003. Calendars - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Preference to criminal cases, rule 50. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) ------DocID 24607 Document 849 of 1438------ -CITE- 18 USC Sec. 3004 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3004. Decorum in court room - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Photographing or radio broadcasting prohibited, rule 53. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) ------DocID 24608 Document 850 of 1438------ -CITE- 18 USC Sec. 3005 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3005. Counsel and witnesses in capital cases -STATUTE- Whoever is indicted for treason or other capital crime shall be allowed to make his full defense by counsel learned in the law; and the court before which he is tried, or some judge thereof, shall immediately, upon his request, assign to him such counsel, not exceeding two, as he may desire, who shall have free access to him at all reasonable hours. He shall be allowed, in his defense to make any proof that he can produce by lawful witnesses, and shall have the like process of the court to compel his witnesses to appear at his trial, as is usually granted to compel witnesses to appear on behalf of the prosecution. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 563 (R.S. Sec. 1034). Changes were made in phraseology. -CROSS- CROSS REFERENCES Assistance of counsel, see Const. Amend. VI. Compulsory process for obtaining witnesses in criminal prosecutions, see Const. Amend. VI. ------DocID 24609 Document 851 of 1438------ -CITE- 18 USC Sec. 3006 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3006. Assignment of counsel - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Appointment by court, rule 44. Accused to be informed of right to counsel, rules 5 and 44. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) ------DocID 24610 Document 852 of 1438------ -CITE- 18 USC Sec. 3006A -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3006A. Adequate representation of defendants -STATUTE- (a) Choice of Plan. - Each United States district court, with the approval of the judicial council of the circuit, shall place in operation throughout the district a plan for furnishing representation for any person financially unable to obtain adequate representation in accordance with this section. Representation under each plan shall include counsel and investigative, expert, and other services necessary for adequate representation. Each plan shall provide the following: (1) Representation shall be provided for any financially eligible person who - (A) is charged with a felony or a Class A misdemeanor; (B) is a juvenile alleged to have committed an act of juvenile delinquency as defined in section 5031 of this title; (C) is charged with a violation of probation; (D) is under arrest, when such representation is required by law; (E) is charged with a violation of supervised release or faces modification, reduction, or enlargement of a condition, or extension or revocation of a term of supervised release; (F) is subject to a mental condition hearing under chapter 313 of this title; (G) is in custody as a material witness; (H) is entitled to appointment of counsel under the sixth amendment to the Constitution; (I) faces loss of liberty in a case, and Federal law requires the appointment of counsel; or (J) is entitled to the appointment of counsel under section 4109 of this title. (2) Whenever the United States magistrate or the court determines that the interests of justice so require, representation may be provided for any financially eligible person who - (A) is charged with a Class B or C misdemeanor, or an infraction for which a sentence to confinement is authorized; or (B) is seeking relief under section 2241, 2254, or 2255 of title 28. (3) Private attorneys shall be appointed in a substantial proportion of the cases. Each plan may include, in addition to the provisions for private attorneys, either of the following or both: (A) Attorneys furnished by a bar association or a legal aid agency, (B) Attorneys furnished by a defender organization established in accordance with the provisions of subsection (g). Prior to approving the plan for a district, the judicial council of the circuit shall supplement the plan with provisions for representation on appeal. The district court may modify the plan at any time with the approval of the judicial council of the circuit. It shall modify the plan when directed by the judicial council of the circuit. The district court shall notify the Administrative Office of the United States Courts of any modification of its plan. (b) Appointment of Counsel. - Counsel furnishing representation under the plan shall be selected from a panel of attorneys designated or approved by the court, or from a bar association, legal aid agency, or defender organization furnishing representation pursuant to the plan. In every case in which a person entitled to representation under a plan approved under subsection (a) appears without counsel, the United States magistrate or the court shall advise the person that he has the right to be represented by counsel and that counsel will be appointed to represent him if he is financially unable to obtain counsel. Unless the person waives representation by counsel, the United States magistrate or the court, if satisfied after appropriate inquiry that the person is financially unable to obtain counsel, shall appoint counsel to represent him. Such appointment may be made retroactive to include any representation furnished pursuant to the plan prior to appointment. The United States magistrate or the court shall appoint separate counsel for persons having interests that cannot properly be represented by the same counsel, or when other good cause is shown. (c) Duration and Substitution of Appointments. - A person for whom counsel is appointed shall be represented at every stage of the proceedings from his initial appearance before the United States magistrate or the court through appeal, including ancillary matters appropriate to the proceedings. If at any time after the appointment of counsel the United States magistrate or the court finds that the person is financially able to obtain counsel or to make partial payment for the representation, it may terminate the appointment of counsel or authorize payment as provided in subsection (f), as the interests of justice may dictate. If at any stage of the proceedings, including an appeal, the United States magistrate or the court finds that the person is financially unable to pay counsel whom he had retained, it may appoint counsel as provided in subsection (b) and authorize payment as provided in subsection (d), as the interests of justice may dictate. The United States magistrate or the court may, in the interests of justice, substitute one appointed counsel for another at any stage of the proceedings. (d) Payment for Representation. - (1) Hourly Rate. - Any attorney appointed pursuant to this section or a bar association or legal aid agency or community defender organization which has provided the appointed attorney shall, at the conclusion of the representation or any segment thereof, be compensated at a rate not exceeding $60 per hour for time expended in court or before a United States magistrate and $40 per hour for time reasonably expended out of court, unless the Judicial Conference determines that a higher rate of not in excess of $75 per hour is justified for a circuit or for particular districts within a circuit, for time expended in court or before a United States magistrate and for time expended out of court. The Judicial Conference shall develop guidelines for determining the maximum hourly rates for each circuit in accordance with the preceding sentence, with variations by district, where appropriate, taking into account such factors as the minimum range of the prevailing hourly rates for qualified attorneys in the district in which the representation is provided and the recommendations of the judicial councils of the circuits. Not less than 3 years after the effective date of the Criminal Justice Act Revision of 1986, the Judicial Conference is authorized to raise the maximum hourly rates specified in this paragraph up to the aggregate of the overall average percentages of the adjustments in the rates of pay under the General Schedule made pursuant to section 5305 (FOOTNOTE 1) of title 5 on or after such effective date. After the rates are raised under the preceding sentence, such maximum hourly rates may be raised at intervals of not less than 1 year each, up to the aggregate of the overall average percentages of such adjustments made since the last raise was made under this paragraph. Attorneys shall be reimbursed for expenses reasonably incurred, including the costs of transcripts authorized by the United States magistrate or the court. (FOOTNOTE 1) See References in Text note below. (2) Maximum Amounts. - For representation of a defendant before the United States magistrate or the district court, or both, the compensation to be paid to an attorney or to a bar association or legal aid agency or community defender organization shall not exceed $3,500 for each attorney in a case in which one or more felonies are charged, and $1,000 for each attorney in a case in which only misdemeanors are charged. For representation of a defendant in an appellate court, the compensation to be paid to an attorney or to a bar association or legal aid agency or community defender organization shall not exceed $2,500 for each attorney in each court. For representation of an offender before the United States Parole Commission in a proceeding under section 4106A of this title, the compensation shall not exceed $750 for each attorney in each proceeding; for representation of an offender in an appeal from a determination of such Commission under such section, the compensation shall not exceed $2,500 for each attorney in each court. For any other representation required or authorized by this section, the compensation shall not exceed $750 for each attorney in each proceeding. (3) Waiving Maximum Amounts. - Payment in excess of any maximum amount provided in paragraph (2) of this subsection may be made for extended or complex representation whenever the court in which the representation was rendered, or the United States magistrate if the representation was furnished exclusively before him, certifies that the amount of the excess payment is necessary to provide fair compensation and the payment is approved by the chief judge of the circuit. The chief judge of the circuit may delegate such approval authority to an active circuit judge. (4) Filing Claims. - A separate claim for compensation and reimbursement shall be made to the district court for representation before the United States magistrate and the court, and to each appellate court before which the attorney provided representation to the person involved. Each claim shall be supported by a sworn written statement specifying the time expended, services rendered, and expenses incurred while the case was pending before the United States magistrate and the court, and the compensation and reimbursement applied for or received in the same case from any other source. The court shall fix the compensation and reimbursement to be paid to the attorney or to the bar association or legal aid agency or community defender organization which provided the appointed attorney. In cases where representation is furnished exclusively before a United States magistrate, the claim shall be submitted to him and he shall fix the compensation and reimbursement to be paid. In cases where representation is furnished other than before the United States magistrate, the district court, or an appellate court, claims shall be submitted to the district court which shall fix the compensation and reimbursement to be paid. (5) New Trials. - For purposes of compensation and other payments authorized by this section, an order by a court granting a new trial shall be deemed to initiate a new case. (6) Proceedings Before Appellate Courts. - If a person for whom counsel is appointed under this section appeals to an appellate court or petitions for a writ of certiorari, he may do so without prepayment of fees and costs or security therefor and without filing the affidavit required by section 1915(a) of title 28. (e) Services Other Than Counsel. - (1) Upon Request. - Counsel for a person who is financially unable to obtain investigative, expert, or other services necessary for adequate representation may request them in an ex parte application. Upon finding, after appropriate inquiry in an ex parte proceeding, that the services are necessary and that the person is financially unable to obtain them, the court, or the United States magistrate if the services are required in connection with a matter over which he has jurisdiction, shall authorize counsel to obtain the services. (2) Without Prior Request. - (A) Counsel appointed under this section may obtain, subject to later review, investigative, expert, and other services without prior authorization if necessary for adequate representation. Except as provided in subparagraph (B) of this paragraph, the total cost of services obtained without prior authorization may not exceed $300 and expenses reasonably incurred. (B) The court, or the United States magistrate (if the services were rendered in a case disposed of entirely before the United States magistrate), may, in the interest of justice, and upon the finding that timely procurement of necessary services could not await prior authorization, approve payment for such services after they have been obtained, even if the cost of such services exceeds $300. (3) Maximum Amounts. - Compensation to be paid to a person for services rendered by him to a person under this subsection, or to be paid to an organization for services rendered by an employee thereof, shall not exceed $1,000, exclusive of reimbursement for expenses reasonably incurred, unless payment in excess of that limit is certified by the court, or by the United States magistrate if the services were rendered in connection with a case disposed of entirely before him, as necessary to provide fair compensation for services of an unusual character or duration, and the amount of the excess payment is approved by the chief judge of the circuit. The chief judge of the circuit may delegate such approval authority to an active circuit judge. (f) Receipt of Other Payments. - Whenever the United States magistrate or the court finds that funds are available for payment from or on behalf of a person furnished representation, it may authorize or direct that such funds be paid to the appointed attorney, to the bar association or legal aid agency or community defender organization which provided the appointed attorney, to any person or organization authorized pursuant to subsection (e) to render investigative, expert, or other services, or to the court for deposit in the Treasury as a reimbursement to the appropriation, current at the time of payment, to carry out the provisions of this section. Except as so authorized or directed, no such person or organization may request or accept any payment or promise of payment for representing a defendant. (g) Defender Organization. - (1) Qualifications. - A district or a part of a district in which at least two hundred persons annually require the appointment of counsel may establish a defender organization as provided for either under subparagraphs (A) or (B) of paragraph (2) of this subsection or both. Two adjacent districts or parts of districts may aggregate the number of persons required to be represented to establish eligibility for a defender organization to serve both areas. In the event that adjacent districts or parts of districts are located in different circuits, the plan for furnishing representation shall be approved by the judicial council of each circuit. (2) Types of Defender Organizations. - (A) Federal Public Defender Organization. - A Federal Public Defender Organization shall consist of one or more full-time salaried attorneys. An organization for a district or part of a district or two adjacent districts or parts of districts shall be supervised by a Federal Public Defender appointed by the court of appeals of the circuit, without regard to the provisions of title 5 governing appointments in the competitive service, after considering recommendations from the district court or courts to be served. Nothing contained herein shall be deemed to authorize more than one Federal Public Defender within a single judicial district. The Federal Public Defender shall be appointed for a term of four years, unless sooner removed by the court of appeals of the circuit for incompetency, misconduct in office, or neglect of duty. Upon the expiration of his term, a Federal Public Defender may, by a majority vote of the judges of the court of appeals, continue to perform the duties of his office until his successor is appointed, or until one year after the expiration of such Defender's term, whichever is earlier. The compensation of the Federal Public Defender shall be fixed by the court of appeals of the circuit at a rate not to exceed the compensation received by the United States attorney for the district where representation is furnished or, if two districts or parts of districts are involved, the compensation of the higher paid United States attorney of the districts. The Federal Public Defender may appoint, without regard to the provisions of title 5 governing appointments in the competitive service, full-time attorneys in such number as may be approved by the court of appeals of the circuit and other personnel in such number as may be approved by the Director of the Administrative Office of the United States Courts. Compensation paid to such attorneys and other personnel of the organization shall be fixed by the Federal Public Defender at a rate not to exceed that paid to attorneys and other personnel of similar qualifications and experience in the Office of the United States attorney in the district where representation is furnished or, if two districts or parts of districts are involved, the higher compensation paid to persons of similar qualifications and experience in the districts. Neither the Federal Public Defender nor any attorney so appointed by him may engage in the private practice of law. Each organization shall submit to the Director of the Administrative Office of the United States Courts, at the time and in the form prescribed by him, reports of its activities and financial position and its proposed budget. The Director of the Administrative Office shall submit, in accordance with section 605 of title 28, a budget for each organization for each fiscal year and shall out of the appropriations therefor make payments to and on behalf of each organization. Payments under this subparagraph to an organization shall be in lieu of payments under subsection (d) or (e). (B) Community Defender Organization. - A Community Defender Organization shall be a non-profit defense counsel service established and administered by any group authorized by the plan to provide representation. The organization shall be eligible to furnish attorneys and receive payments under this section if its bylaws are set forth in the plan of the district or districts in which it will serve. Each organization shall submit to the Judicial Conference of the United States an annual report setting forth its activities and financial position and the anticipated caseload and expenses for the next fiscal year. Upon application an organization may, to the extent approved by the Judicial Conference of the United States: (i) receive an initial grant for expenses necessary to establish the organization; and (ii) in lieu of payments under subsection (d) or (e), receive periodic sustaining grants to provide representation and other expenses pursuant to this section. (3) Malpractice and Negligence Suits. - The Director of the Administrative Office of the United States Courts shall, to the extent the Director considers appropriate, provide representation for and hold harmless, or provide liability insurance for, any person who is an officer or employee of a Federal Public Defender Organization established under this subsection, or a Community Defender Organization established under this subsection which is receiving periodic sustaining grants, for money damages for injury, loss of liberty, loss of property, or personal injury or death arising from malpractice or negligence of any such officer or employee in furnishing representational services under this section while acting within the scope of that person's office or employment. (h) Rules and Reports. - Each district court and court of appeals of a circuit shall submit a report on the appointment of counsel within its jurisdiction to the Administrative Office of the United States Courts in such form and at such times as the Judicial Conference of the United States may specify. The Judicial Conference of the United States may, from time to time, issue rules and regulations governing the operation of plans formulated under this section. (i) Appropriations. - There are authorized to be appropriated to the United States courts, out of any money in the Treasury not otherwise appropriated, sums necessary to carry out the provisions of this section, including funds for the continuing education and training of persons providing representational services under this section. When so specified in appropriation acts, such appropriations shall remain available until expended. Payments from such appropriations shall be made under the supervision of the Director of the Administrative Office of the United States Courts. (j) Districts Included. - As used in this section, the term 'district court' means each district court of the United States created by chapter 5 of title 28, the District Court of the Virgin Islands, the District Court for the Northern Mariana Islands, and the District Court of Guam. (k) Applicability in the District of Columbia. - The provisions of this section shall apply in the United States District Court for the District of Columbia and the United States Court of Appeals for the District of Columbia Circuit. The provisions of this section shall not apply to the Superior Court of the District of Columbia and the District of Columbia Court of Appeals. -SOURCE- (Added Pub. L. 88-455, Sec. 2, Aug. 20, 1964, 78 Stat. 552, and amended Pub. L. 90-578, title III, Sec. 301(a)(1), Oct. 17, 1968, 82 Stat. 1115; Pub. L. 91-447, Sec. 1, Oct. 14, 1970, 84 Stat. 916; Pub. L. 93-412, Sec. 3, Sept. 3, 1974, 88 Stat. 1093; Pub. L. 97-164, title II, Sec. 206(a), (b), Apr. 2, 1982, 96 Stat. 53; Pub. L. 98-473, title II, Sec. 223(e), 405, 1901, Oct. 12, 1984, 98 Stat. 2028, 2067, 2185; Pub. L. 99-651, title I, Sec. 102, 103, Nov. 14, 1986, 100 Stat. 3642, 3645; Pub. L. 100-182, Sec. 19, Dec. 7, 1987, 101 Stat. 1270; Pub. L. 100-690, title VII, Sec. 7101(f), Nov. 18, 1988, 102 Stat. 4416.) -REFTEXT- REFERENCES IN TEXT The effective date of the Criminal Justice Act Revision of 1986, referred to in subsec. (d)(1), is, with qualifications, 120 days after Nov. 14, 1986. See section 105 of Pub. L. 99-651, set out below as an Effective Date of 1986 Amendment note. Section 5305 of title 5, referred to in subsec. (d)(1), was amended generally by Pub. L. 101-509, title V, Sec. 529 (title I, Sec. 101(a)(1)), Nov. 5, 1990, 104 Stat. 1427, 1436, and, as so amended, does not relate to adjustments in the rate of pay under the General Schedule. See section 5303 of Title 5, Government Organization and Employees. The provisions of title 5 governing appointments in the competitive service, referred to in subsec. (g)(2)(A), are classified to section 3301 et seq. of Title 5. -MISC2- AMENDMENTS 1988 - Subsec. (a)(1)(J). Pub. L. 100-690, Sec. 7101(f)(1), added subpar. (J). Subsec. (d)(2). Pub. L. 100-690, Sec. 7101(f)(2), inserted provisions at end to representation of offender before United States Parole Commission, and in appeal from determination of such Commission. 1987 - Subsec. (a)(1)(E) to (I). Pub. L. 100-182 added subpar. (E) and redesignated former subpars. (E) to (H) as (F) to (I), respectively. 1986 - Subsec. (a). Pub. L. 99-651, Sec. 103, made technical amendments to Pub. L. 98-473, Sec. 223(e), see 1984 Amendment note below. Pub. L. 99-651, Sec. 102(a)(1), substituted 'in accordance with this section. Representation under each plan shall include counsel and investigative, expert, and other services necessary for adequate representation. Each plan shall provide the following:' and pars. (1) to (3) for prior provisions which read as follows: '(1) who is charged with a felony or misdemeanor (other than a petty offense as defined in section 1 of this title) or with juvenile delinquency by the commission of an act which, if committed by an adult, would be such a felony or misdemeanor or with a violation of probation, (2) who is under arrest, when such representation is required by law, (3) who is subject to revocation of parole, in custody as a material witness, or seeking collateral relief, as provided in subsection (g), (4) whose mental condition is the subject of a hearing pursuant to chapter 313 of this title, or (5) for whom the Sixth Amendment to the Constitution requires the appointment of counsel or for whom, in a case in which he faces loss of liberty, any Federal law requires the appointment of counsel. Representation under each plan shall include counsel and investigative, expert, and other services necessary for an adequate defense. Each plan shall include a provision for private attorneys. The plan may include, in addition to a provision for private attorneys in a substantial proportion of cases, either of the following or both: '(1) attorneys furnished by a bar association or a legal aid agency; or '(2) attorneys furnished by a defender organization established in accordance with the provisions of subsection (h).' Subsec. (b). Pub. L. 99-651, Sec. 102(a)(2), substituted 'In every case in which a person entitled to representation under a plan approved under subsection (a)' for 'In every criminal case in which the defendant is charged with a felony or a misdemeanor (other than a petty offense as defined in section 1 of this title) or with juvenile delinquency by the commission of an act which, if committed by an adult, would be such a felony or misdemeanor or with a violation of probation and' and substituted 'person' for 'defendant' and 'persons' for 'defendants' wherever appearing. Subsec. (d)(1). Pub. L. 99-651, Sec. 102(a)(3)(A), substituted 'court, unless the Judicial Conference determines that a higher rate of not in excess of $75 per hour is justified for a circuit or for particular districts within a circuit, for time expended in court or before a United States magistrate and for time expended out of court. The Judicial Conference shall develop guidelines for determining the maximum hourly rates for each circuit in accordance with the preceding sentence, with variations by district, where appropriate, taking into account such factors as the minimum range of the prevailing hourly rates for qualified attorneys in the district in which the representation is provided and the recommendations of the judicial councils of the circuits. Not less than 3 years after the effective date of the Criminal Justice Act Revision of 1986, the Judicial Conference is authorized to raise the maximum hourly rates specified in this paragraph up to the aggregate of the overall average percentages of the adjustments in the rates of pay under the General Schedule made pursuant to section 5305 of title 5 on or after such effective date. After the rates are raised under the preceding sentence, such maximum hourly rates may be raised at intervals of not less than 1 year each, up to the aggregate of the overall average percentages of such adjustments made since the last raise was made under this paragraph. Attorneys' for 'court. Such attorney'. Subsec. (d)(2). Pub. L. 99-651, Sec. 102(a)(3)(B), substituted '$3,500' for '$2,000', '$1,000' for '$800', '$2,500' for '$2,000', and substituted provision that for any other representation required or authorized by this section, the compensation shall not exceed $750 for each attorney in each proceeding, for provision that for representation in connection with a post-trial motion made after the entry of judgment or in a probation revocation proceeding or for representation provided under subsection (g) the compensation could not exceed $500 for each attorney in each proceeding in each court. Subsec. (d)(3). Pub. L. 99-651, Sec. 102(a)(3)(C), inserted provision that the chief judge of the circuit may delegate such approval authority to an active circuit judge. Subsec. (d)(4). Pub. L. 99-651, Sec. 102(a)(3)(D), substituted 'provided representation to the person involved' for 'represented the defendant'. Subsec. (e)(1). Pub. L. 99-651, Sec. 102(a)(4)(A), substituted 'adequate representation' for 'an adequate defense'. Subsec. (e)(2). Pub. L. 99-651, Sec. 102(a)(4)(B), designated existing provisions as subpar. (A), and substituted reference to adequate representation for reference to an adequate defense, inserted exception relating to subpar. (B), increased the authorized amount for services from $150 to $300, and added subpar. (B). Subsec. (e)(3). Pub. L. 99-651, Sec. 102(a)(4)(C), substituted '$1,000' for '$300' and inserted provision that the chief judge of the circuit may delegate such approval authority to an active circuit judge. Subsec. (g). Pub. L. 99-651, Sec. 102(b)(1), redesignated subsec. (h) as (g), and struck out former subsec. (g) which provided for discretionary appointments by the court or magistrate. Subsec. (g)(2)(A), formerly (h)(2)(A). Pub. L. 99-651, Sec. 102(a)(5)(A), substituted 'in accordance with section 605 of title 28' for 'similarly as under title 28, United States Code, section 605, and subject to the conditions of that section', and after fourth sentence inserted provision authorizing the continuation in office, upon a majority vote of the judges of the court of appeals, of a Federal Public Defender whose term has expired until appointment of a successor or until one year after the expiration of such Defender's term, whichever is earlier. Subsec. (g)(2)(B), formerly (h)(2)(B). Pub. L. 99-651, Sec. 102(a)(5)(B), substituted 'for the next fiscal year' for 'for the coming year' in introductory provisions. Subsec. (g)(3), formerly (h)(3). Pub. L. 99-651, Sec. 102(a)(5)(C), added par. (3). Subsec. (h). Pub. L. 99-651, Sec. 102(b)(1), redesignated subsec. (i) as (h). Former subsec. (h) redesignated (g). Subsec. (i). Pub. L. 99-651, Sec. 102(a)(6), (b)(1), redesignated subsec. (j) as (i) and inserted provision for funding continuing education and training of persons providing representational services under this section. Former subsec. (i) redesignated (h). Subsec. (j). Pub. L. 99-651, Sec. 102(b), redesignated subsec. (k) as (j), and amended subsec. (j) generally to include the District Court for the Northern Mariana Islands. Former subsec. (j) redesignated (i). Subsecs. (k), (l). Pub. L. 99-651, Sec. 102(a)(7), (b)(1), redesignated subsec. (l) as (k) and substituted 'this section shall apply' for 'this Act, other than subsection (h) of section 1, shall apply' and 'this section shall not apply' for 'this Act shall not apply'. Former subsec. (k) redesignated (j). 1984 - Subsec. (a). Pub. L. 98-473, Sec. 405(a), added cl. (4) and redesignated former cl. (4) as (5). Subsec. (a)(1)(A). Pub. L. 98-473, Sec. 223(e)(1), as amended by Pub. L. 99-651, Sec. 103, substituted 'Class A misdemeanor' for 'misdemeanor (other than a petty offense as defined in section 1 of this title)'. Subsec. (a)(1)(E) to (I). Pub. L. 98-473, Sec. 223(e)(2), as amended by Pub. L. 99-651, Sec. 103, redesignated subpars. (F) to (I) as (E) to (H), respectively, and struck out former subpar. (E) which required that representation be provided for any financially eligible person who was entitled to appointment of counsel in parole proceedings under chapter 311 of this title. Subsec. (a)(2)(A). Pub. L. 98-473, Sec. 223(e)(3), as amended by Pub. L. 99-651, Sec. 103, substituted 'Class B or C misdemeanor, or an infraction' for 'petty offense'. Subsec. (d)(1). Pub. L. 98-473, Sec. 1901(1)-(3), substituted '$60' for '$30' and '$40' for '$20', and struck out ', or such other hourly rate, fixed by the Judicial Council of the Circuit, not to exceed the minimum hourly scale established by a bar association for similar services rendered in the district' at end of first sentence. Subsec. (d)(2). Pub. L. 98-473, Sec. 1901(4)-(6), substituted '$2,000' for '$1,000' in two places, '$800' for '$400', and '$500' for '$250'. Subsec. (g). Pub. L. 98-473, Sec. 405(b), struck out reference to section 4245 of title 18. 1982 - Subsec. (h)(2)(A). Pub. L. 97-164, Sec. 206(a), substituted 'court of appeals' for 'judicial council' wherever appearing and 'court of appeals of the circuit' for 'Judicial Council of the Circuit'. Subsec. (i). Pub. L. 97-164, Sec. 206(b), substituted 'court of appeals' for 'judicial council'. 1974 - Subsec. (l). Pub. L. 93-412 substituted 'shall apply in the United States District Court for the District of Columbia and the United States Court of Appeals for the District of Columbia Circuit. The provisions of this Act shall not apply to the Superior Court of the District of Columbia and the District of Columbia Court of Appeals', for 'shall be applicable in the District of Columbia', and struck out provisions that the plan of the District of Columbia shall be approved jointly by the Judicial Council of the District of Columbia Circuit and the District of Columbia Court of Appeals. 1970 - Subsec. (a). Pub. L. 91-447, Sec. 1(a), expanded coverage of district court plan for furnishing representation to financially disabled persons to include defendants charged with violation of probation, any person under arrest when such representation is required by law, any person who is subject to revocation of parole, in custody as a material witness, or seeking collateral relief as provided in subsec. (g) of this section, and any person for whom the Sixth Amendment to the Constitution requires appointment of counsel or for whom, in a case in which he faces loss of liberty, any Federal law requires the appointment of counsel, and required each plan to include a provision for participation by private attorneys in a substantial proportion of cases, as well as permitting attorneys to be furnished by bar, legal aid, or defender organizations in accordance with subsec. (h) of this section. Subsec. (b). Pub. L. 91-447, Sec. 1(a), provided for appointment of counsel from a bar association, legal aid agency, or defender organization as well as from a panel of attorneys approved by the court, expanded advice to defendant of right to appointment of counsel where defendant is charged with juvenile delinquency by the commission of an act which, if committed by an adult, would be a felony or misdemeanor or with violation of probation, and provided for appointment of counsel to be retroactive so as to include any representation furnished pursuant to the plan prior to appointment. Subsec. (c). Pub. L. 91-447, Sec. 1(a), expanded the scope of representation by appointed counsel to include ancillary matters appropriate to the proceedings. Subsec. (d). Pub. L. 91-447, Sec. 1(a), raised the rate of compensation not to exceed $30 per hour for time expended in court and $20 per hour for time reasonably expended out of court, increased the limit to $1,000 for each attorney in a case involving one or more alleged felonies and $400 for each attorney in a case in which one or more misdemeanors are charged, established a $1,000 maximum for each attorney in each court for cases on appeal and provided a $250 maximum for each attorney for representation in connection with a post-trial motion, probation revocation proceedings and matters covered by subsec. (g) such as parole revocation and collateral relief proceedings, provided for waiver of maximum amounts and payment in excess of those amounts for extended or complex representation upon approval of the chief judge of the circuit, provided for separate claims of compensation to be submitted to the appropriate court, thus a U.S. magistrate fixes compensation in cases before him, appellate court fixes compensation in cases before it and in all other instances claims are to be made to the district court, provided a court order granting a new trial is deemed to initiate a new case for the purpose of compensation, and facilitate appellate proceedings by allowing a defendant for whom counsel is appointed to appeal or petition for a writ of certiorari without prepayment of fees and cost of security therefore and without filing the affidavit required by section 1915(a). Subsec. (e). Pub. L. 91-447, Sec. 1(a), limited to $150, plus reasonable expenses, subject to later review and approval by the court, the cost of investigative, expert, or other services necessary for an adequate defense where these services are obtained without prior authorization because circumstances prevented counsel from securing prior court authorization, maintained existing limit on payment for authorized services at a $300 maximum but permitted waiver of that maximum if the court certifies that payment in excess of that limit is necessary to provide fair compensation, and provided that the amount of any excess payment must be approved by the chief judge of the circuit. Subsec. (f). Pub. L. 91-447, Sec. 1(a), substantially reenacted subsec. (f). Subsecs. (g) to (k). Pub. L. 91-447, Sec. 1(b), added subsecs. (g) and (h) and redesignated existing subsecs. (g) to (i) as (i) to (k), respectively. Subsec. (l). Pub. L. 91-447, Sec. 1(c), added subsec. (l). 1968 - Subsecs. (b) to (d). Pub. L. 90-578 substituted 'United States magistrate' for 'United States commissioner' wherever appearing. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1987 AMENDMENT Section 26 of Pub. L. 100-182 provided that: 'The amendments made by this Act (amending this section, sections 3553, 3561, 3563, 3564, 3583, 3663, 3672, 3742, and 4106 of this title, section 994 of Title 28, Judiciary and Judicial Procedure, and sections 504 and 1111 of Title 29, Labor, enacting provisions set out as notes under sections 3551 and 3553 of this title, rule 35 of the Federal Rules of Criminal Procedure, set out in the Appendix to this title, and section 994 of Title 28, and amending provisions set out as a note under section 3551 of this title) shall apply with respect to offenses committed after the enactment of this Act (Dec. 7, 1987).' EFFECTIVE DATE OF 1986 AMENDMENT Section 105 of title I of Pub. L. 99-651 provided that: 'This title and the amendments made by this title (amending this section and section 1825 of Title 28, Judiciary and Judicial Procedure, and enacting provisions set out as a note under this section) shall take effect one hundred and twenty days after the date of enactment of this Act (Nov. 14, 1986). The maximum hourly rates provided in section 3006A(d)(1) of title 18, United States Code, as amended by section 102(a)(3)(A) of this Act, shall apply only to services performed on or after the effective date of this title. The maximum allowed for compensation for a case, as provided in section 3006A(d)(2) of title 18, United States Code, as amended by section 102(a)(3)(B) of this Act, shall apply only to compensation claims in which some portion of the claim is for services performed on or after the effective date of this title. The maximum compensation allowed pursuant to section 3006A(e) of title 18, United States Code, as amended by subparagraphs (B) and (C) of section 102(a)(4) of this Act, shall apply only to services obtained on or after the effective date of this title.' EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 223(e) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-164 effective Oct. 1, 1982, see section 402 of Pub. L. 97-164, set out as a note under section 171 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1974 AMENDMENT Section 4 of Pub. L. 93-412 provided in part that the amendment of subsec. (l) of this section by Pub. L. 93-412 shall take effect on Sept. 3, 1974. EFFECTIVE DATE OF 1970 AMENDMENT Section 3 of Pub. L. 91-447 provided that: 'The amendments made by section 1 of this Act (amending this section) shall become effective one hundred and twenty days after the date of enactment (Oct. 14, 1970).' EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. SHORT TITLE OF 1986 AMENDMENT Section 101 of title I of Pub. L. 99-651 provided that: 'This title (amending this section and section 1825 of Title 28, Judiciary and Judicial Procedure, and enacting provisions set out as a note under this section) may be referred to as the 'Criminal Justice Act Revision of 1986'.' SHORT TITLE OF 1984 AMENDMENT Section 1901 of chapter XIX (Sec. 1901) of title II of Pub. L. 98-473 provided in part that: 'This chapter (amending this section) may be cited as the 'Criminal Justice Act Revision of 1984'.' SHORT TITLE Section 1 of Pub. L. 88-455 provided: 'That this Act (enacting this section and provisions set out as a note under this section) may be cited as the 'Criminal Justice Act of 1964.' ' SAVINGS PROVISION Section 206(c) of Pub. L. 97-164 provided that: 'The amendments made by subsection (a) of this section (amending subsec. (h)(2)(A) of this section) shall not affect the term of existing appointments.' STUDY OF FEDERAL DEFENDER PROGRAM Pub. L. 101-650, title III, Sec. 318, Dec. 1, 1990, 104 Stat. 5116, provided that: '(a) Study Required. - The Judicial Conference of the United States shall conduct a study of the Federal defender program under the Criminal Justice Act of 1964 (Pub. L. 88-455), as amended (enacting section 3006A of title 18, United States Code). '(b) Assessment of Program. - In conducting the study, the Judicial Conference shall assess the effectiveness of the Federal defender program, including the following: '(1) The impact of judicial involvement in the selection and compensation of the Federal public defenders and the independence of Federal defender organizations, including the establishment and termination of Federal defender organizations and the Federal public defender and the community defender options. '(2) Equal employment and affirmative action procedures in the various Federal defender programs. '(3) Judicial involvement in the appointment and compensation of panel attorneys and experts. '(4) Adequacy of compensation for legal services provided under the Criminal Justice Act of 1964. '(5) The quality of the Criminal Justice Act of 1964 representation. '(6) The adequacy of administrative support for defender services programs. '(7) Maximum amounts of compensation for attorneys with regard to appeals of habeas corpus proceedings. '(8) Contempt, sanctions, and malpractice representation of panel attorneys. '(9) Appointment of counsel in multidefendant cases. '(10) Early appointment of counsel in general, and prior to the pretrial services interview in particular. '(11) The method and source of payment of the fees and expenses of fact witnesses for defendants with limited funds. '(12) The provisions of services or funds to financially eligible arrested but unconvicted persons for noncustodial transportation and subsistence expenses, including food and lodging, both prior to and during judicial proceedings. '(c) Report. - No later than March 31, 1992, the Judicial Conference shall transmit to the Committees on the Judiciary of the Senate and the House of Representatives a report on the results of the study required under subsection (a). The report shall include - '(1) any recommendations for legislation that the Judicial Conference finds appropriate; '(2) a proposed formula for the compensation of Federal defender program counsel that includes an amount to cover reasonable overhead and a reasonable hourly fee; and '(3) a discussion of any procedural or operational changes that the Judicial Conference finds appropriate for implementation by the courts of the United States.' FUNDS FOR PAYMENT OF COMPENSATION AND REIMBURSEMENT Pub. L. 101-45, title II, Sec. 102, June 30, 1989, 103 Stat. 122, provided in part: 'That compensation and reimbursement of attorneys and others as authorized under section 3006A of title 18, United States Code, and section 1875(d) of title 28, United States Code, may hereinafter be paid from funds appropriated for 'Defender Services' in the year in which payment is required.' CERTIFICATION BY ATTORNEY GENERAL TO ADMINISTRATIVE OFFICE OF UNITED STATES COURTS OF PAYMENT OF OBLIGATED EXPENSES Section 5(c) of Pub. L. 95-144, Oct. 28, 1977, 91 Stat. 1222, provided that: 'The Attorney General shall certify to the Administrative Office of the United States Courts those expenses which it is obligated to pay on behalf of an indigent offender under section 3006A of title 18, United States Code, and similar statutes.' POWER AND FUNCTION OF A UNITED STATES COMMISSIONER Section 2 of Pub. L. 91-447 provided that: 'A United States commissioner (now magistrate judge) for a district may exercise any power, function, or duty authorized to be performed by a United States magistrate (now magistrate judge) under the amendments made by section 1 of this Act (amending this section) if such commissioner had authority to perform such power, function, or duty prior to the enactment of such amendments.' SUBMISSION OF PLANS Section 3 of Pub. L. 88-455 directed each district court to submit a plan in accord with section 3006A of this title and the rules of the Judicial Conference of the United States to the judicial council of the circuit within 6 months from Aug. 20, 1964, further directed each judicial council to approve and send to the Administrative Office of the United States courts a plan for each district in its circuit within 9 months from Aug. 20, 1964, and also directed each district court and court of appeals to place its approved plan in operation within 1 year from Aug. 20, 1964. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3162, 4109, 4247 of this title; title 28 sections 753, 1825, 1875; title 48 section 1694c. ------DocID 24611 Document 853 of 1438------ -CITE- 18 USC Sec. 3007 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3007. Motions - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Motions substituted for pleas in abatement and special pleas in bar, rule 12. Form and contents, rule 47. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 814.) ------DocID 24612 Document 854 of 1438------ -CITE- 18 USC Sec. 3008 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3008. Service and filing of papers - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Requirement and manner of service; notice of orders; filing papers, rule 49. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 815.) ------DocID 24613 Document 855 of 1438------ -CITE- 18 USC Sec. 3009 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3009. Records - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Keeping of records by district court clerks and magistrates, rule 55. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 815; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(4), 82 Stat. 1115.) -MISC1- AMENDMENTS 1968 - Pub. L. 90-578 substituted 'magistrates' for 'commissioners'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24614 Document 856 of 1438------ -CITE- 18 USC Sec. 3010 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3010. Exceptions unnecessary - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Objections substituted for exceptions, rule 51. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 815.) ------DocID 24615 Document 857 of 1438------ -CITE- 18 USC Sec. 3011 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3011. Computation of time - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Computation: enlargement; expiration of term; motions and affidavits; service by mail, rule 45. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 815.) ------DocID 24616 Document 858 of 1438------ -CITE- 18 USC Sec. 3012 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- (Sec. 3012. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(2), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this section is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Prior to repeal, this section read as follows: Sec. 3012. Orders respecting persons in custody Prisoners or persons in custody shall be brought into court or returned on order of the Court or of the United States Attorney, for which no fee shall be charged and no writ required. (June 25, 1948, ch. 645, 62 Stat. 815.) ------DocID 24617 Document 859 of 1438------ -CITE- 18 USC Sec. 3013 -EXPCITE- TITLE 18 PART II CHAPTER 201 -HEAD- Sec. 3013. Special assessment on convicted persons -STATUTE- (a) The court shall assess on any person convicted of an offense against the United States - (1) in the case of an infraction or a misdemeanor - (A) if the defendant is an individual - (i) the amount of $5 in the case of an infraction or a class C misdemeanor; (ii) the amount of $10 in the case of a class B misdemeanor; and (iii) the amount of $25 in the case of a class A misdemeanor; and (B) if the defendant is a person other than an individual - (i) the amount of $25 in the case of an infraction or a class C misdemeanor; (ii) the amount of $50 in the case of a class B misdemeanor; and (iii) the amount of $125 in the case of a class A misdemeanor; (2) in the case of a felony - (A) the amount of $50 if the defendant is an individual; and (B) the amount of $200 if the defendant is a person other than an individual. (b) Such amount so assessed shall be collected in the manner that fines are collected in criminal cases. (c) The obligation to pay an assessment ceases five years after the date of the judgment. This subsection shall apply to all assessments irrespective of the date of imposition. (d) For the purposes of this section, an offense under section 13 of this title is an offense against the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1405(a), Oct. 12, 1984, 98 Stat. 2174, and amended Pub. L. 100-185, Sec. 3, Dec. 11, 1987, 101 Stat. 1279; Pub. L. 100-690, title VII, Sec. 7082(b), 7085, Nov. 18, 1988, 102 Stat. 4407, 4408; Pub. L. 101-647, title XXXV, Sec. 3569, Nov. 29, 1990, 104 Stat. 4928.) -MISC1- AMENDMENTS 1990 - Subsec. (a)(1)(B). Pub. L. 101-647 substituted 'an infraction' for 'a infraction' in cl. (i) and a semicolon for a period at end of cl. (iii). 1988 - Subsec. (a)(1). Pub. L. 100-690, Sec. 7085, amended par. (1) generally. Prior to amendment, par. (1) read as follows: 'in the case of a misdemeanor - '(A) the amount of $25 if the defendant is an individual; and '(B) the amount of $100 if the defendant is a person other than an individual; and'. Subsec. (c). Pub. L. 100-690, Sec. 7082(b), inserted at end 'This subsection shall apply to all assessments irrespective of the date of imposition.' 1987 - Subsecs. (c), (d). Pub. L. 100-185 added subsecs. (c) and (d). EFFECTIVE DATE Section effective 30 days after Oct. 12, 1984, see section 1409(a) of Pub. L. 98-473, set out as a note under section 10601 of Title 42, The Public Health and Welfare. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 42 section 10601. ------DocID 24618 Document 860 of 1438------ -CITE- 18 USC CHAPTER 203 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- CHAPTER 203 - ARREST AND COMMITMENT -MISC1- Sec. 3041. Power of courts and magistrates. 3042. Extraterritorial jurisdiction. 3043. Repealed. 3044. Complaint - Rule. 3045. Internal revenue violations. 3046. Warrants or summons - Rule. (FOOTNOTE 1) (FOOTNOTE 1) So in original. Does not conform to section catchline. 3047. Multiple warrants unnecessary. 3048. Commitment to another district; removal - Rule. 3049. Warrant for removal. 3050. Bureau of Prisons employees' powers. (3051. Repealed.) 3052. Powers of Federal Bureau of Investigation. 3053. Powers of marshals and deputies. (3054. Repealed.) 3055. Officers' powers to suppress Indian liquor traffic. 3056. Powers, authorities, and duties of United States Secret Service. 3057. Bankruptcy investigations. 3058. Interned belligerent nationals. 3059. Rewards and appropriations therefor. 3059A. Special rewards for information relating to certain financial institution offenses (FOOTNOTE 2) (FOOTNOTE 2) So in original. Probably should be followed by a period. 3060. Preliminary examination. 3061. Investigative powers of Postal Service personnel. 3062. General arrest authority for violation of release conditions. 3063. Powers of Environmental Protection Agency. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3570, Nov. 29, 1990, 104 Stat. 4928, struck out item 3054 'Officer's powers involving animals and birds'. Pub. L. 101-647, title XXV, Sec. 2587(b), Nov. 29, 1990, 104 Stat. 4905, which directed amendment of the chapter heading for chapter 203 by inserting item 3059A after item 3059, was executed to the chapter analysis for chapter 203 as the probable intent of Congress. 1988 - Pub. L. 100-582, Sec. 4(b), Nov. 1, 1988, 102 Stat. 2959, added item 3063. Pub. L. 100-690, title VI, Sec. 6251(b), Nov. 18, 1988, 102 Stat. 4362, substituted 'Investigative powers of Postal Service personnel' for 'Powers of postal personnel' in item 3061. 1984 - Pub. L. 98-587, Sec. 1(b), Oct. 30, 1984, 98 Stat. 3111, substituted 'Powers, authorities, and duties of United States Secret Service' for 'Secret Service powers' in item 3056. Pub. L. 98-473, title II, Sec. 204(e), Oct. 12, 1984, 98 Stat. 1986, substituted 'Repealed' for 'Security of the peace and good behavior' in item 3043 and added item 3062. 1970 - Pub. L. 91-375, Sec. 6(j)(38)(B), Aug. 12, 1970, 84 Stat. 782, substituted 'postal personnel' for 'postal inspectors' in item 3061. 1968 - Pub. L. 90-578, title III, Sec. 303(b), Oct. 17, 1968, 82 Stat. 1118, struck out reference to 'Rule' in item 3060. Pub. L. 90-560, Sec. 5(b), Oct. 12, 1968, 82 Stat. 998, added item 3061. 1951 - Act Oct. 31, 1951, ch. 655, Sec. 56(f), 65 Stat. 729, struck out item 3051 'Extradition agent's powers'. ------DocID 24619 Document 861 of 1438------ -CITE- 18 USC Sec. 3041 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3041. Power of courts and magistrates -STATUTE- For any offense against the United States, the offender may, by any justice or judge of the United States, or by any United States magistrate, or by any chancellor, judge of a supreme or superior court, chief or first judge of the common pleas, mayor of a city, justice of the peace, or other magistrate, of any state where the offender may be found, and at the expense of the United States, be arrested and imprisoned or released as provided in chapter 207 of this title, as the case may be, for trial before such court of the United States as by law has cognizance of the offense. Copies of the process shall be returned as speedily as may be into the office of the clerk of such court, together with the recognizances of the witnesses for their appearances to testify in the case. A United States judge or magistrate shall proceed under this section according to rules promulgated by the Supreme Court of the United States. Any state judge or magistrate acting hereunder may proceed according to the usual mode of procedure of his state but his acts and orders shall have no effect beyond determining, pursuant to the provisions of section 3142 of this title, whether to detain or conditionally release the prisoner prior to trial or to discharge him from arrest. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 815; June 22, 1966, Pub. L. 89-465, Sec. 5(a), 80 Stat. 217; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(1), (3), 82 Stat. 1115; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 204(a), 98 Stat. 1985.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 591 (R.S. Sec. 1014; May 28, 1896, ch. 252, Sec. 19, 29 Stat. 184; Mar. 2, 1901, ch. 814, 31 Stat. 956). This section was completely rewritten to omit all provisions superseded by Federal Rules of Criminal Procedure, rules 3, 4, 5, 40 and 54(a) which prescribed the procedure for preliminary proceedings and examinations before United States judges and commissioners and for removal proceedings but not for preliminary examinations before State magistrates. AMENDMENTS 1984 - Pub. L. 98-473 substituted 'determining, pursuant to the provisions of section 3142 of this title, whether to detain or conditionally release the prisoner prior to trial' for 'determining to hold the prisoner for trial'. 1968 - Pub. L. 90-578 substituted 'United States magistrate' and 'magistrate' for 'United States commissioner' and 'commissioner', respectively. 1966 - Pub. L. 89-465 substituted 'or released as provided in chapter 207 of this title' for 'or bailed'. -CHANGE- CHANGE OF NAME Reference to United States magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1966 AMENDMENT Amendment by Pub. L. 89-465 effective ninety days after June 22, 1966, see section 6 of Pub. L. 89-465, set out as an Effective Date note under section 3146 of this title. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Commitment to another district; removal, see rule 40, Appendix to this title. Complaint, see rule 3. Criminal contempt, admission to bail, see rule 42. Custody or bail, continuation pending filing of new indictment or information, see rule 12. Detained witness, direction for taking deposition, see rule 15. Proceedings before United States magistrate judges, see rule 5. Release from custody, see rule 46. Secrecy of indictment pending defendant's custody or release pending trial, see rule 6. Stay of execution and relief pending review, see rule 38. Transmission of bail when transfer ordered from the district or division for trial, see rule 21. Warrant or summons upon complaint, see rule 4. Warrant or summons upon indictment or information, see rule 9. CROSS REFERENCES Arrests - Searches and seizures, issuance of warrant, see Const. Amend. 4. Senators and Representatives as privileged from arrest in all cases, except treason, felony and breach of the peace, during their attendance at the session of their respective Houses, and in going to and returning from the same, see Const. Art. 1, Sec. 6. Extraterritorial jurisdiction, generally, see section 3042 of this title. Jurisdiction and venue, see section 3231 et seq. of this title. Magistrate judges, power to impose conditions of release, see section 636 of Title 28, Judiciary and Judicial Procedure. Release and detention pending judicial proceedings, see section 3141 et seq. of this title - Appeal by United States, see section 3731 of this title. Excessive bail shall not be required, see Const. Amend. 8. Obstructing justice by false bail, see section 1506 of this title. United States defined, see section 5 of this title. United States magistrate judges, see section 631 et seq. of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3042, 3141, 3152, 3156 of this title; title 16 section 916g; title 26 section 5557. ------DocID 24620 Document 862 of 1438------ -CITE- 18 USC Sec. 3042 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3042. Extraterritorial jurisdiction -STATUTE- Section 3041 of this title shall apply in any country where the United States exercises extraterritorial jurisdiction for the arrest and removal therefrom to the United States of any citizen or national of the United States who is a fugitive from justice charged with or convicted of the commission of any offense against the United States, and shall also apply throughout the United States for the arrest and removal therefrom to the jurisdiction of any officer or representative of the United States vested with judicial authority in any country in which the United States exercises extraterritorial jurisdiction, of any citizen or national of the United States who is a fugitive from justice charged with or convicted of the commission of any offense against the United States in any country where it exercises extraterritorial jurisdiction. Such fugitive first mentioned may, by any officer or representative of the United States vested with judicial authority in any country in which the United States exercises extraterritorial jurisdiction and agreeably to the usual mode of process against offenders subject to such jurisdiction, be arrested and detained or conditionally released pursuant to section 3142 of this title, as the case may be, pending the issuance of a warrant for his removal, which warrant the principal officer or representative of the United States vested with judicial authority in the country where the fugitive shall be found shall seasonably issue, and the United States marshal or corresponding officer shall execute. Such marshal or other officer, or the deputies of such marshal or officer, when engaged in executing such warrant without the jurisdiction of the court to which they are attached, shall have all the powers of a marshal of the United States so far as such powers are requisite for the prisoner's safekeeping and the execution of the warrant. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 815; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 204(b), 98 Stat. 1985.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 662b (Mar. 22, 1934, ch. 73, Sec. 1, 48 Stat. 454). Words 'crime or' before 'offense' were omitted as unnecessary. Words 'and the Philippine Islands' were deleted in two places as obsolete in view of the independence of the Commonwealth of the Philippines effective July 4, 1946. Words 'its Territories, Districts, or possessions, including the Panama Canal Zone or any other territory governed, occupied, or controlled by it' were omitted as covered by section 5 of this title defining the term 'United States'. Minor changes were made in phraseology. AMENDMENTS 1984 - Pub. L. 98-473 substituted 'detained or conditionally released pursuant to section 3142 of this title' for 'imprisoned or admitted to bail'. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Non-application to extradition proceedings, see rule 54, Appendix to this title. CROSS REFERENCES Habeas corpus, no right of appeal from final order in a proceeding to test the validity of a warrant of removal issued pursuant to this section, see section 2253 of Title 28, Judiciary and Judicial Procedure. Provisional arrest, obtained by telegraph, see section 3187 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 3187 of this title. ------DocID 24621 Document 863 of 1438------ -CITE- 18 USC Sec. 3043 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- (Sec. 3043. Repealed. Pub. L. 98-473, title II, Sec. 204(c), Oct. 12, 1984, 98 Stat. 1986) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 816; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(2), 82 Stat. 1115, related to authority of justices, judges, and magistrates to hold to security of the peace and for good behavior. See section 3142 of this title. ------DocID 24622 Document 864 of 1438------ -CITE- 18 USC Sec. 3044 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3044. Complaint - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Contents of complaint; oath, Rule 3. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 816.) ------DocID 24623 Document 865 of 1438------ -CITE- 18 USC Sec. 3045 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3045. Internal revenue violations -STATUTE- Warrants of arrest for violations of internal revenue laws may be issued by United States magistrates upon the complaint of a United States attorney, assistant United States attorney, collector, or deputy collector of internal revenue or revenue agent, or private citizen; but no such warrant of arrest shall be issued upon the complaint of a private citizen unless first approved in writing by a United States attorney. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 816; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(2), 82 Stat. 1115.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 594 (May 28, 1896, ch. 252, Sec. 19, 29 Stat. 184; Mar. 2, 1901, ch. 814, 31 Stat. 956). Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The internal revenue laws, referred to in text, are classified generally to Title 26, Internal Revenue Code. -MISC2- AMENDMENTS 1968 - Pub. L. 90-578 substituted 'United States magistrates' for 'United States commissioners'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -TRANS- ABOLITION OF OFFICES OF COLLECTOR AND DEPUTY COLLECTOR OF INTERNAL REVENUE Offices of Collector and Deputy Collector of Internal Revenue abolished by Reorg. Plan No. 1 of 1952, Sec. 1, eff. Mar. 14, 1952, 17 F.R. 2243, 66 Stat. 823, set out in the Appendix to Title 5, Government Organization and Employees, and the offices of 'district commissioner of internal revenue', and so many other offices, with titles to be determined by Secretary of the Treasury, were established by section 2(a) of the Plan. ------DocID 24624 Document 866 of 1438------ -CITE- 18 USC Sec. 3046 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3046. Warrant or summons - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Issuance upon complaint, Rule 4. Issuance upon indictment, Rule 9. Summons on request of government; form; contents; service; return, Rules 4, 9. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 816.) ------DocID 24625 Document 867 of 1438------ -CITE- 18 USC Sec. 3047 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3047. Multiple warrants unnecessary -STATUTE- When two or more charges are made, or two or more indictments are found against any person, only one writ or warrant shall be necessary to commit him for trial. It shall be sufficient to state in the writ the name or general character of the offenses, or to refer to them only in general terms. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 816.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 602 (R.S. Sec. 1027). Minor changes were made in phraseology. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Warrants and summonses generally, see rules 4 and 9, Appendix to this title. ------DocID 24626 Document 868 of 1438------ -CITE- 18 USC Sec. 3048 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3048. Commitment to another district; removal - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Arrest in nearby or distant districts; informative statement by judge or magistrate; hearing and removal; warrant; Rule 40. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 817; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(3), 82 Stat. 1115.) -MISC1- AMENDMENTS 1968 - Pub. L. 90-578 substituted 'magistrate' for 'commissioner'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24627 Document 869 of 1438------ -CITE- 18 USC Sec. 3049 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3049. Warrant for removal -STATUTE- Only one writ or warrant is necessary to remove a prisoner from one district to another. One copy thereof may be delivered to the sheriff or jailer from whose custody the prisoner is taken, and another to the sheriff or jailer to whose custody he is committed, and the original writ, with the marshal's return thereon, shall be returned to the clerk of the district to which he is removed. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 817.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 604 (R.S. Sec. 1029). ------DocID 24628 Document 870 of 1438------ -CITE- 18 USC Sec. 3050 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3050. Bureau of Prisons employees' powers -STATUTE- An officer or employee of the Bureau of Prisons may - (1) make arrests on or off of Bureau of Prisons property without warrant for violations of the following provisions regardless of where the violation may occur: sections 111 (assaulting officers), 751 (escape), and 752 (assisting escape) of title 18, United States Code, and section 1826(c) (escape) of title 28, United States Code; (2) make arrests on Bureau of Prisons premises or reservation land of a penal, detention, or correctional facility without warrant for violations occurring thereon of the following provisions: sections 661 (theft), 1361 (depredation of property), 1363 (destruction of property), 1791 (contraband), 1792 (mutiny and riot), and 1793 (trespass) of title 18, United States Code; and (3) arrest without warrant for any other offense described in title 18 or 21 of the United States Code, if committed on the premises or reservation of a penal or correctional facility of the Bureau of Prisons if necessary to safeguard security, good order, or government property; if such officer or employee has reasonable grounds to believe that the arrested person is guilty of such offense, and if there is likelihood of such person's escaping before an arrest warrant can be obtained. If the arrested person is a fugitive from custody, such prisoner shall be returned to custody. Officers and employees of the said Bureau of Prisons may carry firearms under such rules and regulations as the Attorney General may prescribe. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 817; Nov. 10, 1986, Pub. L. 99-646, Sec. 65, 100 Stat. 3615.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753k (June 29, 1940, ch. 449, Sec. 5, 54 Stat. 693). Section was broadened to include authority to make arrests for mutiny, riot or traffic in dangerous instrumentalities, by reference to section 1792 of this title. Minor changes were made in phraseology and provision for taking arrested person before magistrate was omitted as covered by rule 5(a) of the Federal Rules of Criminal Procedure. AMENDMENTS 1986 - Pub. L. 99-646 amended first sentence generally and substituted 'such prisoner' for 'he' in second sentence. Prior to amendment, first sentence read as follows: 'An officer or employee of the Bureau of Prisons of the Department of Justice may make arrests without warrant for violations of any of the provisions of sections 751, 752, 1791, or 1792 of this title, if he has reasonable grounds to believe that the arrested person is guilty of such offense, and if there is likelihood of his escaping before a warrant can be obtained for his arrest.' -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. ------DocID 24629 Document 871 of 1438------ -CITE- 18 USC Sec. 3051 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- (Sec. 3051. Repealed. Oct. 31, 1951, ch. 655, Sec. 56(f), 65 Stat. 729) -MISC1- Section, act June 25, 1948, ch. 645, Sec. 1, 62 Stat. 817, related to powers of extradition agents. Substantially identical provisions are contained in section 3193 of this title. SAVINGS PROVISION Subsec. (l) of section 56 of act Oct. 31, 1951, ch. 655, 65 Stat. 730, provided that the repeal of this section should not affect any rights or liabilities existing hereunder on the effective date of the repeal (Oct. 31, 1951). ------DocID 24630 Document 872 of 1438------ -CITE- 18 USC Sec. 3052 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3052. Powers of Federal Bureau of Investigation -STATUTE- The Director, Associate Director, Assistant to the Director, Assistant Directors, inspectors, and agents of the Federal Bureau of Investigation of the Department of Justice may carry firearms, serve warrants and subpoenas issued under the authority of the United States and make arrests without warrant for any offense against the United States committed in their presence, or for any felony cognizable under the laws of the United States if they have reasonable grounds to believe that the person to be arrested has committed or is committing such felony. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 817; Jan. 10, 1951, ch. 1221, Sec. 1, 64 Stat. 1239.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 300a of title 5, U.S.C., 1940 ed., Executive Departments and Government Officers and Employees (June 18, 1934, ch. 595, 48 Stat. 1008; Mar. 22, 1935, ch. 39, title II, 49 Stat. 77). Language relating to seizures under warrant is in section 3107 of this title. Minor changes were made in phraseology particularly with respect to omission of provision covered by rule 5(a) of Federal Rules of Criminal Procedure. AMENDMENTS 1951 - Act Jan. 10, 1951, allowed F. B. I. personnel to make arrests without a warrant for any offense against the United States committed in their presence. -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES Federal Bureau of Investigation generally, see section 531 et seq. of Title 28, Judiciary and Judicial Procedure. ------DocID 24631 Document 873 of 1438------ -CITE- 18 USC Sec. 3053 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3053. Powers of marshals and deputies -STATUTE- United States marshals and their deputies may carry firearms and may make arrests without warrant for any offense against the United States committed in their presence, or for any felony cognizable under the laws of the United States if they have reasonable grounds to believe that the person to be arrested has committed or is committing such felony. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 817.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 504a of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 15, 1935, ch. 259, Sec. 2, 49 Stat. 378). Minor changes were made in phraseology. -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. -CROSS- CROSS REFERENCES United States marshals generally, see section 561 et seq. of Title 28, Judiciary and Judicial Procedure. ------DocID 24632 Document 874 of 1438------ -CITE- 18 USC Sec. 3054 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- (Sec. 3054. Repealed. Pub. L. 97-79, Sec. 9(b)(3), Nov. 16, 1981, 95 Stat. 1079) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 817; Dec. 5, 1969, Pub. L. 91-135, Sec. 7(b), 83 Stat. 281, provided for an officer's power to act in enforcing sections 42, 43, and 44 of this title relating to animals and birds. See section 3375 of Title 16, Conservation. ------DocID 24633 Document 875 of 1438------ -CITE- 18 USC Sec. 3055 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3055. Officers' powers to suppress Indian liquor traffic -STATUTE- The chief special officer for the suppression of the liquor traffic among Indians and duly authorized officers working under his supervision whose appointments are made or affirmed by the Commissioner of Indian Affairs or the Secretary of the Interior may execute all warrants of arrest and other lawful precepts issued under the authority of the United States and in the execution of his duty he may command all necessary assistance. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 817.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 250 of title 25, U.S.C., 1940 ed., Indians (Aug. 24, 1912, ch. 388, Sec. 1, 37 Stat. 519). The only change was to delete the words at the beginning of the section, 'The powers conferred by section 504 of title 28 upon marshals and their deputies are conferred upon.' and the addition, at the end of the section, of the phrase expressing such powers beginning with the words 'may execute all warrants'. ------DocID 24634 Document 876 of 1438------ -CITE- 18 USC Sec. 3056 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3056. Powers, authorities, and duties of United States Secret Service -STATUTE- (a) Under the direction of the Secretary of the Treasury, the United States Secret Service is authorized to protect the following persons: (1) The President, the Vice President (or other officer next in the order of succession to the Office of President), the President-elect, and the Vice President-elect. (2) The immediate families of those individuals listed in paragraph (1). (3) Former Presidents and their spouses for their lifetimes, except that protection of a spouse shall terminate in the event of remarriage. (4) Children of a former President who are under 16 years of age. (5) Visiting heads of foreign states or foreign governments. (6) Other distinguished foreign visitors to the United States and official representatives of the United States performing special missions abroad when the President directs that such protection be provided. (7) Major Presidential and Vice Presidential candidates and, within 120 days of the general Presidential election, the spouses of such candidates. As used in this paragraph, the term 'major Presidential and Vice Presidential candidates' means those individuals identified as such by the Secretary of the Treasury after consultation with an advisory committee consisting of the Speaker of the House of Representatives, the minority leader of the House of Representatives, the majority and minority leaders of the Senate, and one additional member selected by the other members of the committee. The protection authorized in paragraphs (2) through (7) may be declined. (b) Under the direction of the Secretary of the Treasury, the Secret Service is authorized to detect and arrest any person who violates - (1) section 508, 509, 510, 871, or 879 of this title or, with respect to the Federal Deposit Insurance Corporation, Federal land banks, and Federal land bank associations, section 213, 216, (FOOTNOTE 1) 433, 493, 657, 709, 1006, 1007, 1011, 1013, 1014, 1907, or 1909 of this title; (FOOTNOTE 1) See References in Text note below. (2) any of the laws of the United States relating to coins, obligations, and securities of the United States and of foreign governments; or (3) any of the laws of the United States relating to electronic fund transfer frauds, credit and debit card frauds, and false identification documents or devices; except that the authority conferred by this paragraph shall be exercised subject to the agreement of the Attorney General and the Secretary of the Treasury and shall not affect the authority of any other Federal law enforcement agency with respect to those laws. (c)(1) Under the direction of the Secretary of the Treasury, officers and agents of the Secret Service are authorized to - (A) execute warrants issued under the laws of the United States; (B) carry firearms; (C) make arrests without warrant for any offense against the United States committed in their presence, or for any felony cognizable under the laws of the United States if they have reasonable grounds to believe that the person to be arrested has committed or is committing such felony; (D) offer and pay rewards for services and information leading to the apprehension of persons involved in the violation or potential violation of those provisions of law which the Secret Service is authorized to enforce; (E) pay expenses for unforeseen emergencies of a confidential nature under the direction of the Secretary of the Treasury and accounted for solely on the Secretary's certificate; and (F) perform such other functions and duties as are authorized by law. (2) Funds expended from appropriations available to the Secret Service for the purchase of counterfeits and subsequently recovered shall be reimbursed to the appropriations available to the Secret Service at the time of the reimbursement. (d) Whoever knowingly and willfully obstructs, resists, or interferes with a Federal law enforcement agent engaged in the performance of the protective functions authorized by this section or by section 1752 of this title shall be fined not more than $1,000 or imprisoned not more than one year, or both. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 818; July 16, 1951, ch. 226, Sec. 4, 65 Stat. 122; Aug. 31, 1954, ch. 1143, Sec. 2, 68 Stat. 999; Aug. 18, 1959, Pub. L. 86-168, title I, Sec. 104(h), 73 Stat. 387; Oct. 10, 1962, Pub. L. 87-791, 76 Stat. 809; Oct. 15, 1962, Pub. L. 87-829, Sec. 3, 76 Stat. 956; Sept. 15, 1965, Pub. L. 89-186, 79 Stat. 791; Sept. 29, 1965, Pub. L. 89-218, 79 Stat. 890; Oct. 21, 1968, Pub. L. 90-608, ch. XI, Sec. 1101, 82 Stat. 1198; Jan. 2, 1971, Pub. L. 91-644, title V, Sec. 19, 84 Stat. 1892; Jan. 5, 1971, Pub. L. 91-651, Sec. 4, 84 Stat. 1941; July 12, 1974, Pub. L. 93-346, Sec. 8, as added Dec. 27, 1974, Pub. L. 93-552, title VI, Sec. 609(a), 88 Stat. 1765; Sept. 11, 1976, Pub. L. 94-408, Sec. 2, 90 Stat. 1239; Oct. 12, 1982, Pub. L. 97-297, Sec. 3, 96 Stat. 1318; Oct. 14, 1982, Pub. L. 97-308, Sec. 2, 96 Stat. 1452; Nov. 14, 1983, Pub. L. 98-151, Sec. 115(b), 97 Stat. 977; Oct. 30, 1984, Pub. L. 98-587, Sec. 1(a), 98 Stat. 3110.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 148, and on sections 264(x) and 986 of title 12, U.S.C., 1940 ed., Banks and Banking (Dec. 23, 1913, ch. 6, Sec. 12B, subsection (x), as added June 16, 1933, ch. 89, Sec. 8, 48 Stat. 178; July 17, 1916, ch. 245, Sec. 31, sixth paragraph, 39 Stat. 382 (384); Dec. 11, 1926, ch. 2, Sec. 3, 44 Stat. 918; Aug. 23, 1935, ch. 614, Sec. 101, 49 Stat. 684, 703). Section consolidates said section 148 of title 18, U.S.C., 1940 ed., and said sections 264(x) and 986 of title 12, U.S.C., 1940 ed., Banks and Banking. Said section 148 of title 12, U.S.C., 1940 ed., Banks and Banking, was concerned with offenses relating to counterfeiting and passing, etc., of transportation requests and to the unlawful possession or making of plates, stones, etc., used in making such requests, which were defined in sections 146 and 147 of said title 18, now sections 508 and 509 of this title. Said sections 264(x) and 986 of title 12, U.S.C., 1940 ed., Banks and Banking, were concerned with various offenses as defined in sections 981-985, 987 of said title 12, relating to Federal land banks, joint-stock land banks and national farm loan associations, and as defined in section 264 of said title 12 relating to the Federal Deposit Insurance Corporation. All of the provisions of said sections 981-985, 987 of said title 12, and the criminal provisions of said section 264 of said title 12, were transferred to this title where they were, in some instances, consolidated with similar provisions from other sections. Such provisions are now incorporated in sections 218, 221, 433, 493, 657, 709, 1006, 1007, 1011, 1013, 1014, 1907, and 1909 of this title. In most instances, these sections, as the result of the consolidations, relate to other organizations as well as those mentioned above, but, by enumerating the Federal Deposit Insurance Corporation, Federal land banks, joint-stock land banks, and national farm loan associations in this section, the powers of the Secret Service are not broadened beyond what they were in said sections 264(x) and 986 of said title 12. In this section, the wording of said section 148 of title 18, U.S.C., 1940 ed., and section 986 of title 12, U.S.C., 1940 ed., Banks and Banking reading 'The Secretary of the Treasury is hereby authorized to direct and use the Secret Service Division of the Treasury Department' was adopted, rather than the wording of said section 264(x) of said title 12, which read 'The Secret Service Division of the Treasury Department is authorized.' Words 'of the United States marshal having jurisdiction', following 'custody' in all three of said sections, were omitted as surplusage. Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT Section 216 of this title, referred to in subsec. (b)(1), was repealed by Pub. L. 98-473, title II, Sec. 1107(b), Oct. 12, 1984, 98 Stat. 2146. -MISC2- AMENDMENTS 1984 - Pub. L. 98-587 amended section generally, providing authority for the Secret Service to conduct criminal investigations of, make arrests in, and present for prosecutorial consideration, cases relating to electronic fund transfer frauds, and providing the Secret Service with authority to conduct investigations and make arrests relating to credit and debit card frauds, and false identification documents and devices, to be exercised subject to the agreement of the Attorney General and the Secretary of the Treasury. 1983 - Subsec. (a). Pub. L. 98-151 inserted reference to section 510 of this section in fifth clause. 1982 - Subsec. (a). Pub. L. 97-297, Sec. 3(1), substituted '871, and 879 of this title' for 'and 871 of this title'. Pub. L. 97-297, Sec. 3(2), substituted 'and Federal land bank associations are concerned, of sections 213, 216' for ', joint-stock land banks and Federal land bank associations are concerned, of sections 218, 221'. Subsec. (b). Pub. L. 97-308 increased the limitation on fines to $1,000 from $300. 1976 - Subsec. (a). Pub. L. 94-408 substituted ', and the members of their immediate families unless the members decline such protection;' for '; protect the members of the immediate family of the Vice-President, unless such protection is declined;'. Subsec. (b). Pub. L. 94-408 inserted reference to other Federal law enforcement agents. 1974 - Subsec. (a). Pub. L. 93-552 inserted provisions relating to the protection of the immediate family of the Vice President unless declined, and the payment of expenses for unforeseen emergencies of a confidential nature under the direction of the Secretary of the Treasury and accounted for solely on his certificate. 1971 - Pub. L. 91-651 authorized the Secret Service to protect the person of a visiting head of a foreign state or foreign government and, at the direction of the President, other distinguished foreign visitors to the United States and official representatives of the United States performing special missions abroad, and substituted 'Director, Deputy Director, Assistant Directors, Assistants to the Director' for 'Chief, Deputy Chief, Assistant Chief'. Pub. L. 91-644 designated existing provisions as subsec. (a) and added subsec. (b). 1968 - Pub. L. 90-608 substituted the death or remarriage of a former President's widow and the attainment by his minor children of age 16 for the passage of a period of four years after he leaves or dies in office as the events terminating Secret Service protection for the widow and minor children, respectively, of a former President. 1965 - Pub. L. 89-218 authorized the Chief, Deputy Chief, Assistant Chief, inspectors, and agents of the Secret Service to make arrests without warrant for offenses committed against the United States in their presence or for any felony cognizable under the laws of the United States if they have reasonable grounds to believe that the person to be arrested has committed or is committing the felony and substituted '508, 509, and 871' for '508 and 509'. Pub. L. 89-186 substituted provision for the protection of the person of a former President and his wife during his lifetime and the person of a widow and minor children of a former President for a period of four years after he leaves or dies in office, unless the protection is declined, for provision calling for the protection of a former President, at his request, for a reasonable period after he leaves office. 1962 - Pub. L. 87-829 authorized the protection of the Vice President, without requiring his request therefor, and any officer next in the order of succession to the office of President, the Vice-President-elect, and of a former president, at his request, for a reasonable period after he leaves office. Pub. L. 87-791 required moneys expended from Secret Service appropriations for the purchase of counterfeits and subsequently recovered to be reimbursed to the appropriation current at the time of deposit. 1959 - Pub. L. 86-168 substituted 'Federal land bank associations' for 'national farm loan associations'. 1954 - Act Aug. 31, 1954, struck out 'detect, and arrest any person violating any laws of the United States directly concerning official matters administered by and under the direct control of the Treasury Department'. 1951 - Act July 16, 1951, provided basic authority for the Secret Service to perform certain functions and activities heretofore carried out by virtue of authority contained in appropriation acts. EFFECTIVE DATE OF 1974 AMENDMENT Amendment by Pub. L. 93-552 effective July 12, 1974, see section 609(b) of Pub. L. 93-552, set out as a note under section 202 of Title 3, The President. EFFECTIVE DATE OF 1959 AMENDMENT Amendment by Pub. L. 86-168 effective Dec. 31, 1959, see section 104(k) of Pub. L. 86-168. FORMER VICE PRESIDENT OR SPOUSE; PROTECTION Pub. L. 96-503, Dec. 5, 1980, 94 Stat. 2740, provided: 'That the United States Secret Service, in addition to other duties now provided by law, is authorized to furnish protection to (a) the person occupying the Office of Vice President of the United States immediately preceding January 20, 1981, or (b) his spouse, if the President determines that such person may thereafter be in significant danger: Provided, however, That protection of any such person shall continue only for such period as the President determines and shall not continue beyond July 20, 1981, unless otherwise permitted by law.' SECRET SERVICE PROTECTION OF FORMER FEDERAL OFFICIALS Pub. L. 95-1, Jan. 19, 1977, 91 Stat. 3, provided: 'That the United States Secret Service, in addition to other duties now provided by law, is authorized to furnish protection to a person who (a) as a Federal Government official has been receiving protection by the United States Secret Service for a period immediately preceding January 20, 1977, or (b) as a member of such official's immediate family has been receiving protection by either the United States Secret Service or other security personnel of the official's department immediately preceding January 20, 1977, if the President determines that such person may thereafter be in significant danger: Provided, however, That protection of any such person shall continue only for such period as the President determines and shall not continue beyond July 20, 1977, unless otherwise permitted by law.' PRESIDENTIAL PROTECTION ASSISTANCE ACT OF 1976 Pub. L. 94-524, Oct. 17, 1976, 90 Stat. 2475, as amended by Pub. L. 99-190, Sec. 143, Dec. 19, 1985, 99 Stat. 1324; Pub. L. 101-136, title V, Sec. 527, Nov. 3, 1989, 103 Stat. 815; Pub. L. 101-509, title V, Sec. 531(a), Nov. 5, 1990, 104 Stat. 1469, provided: 'That this Act may be cited as the 'Presidential Protection Assistance Act of 1976'. 'Sec. 2. As used in this Act the term - '(1) 'Secret Service' means the United States Secret Service, the Department of the Treasury; '(2) 'Director' means the Director of the Secret Service; '(3) 'protectee' means any person eligible to receive the protection authorized by section 3056 of title 18, United States Code, or Public Law 90-331 (82 Stat. 170) (set out as a note above); '(4) 'Executive departments' has the same meaning as provided in section 101 of title 5, United States Code; '(5) 'Executive agencies' has the same meaning as provided in section 105 of title 5, United States Code; '(6) 'Coast Guard' means the United States Coast Guard, Department of Transportation or such other Executive department or Executive agency to which the United States Coast Guard may subsequently be transferred; '(7) 'duties' means all responsibilities of an Executive department or Executive agency relating to the protection of any protectee; and '(8) 'non-Governmental property' means any property owned, leased, occupied, or otherwise utilized by a protectee which is not owned or controlled by the Government of the United States of America. 'Sec. 3. (a) Each protectee may designate one non-governmental property to be fully secured by the Secret Service on a permanent basis. '(b) A protectee may thereafter designate a different non-Governmental property in lieu of the non-Governmental property previously designated under subsection (a) (hereinafter in this Act referred to as the 'previously designated property') as the one non-Governmental property to be fully secured by the Secret Service on a permanent basis under subsection (a). Thereafter, any expenditures by the Secret Service to maintain a permanent guard detail or for permanent facilities, equipment, and services to secure the non-Governmental property previously designated under subsection (a) shall be subject to the limitations imposed under section 4. '(c) For the purposes of this section, where two or more protectees share the same domicile, such protectees shall be deemed a single protectee. 'Sec. 4. Expenditures by the Secret Service for maintaining a permanent guard detail and for permanent facilities, equipment, and services to secure any non-Governmental property in addition to the one non-Governmental property designated by each protectee under subsection 3(a) or 3(b) may not exceed a cumulative total of $75,000 at each such additional non-Governmental property, unless expenditures in excess of that amount are specifically approved by resolutions adopted by the Committees on Appropriations of the House and Senate, respectively. 'Sec. 5. (a) All improvements and other items acquired by the Federal Government and used for the purpose of securing any non-Governmental property in the performance of the duties of the Secret Service shall be the property of the United States. '(b) Upon termination of Secret Service protection at any non-Governmental property all such improvements and other items shall be removed from the non-Governmental property unless the Director determines that it would not be economically feasible to do so; except that such improvements and other items shall be removed and the non-Governmental property shall be restored to its original state if the owner of such property at the time of termination requests the removal of such improvements or other items. If any such improvements or other items are not removed, the owner of the non-Governmental property at the time of termination shall compensate the United States for the original cost of such improvements or other items or for the amount by which they have increased the fair market value of the property, as determined by the Comptroller General of the United States, as of the date of termination, whichever is less. '(c) In the event that any non-Governmental property becomes a previously designated property and Secret Service protection at that property has not been terminated, all such improvements and other items which the Director determines are not necessary to secure the previously designated property within the limitations imposed under section 4 shall be removed or compensated for in accordance with the procedures set forth under Subsection (b) of this section. 'Sec. 6. Executive departments and Executive agencies shall assist the Secret Service in the performance of its duties by providing services, equipment, and facilities on a temporary and reimbursable basis when requested by the Director and on a permanent and reimbursable basis upon advance written request of the Director; except that the Department of Defense and the Coast Guard shall provide such assistance on a temporary basis without reimbursement when assisting the Secret Service in its duties directly related to the protection of the President or the Vice President or other officer immediately next in order of succession to the office of the President. 'Sec. 7. No services, equipment, or facilities may be ordered, purchased, leased, or otherwise procured for the purposes of carrying out the duties of the Secret Service by persons other than officers or employees of the Federal Government duly authorized by the Director to make such orders, purchases, leases, or procurements. 'Sec. 8. No funds may be expended or obligated for the purpose of carrying out the purposes of section 3056 of title 18, United States Code, and section 1 of Public Law 90-331 (set out as a note above) other than funds specifically appropriated to the Secret Service for those purposes with the exception of - '(1) expenditures made by the Department of Defense or the Coast Guard from funds appropriated to the Department of Defense or the Coast Guard in providing assistance on a temporary basis to the Secret Service in the performance of its duties directly related to the protection of the President or the Vice President or other officer next in order of succession to the office of the President; and '(2) expenditures made by Executive departments and agencies, in providing assistance at the request of the Secret Service in the performance of its duties, and which will be reimbursed by the Secret Service under section 6 of this Act. 'Sec. 9. The Director, the Secretary of Defense, and the Commandant of the Coast Guard shall each transmit a detailed semi-annual report of expenditures made pursuant to this Act during the six-month period immediately preceding such report by the Secret Service, the Department of Defense, and the Coast Guard, respectively, to the Committees on Appropriations, Committees on the Judiciary, and Committees on Government Operations of the House of Representatives and the Senate, (FOOTNOTE 2) respectively, on March 31 and September 30, of each year. (FOOTNOTE 2) Senate Committee on Government Operations redesignated the Senate Committee on Governmental Affairs, effective Feb. 11, 1977. 'Sec. 10. Expenditures made pursuant to this Act shall be subject to audit by the Comptroller General and his authorized representatives, who shall have access to all records relating to such expenditures. The Comptroller General shall transmit a report of the results of any such audit to the Committees on Appropriations, Committees on the Judiciary, and Committees on Government Operations of the House of Representatives and the Senate, (FOOTNOTE 2) respectively. 'Sec. 11. Section 2 of Public Law 90-331 (82 Stat. 170) (formerly set out as a note below) is repealed. 'Sec. 12. In carrying out the protection of the President of the United States, pursuant to section 3056(a) of title 18, at the one non-governmental property designated by the President of the United States to be fully secured by the United States Secret Service on a permanent basis, as provided in section 3.(a) of Public Law 94-524 (section 3(a) of this note), the Secretary of the Treasury may utilize, with their consent, the law enforcement services, personnel, equipment, and facilities of the affected State and local governments. Further, the Secretary of the Treasury is authorized to reimburse such State and local governments for the utilization of such services, personnel, equipment, and facilities. All claims for such reimbursement by the affected governments will be submitted to the Secretary of the Treasury on a quarterly basis. Expenditures for this reimbursement are authorized not to exceed $300,000 in any one fiscal year: Provided, That the designated site is located in a municipality or political subdivision of any State where the permanent resident population is 7,000 or less and where the absence of such Federal assistance would place an undue economic burden on the affected State and local governments.' MAJOR PRESIDENTIAL OR VICE PRESIDENTIAL CANDIDATES AND SPOUSES; PERSONAL PROTECTION Pub. L. 90-331, June 6, 1968, 82 Stat. 170, as amended by Pub. L. 94-408, Sec. 1, Sept. 11, 1976, 90 Stat. 1239; Pub. L. 94-524, Sec. 11, Oct. 17, 1976, 90 Stat. 2477; Pub. L. 96-329, Aug. 11, 1980, 94 Stat. 1029, which had provided for personal protection of major presidential or vice presidential candidates and had authorized protection of spouses commencing not more than 120 days before the general Presidential election, and appropriated for fiscal year ending June 30, 1968, $400,000 for execution of such provisions, was repealed by Pub. L. 98-587, Sec. 2, Oct. 30, 1984, 98 Stat. 3111. See subsec. (a)(7) of this section. EXTENSION OF PROTECTION OF PRESIDENT'S WIDOW AND CHILDREN Pub. L. 90-145, Nov. 17, 1967, 81 Stat. 466, extended until Mar. 1, 1969, the authority vested in the United States Secret Service by section 3056 of this title, as it existed prior to the amendment in 1968 by Pub. L. 90-608, to protect the widow and minor children of a former President who were receiving such protection on Nov. 17, 1967. APPLICABILITY OF REORG. PLAN NO. 26 OF 1950 Section 5 of Pub. L. 91-651 provided that: 'Section 3056 of title 18, United States Code, as amended by section 4 of this Act, shall be subject to Reorganization Plan Numbered 26 of 1950 (64 Stat. 1280) (set out in the Appendix to Title 5, Government Organization and Employees).' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 351, 879, 1752, 4247 of this title; title 5 section 552a; title 12 section 3414; title 22 sections 2709, 4304; title 31 sections 1344, 1537. ------DocID 24635 Document 877 of 1438------ -CITE- 18 USC Sec. 3057 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3057. Bankruptcy investigations -STATUTE- (a) Any judge, receiver, or trustee having reasonable grounds for believing that any violation under chapter 9 of this title or other laws of the United States relating to insolvent debtors, receiverships or reorganization plans has been committed, or that an investigation should be had in connection therewith, shall report to the appropriate United States attorney all the facts and circumstances of the case, the names of the witnesses and the offense or offenses believed to have been committed. Where one of such officers has made such report, the others need not do so. (b) The United States attorney thereupon shall inquire into the facts and report thereon to the referee, and if it appears probable that any such offense has been committed, shall without delay, present the matter to the grand jury, unless upon inquiry and examination he decides that the ends of public justice do not require investigation or prosecution, in which case he shall report the facts to the Attorney General for his direction. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 818; May 24, 1949, ch. 139, Sec. 48, 63 Stat. 96; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(i), 92 Stat. 2677.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 52(e)(1), (2) of title 11, U.S.C., 1940 ed., Bankruptcy (July 1, 1898, ch. 541, Sec. 29e(1), (2), as added by May 27, 1926, ch. 406, Sec. 11, 44 Stat. 665, 666; June 22, 1938, ch. 575, Sec. 1, 52 Stat. 840, 856). Remaining provisions of section 52 of title 11, U.S.C., 1940 ed., Bankruptcy, constitute sections 151-154, and 3284 of this title. The words 'or laws relating to insolvent debtors, receiverships, or reorganization plans' were inserted to avoid reference to 'Title 11'. Minor changes were made in phraseology. 1949 ACT This section (section 48) clarifies the meaning of section 3057 of title 18, U.S.C., by expressly limiting to laws 'of the United States', violations of laws which are to be reported to the United States attorney. AMENDMENTS 1978 - Subsec. (a). Pub. L. 95-598, Sec. 314(i), substituted 'judge' for 'referee' and 'violation under chapter 9 of this title' for 'violations of the bankruptcy laws'. Subsec. (b). Pub. L. 95-598, Sec. 314(i)(1), substituted 'judge' for 'referee'. 1949 - Subsec. (a). Act May 24, 1949, substituted 'or other laws of the United States' for 'or laws'. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. ------DocID 24636 Document 878 of 1438------ -CITE- 18 USC Sec. 3058 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3058. Interned belligerent nationals -STATUTE- Whoever, belonging to the armed land or naval forces of a belligerent nation or belligerent faction and being interned in the United States, in accordance with the law of nations, leaves or attempts to leave said jurisdiction, or leaves or attempts to leave the limits of internment without permission from the proper official of the United States in charge, or willfully overstays a leave of absence granted by such official, shall be subject to arrest by any marshal or deputy marshal of the United States, or by the military or naval authorities thereof, and shall be returned to the place of internment and there confined and safely kept for such period of time as the official of the United States in charge shall direct. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 818; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3571, 104 Stat. 4928.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 37 (June 15, 1917, ch. 30, title V, Sec. 7, 40 Stat. 223). Said section 37 was incorporated in this section and section 756 of this title. Minor verbal changes were made. AMENDMENTS 1990 - Pub. L. 101-647 substituted 'belligerent' for 'beligerent' before 'nation'. -CROSS- CROSS REFERENCES Jurisdiction, see section 3241 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 22 section 465. ------DocID 24637 Document 879 of 1438------ -CITE- 18 USC Sec. 3059 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3059. Rewards and appropriations therefor -STATUTE- (a)(1) There is authorized to be appropriated, out of any money in the Treasury not otherwise appropriated, the sum of $25,000 as a reward or rewards for the capture of anyone who is charged with violation of criminal laws of the United States or any State or of the District of Columbia, and an equal amount as a reward or rewards for information leading to the arrest of any such person, to be apportioned and expended in the discretion of, and upon such conditions as may be imposed by, the Attorney General of the United States. Not more than $25,000 shall be expended for information or capture of any one person. (2) If any of the said persons shall be killed in resisting lawful arrest, the Attorney General may pay any part of the reward money in his discretion to the person or persons whom he shall adjudge to be entitled thereto but no reward money shall be paid to any official or employee of the Department of Justice of the United States. (b) The Attorney General each year may spend not more than $10,000 for services or information looking toward the apprehension of narcotic law violators who are fugitives from justice. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 818; Sept. 13, 1982, Pub. L. 97-258, Sec. 2(d)(2), 96 Stat. 1058.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 575 (June 6, 1934, ch. 408, 48 Stat. 910). Changes were made in phraseology. 1982 Act --------------------------------------------------------------------- Revised Section Source (U.S. Code) Source (Statutes at Large) --------------------------------------------------------------------- 3059(b) 31:1023(c). June 1, 1955, ch. 119, Sec. 1(c), 69 Stat. 82. ------------------------------- The words 'Attorney General' are substituted for 'Secretary of the Treasury' because of section 1 of Reorganization Plan No. 2 of 1973 (eff. July 1, 1973, 87 Stat. 1091). -REFTEXT- REFERENCES IN TEXT The criminal laws of the United States, referred to in subsec. (a)(1), are classified generally to this title. -MISC2- AMENDMENTS 1982 - Pub. L. 97-258, Sec. 2(d)(2), redesignated existing provisions as subsec. (a)(1) and (2) and added subsec. (b). -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24638 Document 880 of 1438------ -CITE- 18 USC Sec. 3059A -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3059A. Special rewards for information relating to certain financial institution offenses -STATUTE- (a)(1) In special circumstances and in the Attorney General's sole discretion, the Attorney General may make payments to persons who furnish information unknown to the Government relating to a possible prosecution under section 215, 287, 656, 657, 1001, 1005, 1006, 1007, 1014, 1032, 1341, 1343, or 1344 of this title affecting a depository institution insured by the Federal Deposit Insurance Corporation or any other agency or entity of the United States, or to a possible prosecution for conspiracy to commit such an offense. (2) The amount of a payment under paragraph (1) shall not exceed $50,000 and shall be paid from the Financial Institution Information Award Fund established under section 2569 of the Financial Institutions Anti-Fraud Enforcement Act of 1990. (b) A person is not eligible for a payment under this (FOOTNOTE 1) subsection (a) if - (FOOTNOTE 1) So in original. The word 'this' probably should not appear. (1) the person is a current or former officer or employee of a Federal or State government agency or instrumentality who furnishes information discovered or gathered in the course of his government employment; (2) the furnished information consists of allegations or transactions that have been disclosed to a member of the public in a criminal, civil, or administrative proceeding, in a congressional, administrative, or General Accounting Office report, hearing, audit or investigation, from any other government source, or from the news media unless the person is the original source of the information; (3) the person is an institution-affiliated party (as defined in section 3(u) of the Federal Deposit Insurance Act, 12 U.S.C. 1813(u)) which withheld information during the course of any bank examination or investigation authorized pursuant to section 10 of such Act (12 U.S.C. 1820) who such party owed a fiduciary duty to disclose; (4) the person is a member of the immediate family of the individual whose activities are the subject of the declaration or where, in the discretion of the Attorney General, it appears the individual could benefit from the award; or (5) the person knowingly participated in the violation of the section with respect to which the payment would be made. (c) For the purposes of this (FOOTNOTE 1) subsection (b)(2), the term 'original source' means a person who has direct and independent knowledge of the information on which the allegations are based and has voluntarily provided the information to the Government prior to the disclosure. (d) Neither the failure of the Attorney General to authorize a payment nor the amount authorized shall be subject to judicial review. (e)(1) A person who - (A) is discharged, demoted, suspended, threatened, harassed, or in any other manner discriminated against in the terms and conditions of employment by an employer because of lawful acts done by the person on behalf of the person or others in furtherance of a prosecution under any of the sections referred to in subsection (a) (including provision of information relating to, investigation for, initiation of, testimony for, or assistance in such a prosecution); and (B) was not a knowing participant in the unlawful activity that is the subject of such a prosecution, may, in a civil action, obtain all relief necessary to make the person whole. (2) Relief under paragraph (1) shall include - (A)(i) reinstatement with the same seniority status; (ii) 2 times the amount of back pay plus interest; and (iii) interest on the backpay, (FOOTNOTE 2) (FOOTNOTE 2) So in original. Probably should be 'back pay,'. that the plaintiff would have had but for the discrimination; and (B) compensation for any special damages sustained as a result of the discrimination, including litigation costs and reasonable attorney's fees. -SOURCE- (Added Pub. L. 101-647, title XXV, Sec. 2587(a), Nov. 29, 1990, 104 Stat. 4904.) -REFTEXT- REFERENCES IN TEXT Section 2569 of the Financial Institutions Anti-Fraud Enforcement Act of 1990, referred to in subsec. (a)(2), is classified to section 4209 of Title 12, Banks and Banking. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 12 sections 4205, 4209, 4212, 4225, 4229. ------DocID 24639 Document 881 of 1438------ -CITE- 18 USC Sec. 3060 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3060. Preliminary examination -STATUTE- (a) Except as otherwise provided by this section, a preliminary examination shall be held within the time set by the judge or magistrate pursuant to subsection (b) of this section, to determine whether there is probable cause to believe that an offense has been committed and that the arrested person has committed it. (b) The date for the preliminary examination shall be fixed by the judge or magistrate at the initial appearance of the arrested person. Except as provided by subsection (c) of this section, or unless the arrested person waives the preliminary examination, such examination shall be held within a reasonable time following initial appearance, but in any event not later than - (1) the tenth day following the date of the initial appearance of the arrested person before such officer if the arrested person is held in custody without any provision for release, or is held in custody for failure to meet the conditions of release imposed, or is released from custody only during specified hours of the day; or (2) the twentieth day following the date of the initial appearance if the arrested person is released from custody under any condition other than a condition described in paragraph (1) of this subsection. (c) With the consent of the arrested person, the date fixed by the judge or magistrate for the preliminary examination may be a date later than that prescribed by subsection (b), or may be continued one or more times to a date subsequent to the date initially fixed therefor. In the absence of such consent of the accused, the date fixed for the preliminary hearing may be a date later than that prescribed by subsection (b), or may be continued to a date subsequent to the date initially fixed therefor, only upon the order of a judge of the appropriate United States district court after a finding that extraordinary circumstances exist, and that the delay of the preliminary hearing is indispensable to the interests of justice. (d) Except as provided by subsection (e) of this section, an arrested person who has not been accorded the preliminary examination required by subsection (a) within the period of time fixed by the judge or magistrate in compliance with subsections (b) and (c), shall be discharged from custody or from the requirement of bail or any other condition of release, without prejudice, however, to the institution of further criminal proceedings against him upon the charge upon which he was arrested. (e) No preliminary examination in compliance with subsection (a) of this section shall be required to be accorded an arrested person, nor shall such arrested person be discharged from custody or from the requirement of bail or any other condition of release pursuant to subsection (d), if at any time subsequent to the initial appearance of such person before a judge or magistrate and prior to the date fixed for the preliminary examination pursuant to subsections (b) and (c) an indictment is returned or, in appropriate cases, an information is filed against such person in a court of the United States. (f) Proceedings before United States magistrates under this section shall be taken down by a court reporter or recorded by suitable sound recording equipment. A copy of the record of such proceeding shall be made available at the expense of the United States to a person who makes affidavit that he is unable to pay or give security therefor, and the expense of such copy shall be paid by the Director of the Administrative Office of the United States Courts. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 303(a), 82 Stat. 1117.) -MISC1- AMENDMENTS 1968 - Pub. L. 90-578 substituted provisions of subsecs. (a) to (f) of this section detailing preliminary examination content for prior provisions which directed attention to the rule in section catchline, and directed one to see Federal Rules of Criminal Procedure, including 'Proceedings before commissioner, appearance, advice as to right to counsel, hearing, Rule 5.'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24640 Document 882 of 1438------ -CITE- 18 USC Sec. 3061 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3061. Investigative powers of Postal Service personnel -STATUTE- (a) Subject to subsection (b) of this section, Postal Inspectors and other agents of the United States Postal Service designated by the Board of Governors to investigate criminal matters related to the Postal Service and the mails may - (1) serve warrants and subpoenas issued under the authority of the United States; (2) make arrests without warrant for offenses against the United States committed in their presence; (3) make arrests without warrant for felonies cognizable under the laws of the United States if they have reasonable grounds to believe that the person to be arrested has committed or is committing such a felony; (4) carry firearms; and (5) make seizures of property as provided by law. (b) The powers granted by subsection (a) of this section shall be exercised only - (1) in the enforcement of laws regarding property in the custody of the Postal Service, property of the Postal Service, the use of the mails, and other postal offenses; and (2) to the extent authorized by the Attorney General pursuant to agreement between the Attorney General and the Postal Service, in the enforcement of other laws of the United States, if the Attorney General determines that violations of such laws have a detrimental effect upon the operations of the Postal Service. -SOURCE- (Added Pub. L. 90-560, Sec. 5(a), Oct. 12, 1968, 82 Stat. 998, and amended Pub. L. 91-375, Sec. 6(j)(38)(A), Aug. 12, 1970, 84 Stat. 781; Pub. L. 100-690, title VI, Sec. 6251(a), Nov. 18, 1988, 102 Stat. 4362.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 substituted 'Investigative powers of Postal Service personnel' for 'Powers of postal personnel' in section catchline, and amended text generally. Prior to amendment, text read as follows: '(a) Subject to subsection (b) of this section, officers and employees of the Postal Service performing duties related to the inspection of postal matters may, to the extent authorized by the Board of Governors - '(1) serve warrants and subpenas issued under the authority of the United States; '(2) make arrests without warrant for offenses against the United States committed in their presence; and '(3) make arrests without warrant for felonies cognizable under the laws of the United States if they have reasonable grounds to believe that the person to be arrested has committed or is committing such a felony. '(b) The powers granted by subsection (a) of this section shall be exercised only in the enforcement of laws regarding property of the United States in the custody of the Postal Service, including property of the Postal Service, the use of the mails, and other postal offenses.' 1970 - Pub. L. 91-375, Sec. 6(j)(38)(A)(i), substituted 'postal personnel' for 'postal inspectors' in section catchline. Subsec. (a). Pub. L. 91-375, Sec. 6(j)(38)(A)(ii), substituted 'officers and employees of the Postal Service performing duties related to the inspection of postal matters may, to the extent authorized by the Board of Governors - ' for 'postal inspectors may, to the extent authorized by the Postmaster General - '. Subsec. (b). Pub. L. 91-375, Sec. 6(j)(38)(A)(iii), substituted 'Postal Service, including property of the Postal Service,' for 'postal service'. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 1970, on date established therefor by the Board of Governors of the United States Postal Service and published by it in the Federal Register, see section 15(a) of Pub. L. 91-375, set out as an Effective Date note preceding section 101 of Title 39, Postal Service. ------DocID 24641 Document 883 of 1438------ -CITE- 18 USC Sec. 3062 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3062. General arrest authority for violation of release conditions -STATUTE- A law enforcement officer, who is authorized to arrest for an offense committed in his presence, may arrest a person who is released pursuant to chapter 207 if the officer has reasonable grounds to believe that the person is violating, in his presence, a condition imposed on the person pursuant to section 3142(c)(1)(B)(iv), (v), (viii), (ix), or (xiii), or, if the violation involves a failure to remain in a specified institution as required, a condition imposed pursuant to section 3142(c)(1)(B)(x). -SOURCE- (Added Pub. L. 98-473, title II, Sec. 204(d), Oct. 12, 1984, 98 Stat. 1986, and amended Pub. L. 100-690, title VII, Sec. 7052, Nov. 18, 1988, 102 Stat. 4401.) -MISC1- AMENDMENTS 1988 - Pub. L. 100-690 substituted 'section 3142(c)(1)(B)(iv), (v), (viii), (ix), or (xiii)' for 'section 3142(c)(2)(D), (c)(2)(E), (c)(2)(H), (c)(2)(I), or (c)(2)(M)' and 'section 3142(c)(1)(B)(x)' for 'section 3142(c)(2)(J)'. ------DocID 24642 Document 884 of 1438------ -CITE- 18 USC Sec. 3063 -EXPCITE- TITLE 18 PART II CHAPTER 203 -HEAD- Sec. 3063. Powers of Environmental Protection Agency -STATUTE- (a) Upon designation by the Administrator of the Environmental Protection Agency, any law enforcement officer of the Environmental Protection Agency with responsibility for the investigation of criminal violations of a law administered by the Environmental Protection Agency, may - (1) carry firearms; (2) execute and serve any warrant or other processes issued under the authority of the United States; and (3) make arrests without warrant for - (A) any offense against the United States committed in such officer's presence; or (B) any felony offense against the United States if such officer has probable cause to believe that the person to be arrested has committed or is committing that felony offense. (b) The powers granted under subsection (a) of this section shall be exercised in accordance with guidelines approved by the Attorney General. -SOURCE- (Added Pub. L. 100-582, Sec. 4(a), Nov. 1, 1988, 102 Stat. 2958.) ------DocID 24643 Document 885 of 1438------ -CITE- 18 USC CHAPTER 204 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- CHAPTER 204 - REWARDS FOR INFORMATION CONCERNING TERRORIST ACTS -MISC1- Sec. 3071. Information for which rewards authorized. 3072. Determination of entitlement; maximum amount; Presidential approval; conclusiveness. 3073. Protection of identity. 3074. Exception of governmental officials. 3075. Authorization for appropriations. 3076. Eligibility for witness security program. 3077. Definitions. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 22 section 5512. ------DocID 24644 Document 886 of 1438------ -CITE- 18 USC Sec. 3071 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3071. Information for which rewards authorized -STATUTE- With respect to acts of terrorism primarily within the territorial jurisdiction of the United States, the Attorney General may reward any individual who furnishes information - (1) leading to the arrest or conviction, in any country, of any individual or individuals for the commission of an act of terrorism against a United States person or United States property; or (2) leading to the arrest or conviction, in any country, of any individual or individuals for conspiring or attempting to commit an act of terrorism against a United States person or property; or (3) leading to the prevention, frustration, or favorable resolution of an act of terrorism against a United States person or property. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2706.) -MISC1- SHORT TITLE Section 1 of Pub. L. 98-533 provided that: 'This Act (enacting this chapter and section 2708 of Title 22, Foreign Relations and Intercourse, amending sections 2669, 2678 and 2704 of Title 22, enacting provisions set out as a note under section 5928 of Title 5, Government Organization and Employees and amending provisions set out as a note under section 2651 of Title 22) may be cited as the '1984 Act to Combat International Terrorism'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3072, 3074 of this title. ------DocID 24645 Document 887 of 1438------ -CITE- 18 USC Sec. 3072 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3072. Determination of entitlement; maximum amount; Presidential approval; conclusiveness -STATUTE- The Attorney General shall determine whether an individual furnishing information described in section 3071 is entitled to a reward and the amount to be paid. A reward under this section may be in an amount not to exceed $500,000. A reward of $100,000 or more may not be made without the approval of the President or the Attorney General personally. A determination made by the Attorney General or the President under this chapter shall be final and conclusive, and no court shall have power or jurisdiction to review it. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2707.) ------DocID 24646 Document 888 of 1438------ -CITE- 18 USC Sec. 3073 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3073. Protection of identity -STATUTE- Any reward granted under this chapter shall be certified for payment by the Attorney General. If it is determined that the identity of the recipient of a reward or of the members of the recipient's immediate family must be protected, the Attorney General may take such measures in connection with the payment of the reward as deemed necessary to effect such protection. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2707.) ------DocID 24647 Document 889 of 1438------ -CITE- 18 USC Sec. 3074 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3074. Exception of governmental officials -STATUTE- No officer or employee of any governmental entity who, while in the performance of his or her official duties, furnishes the information described in section 3071 shall be eligible for any monetary reward under this chapter. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2707.) ------DocID 24648 Document 890 of 1438------ -CITE- 18 USC Sec. 3075 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3075. Authorization for appropriations -STATUTE- There are authorized to be appropriated, without fiscal year limitation, $5,000,000 for the purpose of this chapter. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2707.) ------DocID 24649 Document 891 of 1438------ -CITE- 18 USC Sec. 3076 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3076. Eligibility for witness security program -STATUTE- Any individual (and the immediate family of such individual) who furnishes information which would justify a reward by the Attorney General under this chapter or by the Secretary of State under section 36 of the State Department Basic Authorities Act of 1956 may, in the discretion of the Attorney General, participate in the Attorney General's witness security program authorized under chapter 224 of this title. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2707, and amended Pub. L. 99-646, Sec. 45, Nov. 10, 1986, 100 Stat. 3601.) -REFTEXT- REFERENCES IN TEXT Section 36 of the State Department Basic Authorities Act of 1956, referred to in text, is classified to section 2708 of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1986 - Pub. L. 99-646 substituted 'chapter 224 of this title' for 'title V of the Organized Crime Control Act of 1970'. ------DocID 24650 Document 892 of 1438------ -CITE- 18 USC Sec. 3077 -EXPCITE- TITLE 18 PART II CHAPTER 204 -HEAD- Sec. 3077. Definitions -STATUTE- As used in this chapter, the term - (1) 'act of terrorism' means an activity that - (A) involves a violent act or an act dangerous to human life that is a violation of the criminal laws of the United States or of any State, or that would be a criminal violation if committed within the jurisdiction of the United States or of any State; and (B) appears to be intended - (i) to intimidate or coerce a civilian population; (ii) to influence the policy of a government by intimidation or coercion; or (iii) to affect the conduct of a government by assassination or kidnaping; (2) 'United States person' means - (A) a national of the United States as defined in section 101(a)(22) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(22)); (B) an alien lawfully admitted for permanent residence in the United States as defined in section 101(a)(20) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(20)); (C) any person within the United States; (D) any employee or contractor of the United States Government, regardless of nationality, who is the victim or intended victim of an act of terrorism by virtue of that employment; (E) a sole proprietorship, partnership, company, or association composed principally of nationals or permanent resident aliens of the United States; and (F) a corporation organized under the laws of the United States, any State, the District of Columbia, or any territory or possession of the United States, and a foreign subsidiary of such corporation; (3) 'United States property' means any real or personal property which is within the United States or, if outside the United States, the actual or beneficial ownership of which rests in a United States person or any Federal or State governmental entity of the United States; (4) 'United States', when used in a geographical sense, includes Puerto Rico and all territories and possessions of the United States; (5) 'State' includes any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any other possession or territory of the United States; (6) 'government entity' includes the Government of the United States, any State or political subdivision thereof, any foreign country, and any state, provincial, municipal, or other political subdivision of a foreign country; and (7) 'Attorney General' means the Attorney General of the United States or that official designated by the Attorney General to perform the Attorney General's responsibilities under this chapter. -SOURCE- (Added Pub. L. 98-533, title I, Sec. 101(a), Oct. 19, 1984, 98 Stat. 2707, and amended Pub. L. 100-690, title VII, Sec. 7051, Nov. 18, 1988, 102 Stat. 4401; Pub. L. 101-647, title XXXV, Sec. 3572, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647 substituted a semicolon for a period at end of pars. (1) to (3), moved the comma from before the close quotation mark to after that mark in par. (4), substituted a semicolon for a period at end of par. (5), and substituted '; and' for period at end of par. (6). 1988 - Par. (4). Pub. L. 100-690 amended par. (4) generally. Prior to amendment, par. (4) read as follows: ' 'United States' - '(A) when used in a geographical sense, includes Puerto Rico and all territories and possessions of the United States; and '(B) when used in the context of section 3073 shall have the meaning given to it in the Immigration and Nationality Act (8 U.S.C. 1101 et seq.).' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1957 of this title. ------DocID 24651 Document 893 of 1438------ -CITE- 18 USC CHAPTER 205 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- CHAPTER 205 - SEARCHES AND SEIZURES -MISC1- Sec. 3101. Effect of rules of court - Rule. 3102. Authority to issue search warrant - Rule. 3103. Grounds for issuing search warrant - Rule. 3103a. Additional grounds for issuing warrant. 3104. Issuance of search warrant; contents - Rule. 3105. Persons authorized to serve search warrant. 3106. Officer authorized to serve search warrant - Rule. 3107. Service of warrants and seizures by Federal Bureau of Investigation. 3108. Execution, service, and return - Rule. 3109. Breaking doors or windows for entry or exit. 3110. Property defined - Rule. 3111. Property seizable on search warrant - Rule. (3112. Repealed.) 3113. Liquor violations in Indian country. 3114. Return of seized property and suppression of evidence; motion - Rule. 3115. Inventory upon execution and return of search warrant - Rule. 3116. Records of examining magistrate; return to clerk of court - Rule. 3117. Mobile tracking devices. 3118. Implied consent for certain tests. -COD- CODIFICATION Pub. L. 90-351 enacted section 3103a of this title as part of chapter 204, and Pub. L. 90-462, Sec. 3, Aug. 8, 1968, 82 Stat. 638, corrected the chapter designation from 204 to 205. -MISC3- AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3573(d), Nov. 29, 1990, 104 Stat. 4929, struck out item 3112 'Search warrants for seizure of animals, birds, or eggs' and renumbered item 3117, 'Implied consent for certain tests', as 3118. 1988 - Pub. L. 100-690, title VI, Sec. 6477(b)(2), Nov. 18, 1988, 102 Stat. 4381, added item 3117 'Implied consent for certain tests'. 1986 - Pub. L. 99-508, title I, Sec. 108(b), Oct. 21, 1986, 100 Stat. 1858, added item 3117 'Mobile tracking devices'. 1968 - Pub. L. 90-351, title IX, Sec. 1401(b), June 19, 1968, 82 Stat. 238, added item 3103a. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 26 section 7302. ------DocID 24652 Document 894 of 1438------ -CITE- 18 USC Sec. 3101 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3101. Effect of rules of court - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Rules generally applicable throughout United States, Rule 54. Acts of Congress superseded, Rule 41(g). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819.) -REFTEXT- REFERENCES IN TEXT Rule 41(g), referred to in text, was relettered 41(h) by 1972 amendment eff. Oct. 1, 1972. ------DocID 24653 Document 895 of 1438------ -CITE- 18 USC Sec. 3102 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3102. Authority to issue search warrant - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Federal, State or Territorial Judges, or U.S. magistrates authorized to issue search warrants, Rule 41(a). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(4), 82 Stat. 1115.) -MISC1- AMENDMENTS 1968 - Pub. L. 90-578 substituted 'magistrates' for 'Commissioners'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24654 Document 896 of 1438------ -CITE- 18 USC Sec. 3103 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3103. Grounds for issuing search warrant - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Grounds prescribed for issuance of search warrant, Rule 41(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3103a of this title. ------DocID 24655 Document 897 of 1438------ -CITE- 18 USC Sec. 3103a -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3103a. Additional grounds for issuing warrant -STATUTE- In addition to the grounds for issuing a warrant in section 3103 of this title, a warrant may be issued to search for and seize any property that constitutes evidence of a criminal offense in violation of the laws of the United States. -SOURCE- (Added Pub. L. 90-351, title IX, Sec. 1401(a), June 19, 1968, 82 Stat. 238.) -COD- CODIFICATION Pub. L. 90-351 enacted section 3103a of this title as part of chapter 204, and Pub. L. 90-462, Sec. 3, Aug. 8, 1968, 82 Stat. 638, corrected the chapter designation from 204 to 205. ------DocID 24656 Document 898 of 1438------ -CITE- 18 USC Sec. 3104 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3104. Issuance of search warrant; contents - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Issuance of search warrant on affidavit; contents to identify persons or place; command to search forthwith, Rule 41(c). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819.) ------DocID 24657 Document 899 of 1438------ -CITE- 18 USC Sec. 3105 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3105. Persons authorized to serve search warrant -STATUTE- A search warrant may in all cases be served by any of the officers mentioned in its direction or by an officer authorized by law to serve such warrant, but by no other person, except in aid of the officer on his requiring it, he being present and acting in its execution. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 617 (June 15, 1917, ch. 30, title XI, Sec. 7, 40 Stat. 229). Minor change was made in phraseology. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Search warrants and seizures, see rule 41, Appendix to this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24658 Document 900 of 1438------ -CITE- 18 USC Sec. 3106 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3106. Officer authorized to serve search warrant - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Officer to whom search warrant shall be directed, Rule 41(c). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819.) ------DocID 24659 Document 901 of 1438------ -CITE- 18 USC Sec. 3107 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3107. Service of warrants and seizures by Federal Bureau of Investigation -STATUTE- The Director, Associate Director, Assistant to the Director, Assistant Directors, agents, and inspectors of the Federal Bureau of Investigation of the Department of Justice are empowered to make seizures under warrant for violation of the laws of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819; Jan. 10, 1951, ch. 1221, Sec. 2, 64 Stat. 1239.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 300a of title 5, U.S.C., 1940 ed., Executive Departments and Government Officers and Employees (June 18, 1934, ch. 595, 48 Stat. 1008; Mar. 22, 1935, ch. 39, title II, 49 Stat. 77). Section 300a of title 5, U.S.C., 1940 ed., Executive Departments and Government Officers and Employees, was used as the basis for this section and section 3052 of this title. AMENDMENTS 1951 - Act Jan. 10, 1951, included within its provisions the Associate Director and the Assistant to the Director. -TRANS- TRANSFER OF FUNCTIONS Functions of all other officers of Department of Justice and functions of all agencies and employees of such Department, with a few exceptions, transferred to Attorney General, with power vested in him to authorize their performance or performance of any of his functions by any of such officers, agencies, and employees, by Reorg. Plan No. 2 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3173, 64 Stat. 1261, set out in the Appendix to Title 5, Government Organization and Employees. ------DocID 24660 Document 902 of 1438------ -CITE- 18 USC Sec. 3108 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3108. Execution, service, and return - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Method and time for execution, service and return of search warrant, Rule 41(c), (d). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 819.) ------DocID 24661 Document 903 of 1438------ -CITE- 18 USC Sec. 3109 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3109. Breaking doors or windows for entry or exit -STATUTE- The officer may break open any outer or inner door or window of a house, or any part of a house, or anything therein, to execute a search warrant, if, after notice of his authority and purpose, he is refused admittance or when necessary to liberate himself or a person aiding him in the execution of the warrant. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 820.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 618, 619 (June 15, 1917, ch. 30, title XI, Sec. 8, 9, 40 Stat. 229). Said sections 618 and 619 were consolidated with minor changes in phraseology but without change of substance. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. FEDERAL RULES OF CRIMINAL PROCEDURE Search warrants and seizures, see rule 41, Appendix to this title. CROSS REFERENCES Authority, exceeding in executing warrant, see section 2234 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24662 Document 904 of 1438------ -CITE- 18 USC Sec. 3110 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3110. Property defined - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Term 'property' as used in Rule 41 includes documents, books, papers and any other tangible objects, Rule 41(g). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 820.) -REFTEXT- REFERENCES IN TEXT Rule 41(g), referred to in text, was relettered 41(h) by 1972 amendment eff. Oct. 1, 1972. ------DocID 24663 Document 905 of 1438------ -CITE- 18 USC Sec. 3111 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3111. Property seizable on search warrant - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Specified property seizable on search warrant, Rule 41(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 820.) ------DocID 24664 Document 906 of 1438------ -CITE- 18 USC Sec. 3112 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- (Sec. 3112. Repealed. Pub. L. 97-79, Sec. 9(b)(3), Nov. 16, 1981, 95 Stat. 1079) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 820; Dec. 5, 1969, Pub. L. 91-135, Sec. 7(c), 83 Stat. 281; Nov. 8, 1978, Pub. L. 95-616, Sec. 3(j)(1), 92 Stat. 3112, provided for issuance of search warrants for seizure of animals, birds, and eggs. See section 3375 of Title 16, Conservation. ------DocID 24665 Document 907 of 1438------ -CITE- 18 USC Sec. 3113 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3113. Liquor violations in Indian country -STATUTE- If any superintendent of Indian affairs, or commanding officer of a military post, or special agent of the Office of Indian Affairs for the suppression of liquor traffic among Indians and in the Indian country and any authorized deputies under his supervision has probable cause to believe that any person is about to introduce or has introduced any spirituous liquor, beer, wine or other intoxicating liquors named in sections 1154 and 1156 of this title into the Indian country in violation of law, he may cause the places, conveyances, and packages of such person to be searched. If any such intoxicating liquor is found therein, the same, together with such conveyances and packages of such person, shall be seized and delivered to the proper officer, and shall be proceeded against by libel in the proper court, and forfeited, one-half to the informer and one-half to the use of the United States. If such person be a trader, his license shall be revoked and his bond put in suit. Any person in the service of the United States authorized by this section to make searches and seizures, or any Indian may take and destroy any ardent spirits or wine found in the Indian country, except such as are kept or used for scientific, sacramental, medicinal, or mechanical purposes or such as may be introduced therein by the Department of the Army. In all cases arising under this section and sections 1154 and 1156 of this title, Indians shall be competent witnesses. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 820; Oct. 31, 1951, ch. 655, Sec. 30, 65 Stat. 721.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 246, 248, 252 of title 25, U.S.C., 1940 ed., Indians (R.S. Sec. 2140; Mar. 1, 1907, ch. 2285, 34 Stat. 1017; May 18, 1916, ch. 125, Sec. 1, 39 Stat. 124). Said sections 246, 248, and 252 were consolidated. References to Indian agent and subagent were deleted since those positions no longer exist. See section 64 of title 25, U.S.C., 1940 ed., Indians, and notes thereunder. Words 'except such as are kept or used for scientific, sacramental, medicinal or mechanical purposes' were inserted. See reviser's note under section 1154 of this title. Words 'conveyances and packages' were substituted for the enumeration, 'boats, teams, wagons and sleds * * * and goods, packages and peltries.' Minor changes were made in phraseology. AMENDMENTS 1951 - Act Oct. 31, 1951, substituted 'Department of the Army' for 'War Department' in second par. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Admiralty and maritime rules of practice (which included libel procedures) were superseded, and civil and admiralty procedures in United States district courts were unified, effective July 1, 1966, see rule 1 and Supplemental Rules for Certain Admiralty and Maritime Claims, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Application of Indian liquor laws, see section 1161 of this title. Disposition of seized conveyances, see section 3670 of this title. Forfeitures and seizures - Conveyances introducing intoxicants into Indian country, see section 3669 of this title. Jurisdiction, see sections 1355 and 1356 of Title 28, Judiciary and Judicial Procedure. Proceedings, see section 2461 of Title 28. Indian country defined, see section 1151 of this title. Intoxicants dispensed in Indian country, see section 1154 of this title. Unlawful possession of intoxicants in Indian country, see section 1156 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1161, 3670 of this title. ------DocID 24666 Document 908 of 1438------ -CITE- 18 USC Sec. 3114 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3114. Return of seized property and suppression of evidence; motion - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Return of property and suppression of evidence upon motion, Rule 41(e). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 820.) ------DocID 24667 Document 909 of 1438------ -CITE- 18 USC Sec. 3115 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3115. Inventory upon execution and return of search warrant - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Inventory of property seized under search warrant and copies to persons affected, Rule 41(d). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 820.) ------DocID 24668 Document 910 of 1438------ -CITE- 18 USC Sec. 3116 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3116. Records of examining magistrate; return to clerk of court - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Magistrates and clerks of court to keep records as prescribed by Director of the Administrative Office of the United States Courts, Rule 55. Return or filing of records with clerk, Rule 41(f). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 821; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(4), 82 Stat. 1115.) -MISC1- HISTORICAL AND REVISION NOTES Section 627 of title 18, U.S.C., 1940 ed., relating to the filing of search warrants and companion papers, was omitted as unnecessary in view of Rule 41(f) of the Federal Rules of Criminal Procedure. -REFTEXT- REFERENCES IN TEXT Rule 41(f), referred to in text, was redesignated 41(g) by 1972 amendment eff. Oct. 1, 1972. -MISC2- AMENDMENTS 1968 - Pub. L. 90-578 substituted 'Magistrates' for 'Commissioners'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24669 Document 911 of 1438------ -CITE- 18 USC Sec. 3117 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3117. Mobile tracking devices -STATUTE- (a) In General. - If a court is empowered to issue a warrant or other order for the installation of a mobile tracking device, such order may authorize the use of that device within the jurisdiction of the court, and outside that jurisdiction if the device is installed in that jurisdiction. (b) Definition. - As used in this section, the term 'tracking device' means an electronic or mechanical device which permits the tracking of the movement of a person or object. -SOURCE- (Added Pub. L. 99-508, title I, Sec. 108(a), Oct. 21, 1986, 100 Stat. 1858.) -COD- CODIFICATION Another section 3117 was renumbered section 3118 of this title. -MISC3- EFFECTIVE DATE Section effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99-508, set out as an Effective Date of 1986 Amendment note under section 2510 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2510 of this title. ------DocID 24670 Document 912 of 1438------ -CITE- 18 USC Sec. 3118 -EXPCITE- TITLE 18 PART II CHAPTER 205 -HEAD- Sec. 3118. Implied consent for certain tests -STATUTE- (a) Consent. - Whoever operates a motor vehicle in the special maritime and territorial jurisdiction of the United States consents thereby to a chemical test or tests of such person's blood, breath, or urine, if arrested for any offense arising from such person's driving while under the influence of a drug or alcohol in such jurisdiction. The test or tests shall be administered upon the request of a police officer having reasonable grounds to believe the person arrested to have been driving a motor vehicle upon the special maritime and territorial jurisdiction of the United States while under the influence of drugs or alcohol in violation of the laws of a State, territory, possession, or district. (b) Effect of Refusal. - Whoever, having consented to a test or tests by reason of subsection (a), refuses to submit to such a test or tests, after having first been advised of the consequences of such a refusal, shall be denied the privilege of operating a motor vehicle upon the special maritime and territorial jurisdiction of the United States during the period of a year commencing on the date of arrest upon which such test or tests was refused, and such refusal may be admitted into evidence in any case arising from such person's driving while under the influence of a drug or alcohol in such jurisdiction. Any person who operates a motor vehicle in the special maritime and territorial jurisdiction of the United States after having been denied such privilege under this subsection shall be treated for the purposes of any civil or criminal proceedings arising out of such operation as operating such vehicle without a license to do so. -SOURCE- (Added Pub. L. 100-690, title VI, Sec. 6477(b)(1), Nov. 18, 1988, 102 Stat. 4381, Sec. 3117; renumbered Sec. 3118, Pub. L. 101-647, title XXXV, Sec. 3574, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647 renumbered second section 3117 of this title as this section. ------DocID 24671 Document 913 of 1438------ -CITE- 18 USC CHAPTER 206 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- CHAPTER 206 - PEN REGISTERS AND TRAP AND TRACE DEVICES -MISC1- Sec. 3121. General prohibition on pen register and trap and trace device use; exception. 3122. Application for an order for a pen register or a trap and trace device. 3123. Issuance of an order for a pen register or a trap and trace device. 3124. Assistance in installation and use of a pen register or a trap and trace device. 3125. Emergency pen register and trap and trace device installation. 3126. Reports concerning pen registers and trap and trace devices. 3127. Definitions for chapter. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7068, 7092(c), Nov. 18, 1988, 102 Stat. 4405, 4411, substituted 'trap and trace' for 'trap or trace' in item 3123, added item 3125, and redesignated former items 3125 and 3126 as 3126 and 3127, respectively. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 2511 of this title. ------DocID 24672 Document 914 of 1438------ -CITE- 18 USC Sec. 3121 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3121. General prohibition on pen register and trap and trace device use; exception -STATUTE- (a) In General. - Except as provided in this section, no person may install or use a pen register or a trap and trace device without first obtaining a court order under section 3123 of this title or under the Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. 1801 et seq.). (b) Exception. - The prohibition of subsection (a) does not apply with respect to the use of a pen register or a trap and trace device by a provider of electronic or wire communication service - (1) relating to the operation, maintenance, and testing of a wire or electronic communication service or to the protection of the rights or property of such provider, or to the protection of users of that service from abuse of service or unlawful use of service; or (2) to record the fact that a wire or electronic communication was initiated or completed in order to protect such provider, another provider furnishing service toward the completion of the wire communication, or a user of that service, from fraudulent, unlawful or abusive use of service; or (3) where the consent of the user of that service has been obtained. (c) Penalty. - Whoever knowingly violates subsection (a) shall be fined under this title or imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 301(a), Oct. 21, 1986, 100 Stat. 1868.) -REFTEXT- REFERENCES IN TEXT The Foreign Intelligence Surveillance Act of 1978, referred to in subsec. (a), is Pub. L. 95-511, Oct. 25, 1978, 92 Stat. 1783, as amended, which is classified principally to chapter 36 (Sec. 1801 et seq.) of Title 50, War and National Defense. For complete classification of this Act to the Code, see Short Title note set out under section 1801 of Title 50 and Tables. -MISC2- EFFECTIVE DATE Section 302 of title III of Pub. L. 99-508 provided that: '(a) In General. - Except as provided in subsection (b), this title and the amendments made by this title (enacting this chapter and section 1367 of this title) shall take effect ninety days after the date of the enactment of this Act (Oct. 21, 1986) and shall, in the case of conduct pursuant to a court order or extension, apply only with respect to court orders or extensions made after this title takes effect. '(b) Special Rule for State Authorizations of Interceptions. - Any pen register or trap and trace device order or installation which would be valid and lawful without regard to the amendments made by this title shall be valid and lawful notwithstanding such amendments if such order or installation occurs during the period beginning on the date such amendments take effect and ending on the earlier of - '(1) the day before the date of the taking effect of changes in State law required in order to make orders or installations under Federal law as amended by this title; or '(2) the date two years after the date of the enactment of this Act (Oct. 21, 1986).' ------DocID 24673 Document 915 of 1438------ -CITE- 18 USC Sec. 3122 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3122. Application for an order for a pen register or a trap and trace device -STATUTE- (a) Application. - (1) An attorney for the Government may make application for an order or an extension of an order under section 3123 of this title authorizing or approving the installation and use of a pen register or a trap and trace device under this chapter, in writing under oath or equivalent affirmation, to a court of competent jurisdiction. (2) Unless prohibited by State law, a State investigative or law enforcement officer may make application for an order or an extension of an order under section 3123 of this title authorizing or approving the installation and use of a pen register or a trap and trace device under this chapter, in writing under oath or equivalent affirmation, to a court of competent jurisdiction of such State. (b) Contents of Application. - An application under subsection (a) of this section shall include - (1) the identity of the attorney for the Government or the State law enforcement or investigative officer making the application and the identity of the law enforcement agency conducting the investigation; and (2) a certification by the applicant that the information likely to be obtained is relevant to an ongoing criminal investigation being conducted by that agency. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 301(a), Oct. 21, 1986, 100 Stat. 1869.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3123 of this title. ------DocID 24674 Document 916 of 1438------ -CITE- 18 USC Sec. 3123 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3123. Issuance of an order for a pen register or a trap and trace device -STATUTE- (a) In General. - Upon an application made under section 3122 of this title, the court shall enter an ex parte order authorizing the installation and use of a pen register or a trap and trace device within the jurisdiction of the court if the court finds that the attorney for the Government or the State law enforcement or investigative officer has certified to the court that the information likely to be obtained by such installation and use is relevant to an ongoing criminal investigation. (b) Contents of Order. - An order issued under this section - (1) shall specify - (A) the identity, if known, of the person to whom is leased or in whose name is listed the telephone line to which the pen register or trap and trace device is to be attached; (B) the identity, if known, of the person who is the subject of the criminal investigation; (C) the number and, if known, physical location of the telephone line to which the pen register or trap and trace device is to be attached and, in the case of a trap and trace device, the geographic limits of the trap and trace order; and (D) a statement of the offense to which the information likely to be obtained by the pen register or trap and trace device relates; and (2) shall direct, upon the request of the applicant, the furnishing of information, facilities, and technical assistance necessary to accomplish the installation of the pen register or trap and trace device under section 3124 of this title. (c) Time Period and Extensions. - (1) An order issued under this section shall authorize the installation and use of a pen register or a trap and trace device for a period not to exceed sixty days. (2) Extensions of such an order may be granted, but only upon an application for an order under section 3122 of this title and upon the judicial finding required by subsection (a) of this section. The period of extension shall be for a period not to exceed sixty days. (d) Nondisclosure of Existence of Pen Register or a Trap and Trace Device. - An order authorizing or approving the installation and use of a pen register or a trap and trace device shall direct that - (1) the order be sealed until otherwise ordered by the court; and (2) the person owning or leasing the line to which the pen register or a trap and trace device is attached, or who has been ordered by the court to provide assistance to the applicant, not disclose the existence of the pen register or trap and trace device or the existence of the investigation to the listed subscriber, or to any other person, unless or until otherwise ordered by the court. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 301(a), Oct. 21, 1986, 100 Stat. 1869.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3121, 3122, 3124, 3125 of this title. ------DocID 24675 Document 917 of 1438------ -CITE- 18 USC Sec. 3124 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3124. Assistance in installation and use of a pen register or a trap and trace device -STATUTE- (a) Pen Registers. - Upon the request of an attorney for the Government or an officer of a law enforcement agency authorized to install and use a pen register under this chapter, a provider of wire or electronic communication service, landlord, custodian, or other person shall furnish such investigative or law enforcement officer forthwith all information, facilities, and technical assistance necessary to accomplish the installation of the pen register unobtrusively and with a minimum of interference with the services that the person so ordered by the court accords the party with respect to whom the installation and use is to take place, if such assistance is directed by a court order as provided in section 3123(b)(2) of this title. (b) Trap and Trace Device. - Upon the request of an attorney for the Government or an officer of a law enforcement agency authorized to receive the results of a trap and trace device under this chapter, a provider of a wire or electronic communication service, landlord, custodian, or other person shall install such device forthwith on the appropriate line and shall furnish such investigative or law enforcement officer all additional information, facilities and technical assistance including installation and operation of the device unobtrusively and with a minimum of interference with the services that the person so ordered by the court accords the party with respect to whom the installation and use is to take place, if such installation and assistance is directed by a court order as provided in section 3123(b)(2) of this title. Unless otherwise ordered by the court, the results of the trap and trace device shall be furnished, pursuant to section 3123(b) or section 3125 of this title, to the officer of a law enforcement agency, designated in the court order, at reasonable intervals during regular business hours for the duration of the order. (c) Compensation. - A provider of a wire or electronic communication service, landlord, custodian, or other person who furnishes facilities or technical assistance pursuant to this section shall be reasonably compensated for such reasonable expenses incurred in providing such facilities and assistance. (d) No Cause of Action Against a Provider Disclosing Information Under This Chapter. - No cause of action shall lie in any court against any provider of a wire or electronic communication service, its officers, employees, agents, or other specified persons for providing information, facilities, or assistance in accordance with the terms of a court order under this chapter or request pursuant to section 3125 of this title. (e) Defense. - A good faith reliance on a court order under this chapter, a request pursuant to section 3125 of this title, a legislative authorization, or a statutory authorization is a complete defense against any civil or criminal action brought under this chapter or any other law. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 301(a), Oct. 21, 1986, 100 Stat. 1870, and amended Pub. L. 100-690, title VII, Sec. 7040, 7092(b), (d), Nov. 18, 1988, 102 Stat. 4399, 4411; Pub. L. 101-647, title XXXV, Sec. 3575, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Subsec. (b). Pub. L. 101-647 substituted 'section 3123(b)' for 'subsection 3123(b)'. 1988 - Subsec. (b). Pub. L. 100-690, Sec. 7040, 7092(d), inserted ', pursuant to subsection 3123(b) or section 3125 of this title,' after 'shall be furnished' and 'order' after last reference to 'court'. Subsec. (d). Pub. L. 100-690, Sec. 7092(b)(1), inserted 'or request pursuant to section 3125 of this title' after 'this chapter'. Subsec. (e). Pub. L. 100-690, Sec. 7092(b)(2), inserted 'under this chapter, a request pursuant to section 3125 of this title' after 'court order'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3123 of this title. ------DocID 24676 Document 918 of 1438------ -CITE- 18 USC Sec. 3125 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3125. Emergency pen register and trap and trace device installation -STATUTE- (a) Notwithstanding any other provision of this chapter, any investigative or law enforcement officer, specially designated by the Attorney General, the Deputy Attorney General, the Associate Attorney General, any Assistant Attorney General, any acting Assistant Attorney General, or any Deputy Assistant Attorney General, or by the principal prosecuting attorney of any State or subdivision thereof acting pursuant to a statute of that State, who reasonably determines that - (1) an emergency situation exists that involves - (A) immediate danger of death or serious bodily injury to any person; or (B) conspiratorial activities characteristic of organized crime, that requires the installation and use of a pen register or a trap and trace device before an order authorizing such installation and use can, with due diligence, be obtained, and (2) there are grounds upon which an order could be entered under this chapter to authorize such installation and use ' (FOOTNOTE 1) may have installed and use a pen register or trap and trace device if, within forty-eight hours after the installation has occurred, or begins to occur, an order approving the installation or use is issued in accordance with section 3123 of this title.' (FOOTNOTE 1) (FOOTNOTE 1) So in original. Quotation marks probably should not appear. (b) In the absence of an authorizing order, such use shall immediately terminate when the information sought is obtained, when the application for the order is denied or when forty-eight hours have lapsed since the installation of the pen register or trap and trace device, whichever is earlier. (c) The knowing installation or use by any investigative or law enforcement officer of a pen register or trap and trace device pursuant to subsection (a) without application for the authorizing order within forty-eight hours of the installation shall constitute a violation of this chapter. (d) A provider for a wire or electronic service, landlord, custodian, or other person who furnished facilities or technical assistance pursuant to this section shall be reasonably compensated for such reasonable expenses incurred in providing such facilities and assistance. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7092(a)(2), Nov. 18, 1988, 102 Stat. 4410.) -MISC1- PRIOR PROVISIONS A prior section 3125 was renumbered section 3126 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3124 of this title. ------DocID 24677 Document 919 of 1438------ -CITE- 18 USC Sec. 3126 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3126. Reports concerning pen registers and trap and trace devices -STATUTE- The Attorney General shall annually report to Congress on the number of pen register orders and orders for trap and trace devices applied for by law enforcement agencies of the Department of Justice. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 301(a), Oct. 21, 1986, 100 Stat. 1871, Sec. 3125; renumbered Sec. 3126, Pub. L. 100-690, title VII, Sec. 7092(a)(1), Nov. 18, 1988, 102 Stat. 4410.) -MISC1- PRIOR PROVISIONS A prior section 3126 was renumbered section 3127 of this title. AMENDMENTS 1988 - Pub. L. 100-690 renumbered section 3125 of this title as this section. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 2703 of this title. ------DocID 24678 Document 920 of 1438------ -CITE- 18 USC Sec. 3127 -EXPCITE- TITLE 18 PART II CHAPTER 206 -HEAD- Sec. 3127. Definitions for chapter -STATUTE- As used in this chapter - (1) the terms 'wire communication', 'electronic communication', and 'electronic communication service' have the meanings set forth for such terms in section 2510 of this title; (2) the term 'court of competent jurisdiction' means - (A) a district court of the United States (including a magistrate of such a court) or a United States Court of Appeals; or (B) a court of general criminal jurisdiction of a State authorized by the law of that State to enter orders authorizing the use of a pen register or a trap and trace device; (3) the term 'pen register' means a device which records or decodes electronic or other impulses which identify the numbers dialed or otherwise transmitted on the telephone line to which such device is attached, but such term does not include any device used by a provider or customer of a wire or electronic communication service for billing, or recording as an incident to billing, for communications services provided by such provider or any device used by a provider or customer of a wire communication service for cost accounting or other like purposes in the ordinary course of its business; (4) the term 'trap and trace device' means a device which captures the incoming electronic or other impulses which identify the originating number of an instrument or device from which a wire or electronic communication was transmitted; (5) the term 'attorney for the Government' has the meaning given such term for the purposes of the Federal Rules of Criminal Procedure; and (6) the term 'State' means a State, the District of Columbia, Puerto Rico, and any other possession or territory of the United States. -SOURCE- (Added Pub. L. 99-508, title III, Sec. 301(a), Oct. 21, 1986, 100 Stat. 1871, Sec. 3126; renumbered Sec. 3127, Pub. L. 100-690, title VII, Sec. 7092(a)(1), Nov. 18, 1988, 102 Stat. 4410.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in par. (5), are set out in the Appendix to this title. -MISC2- AMENDMENTS 1988 - Pub. L. 100-690 renumbered section 3126 of this title as this section. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24679 Document 921 of 1438------ -CITE- 18 USC CHAPTER 207 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- CHAPTER 207 - RELEASE AND DETENTION PENDING JUDICIAL PROCEEDINGS -MISC1- Sec. 3141. Release and detention authority generally. 3142. Release or detention of a defendant pending trial. 3143. Release or detention of a defendant pending sentence or appeal. 3144. Release or detention of a material witness. 3145. Review and appeal of a release or detention order. 3146. Penalty for failure to appear. 3147. Penalty for an offense committed while on release. 3148. Sanctions for violation of a release condition. 3149. Surrender of an offender by a surety. 3150. Applicability to a case removed from a State court. (3150a. Repealed.) 3151. Refund of forfeited bail. 3152. Establishment of pretrial services. 3153. Organization and administration of pretrial services. 3154. Functions and powers relating to pretrial services. 3155. Annual reports. 3156. Definitions. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7084(b), Nov. 18, 1988, 102 Stat. 4408, added item 3151. 1984 - Pub. L. 98-473, title II, Sec. 203(e), Oct. 12, 1984, 98 Stat. 1985, inserted 'AND DETENTION PENDING JUDICIAL PROCEEDING' in chapter heading, added new items 3141 to 3150, and struck out former items 3141 to 3151 as follows: item 3141 'Power of courts and magistrates', item 3142 'Surrender by bail', item 3143 'Additional bail', item 3144 'Cases removed from State courts', item 3145 'Parties and witnesses - Rule', item 3146 'Release in noncapital cases prior to trial', item 3147 'Appeal from conditions of release', item 3148 'Release in capital cases or after conviction', item 3149 'Release of material witnesses', item 3150 'Penalties for failure to appear', item 3150a 'Refund of forfeited bail', item 3151 'Contempt'. 1982 - Pub. L. 97-267, Sec. 6, Sept. 27, 1982, 96 Stat. 1138, struck out 'agencies' after 'services' in item 3152, substituted 'and administration of pretrial services' for 'of pretrial services agencies' in item 3153, 'relating to pretrial services' for 'of pretrial services agencies' in item 3154, and 'Annual reports' for 'Report to Congress' in item 3155. Pub. L. 97-258, Sec. 2(d)(3)(A), Sept. 13, 1982, 96 Stat. 1058, added item 3150a. 1975 - Pub. L. 93-619, title II, Sec. 202, Jan. 3, 1975, 88 Stat. 2089, added items 3153 to 3156, and in item 3152, substituted 'Establishment of Pretrial Services Agencies' for 'Definitions'. 1966 - Pub. L. 89-465, Sec. 3(b), 5(e)(1), June 22, 1966, 80 Stat. 216, 217, substituted 'RELEASE' for 'BAIL' in chapter heading and 'Release in noncapital cases prior to trial' for 'Jumping Bail' in item 3146, and added items 3147 to 3152. 1954 - Act Aug. 20, 1954, ch. 772, Sec. 2, 68 Stat. 748, added item 3146. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 3041, 3062, 4241, 4282, 4285, 5037 of this title. ------DocID 24680 Document 922 of 1438------ -CITE- 18 USC Sec. 3141 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3141. Release and detention authority generally -STATUTE- (a) Pending Trial. - A judicial officer authorized to order the arrest of a person under section 3041 of this title before whom an arrested person is brought shall order that such person be released or detained, pending judicial proceedings, under this chapter. (b) Pending Sentence or Appeal. - A judicial officer of a court of original jurisdiction over an offense, or a judicial officer of a Federal appellate court, shall order that, pending imposition or execution of sentence, or pending appeal of conviction or sentence, a person be released or detained under this chapter. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1976, and amended Pub. L. 99-646, Sec. 55(a), (b), Nov. 10, 1986, 100 Stat. 3607.) -MISC1- PRIOR PROVISIONS A prior section 3141, acts June 25, 1948, ch. 645, 62 Stat. 821; June 22, 1966, Pub. L. 89-465, Sec. 5(b), 80 Stat. 217, which related to powers of courts and magistrates with respect to release on bail or otherwise, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646, Sec. 55(a), (b), substituted 'authorized to order the arrest of a person under section 3041 of this title before whom an arrested person is brought shall order that such person be released' for 'who is authorized to order the arrest of a person pursuant to section 3041 of this title shall order that an arrested person who is brought before him be released' and 'under this chapter' for 'pursuant to the provisions of this chapter'. Subsec. (b). Pub. L. 99-646, Sec. 55(a), substituted 'under this chapter' for 'pursuant to the provisions of this chapter'. EFFECTIVE DATE OF 1986 AMENDMENT Section 55(j) of Pub. L. 99-646 provided that: 'The amendments made by this section (amending this section and sections 3142 to 3144, 3146 to 3148, and 3156 of this title) shall take effect 30 days after the date of enactment of this Act (Nov. 10, 1986).' SHORT TITLE OF 1990 AMENDMENT Pub. L. 101-647, title IX, Sec. 901, Nov. 29, 1990, 104 Stat. 4826, provided that: 'This title (amending sections 3143 and 3145 of this title) may be cited as the 'Mandatory Detention for Offenders Convicted of Serious Crimes Act'.' SHORT TITLE OF 1984 AMENDMENT Section 202 of chapter I (Sec. 202-210) of title II of Pub. L. 98-473 provided that: 'This chapter (enacting sections 3062 and 3141 to 3150 of this title, amending sections 3041, 3042, 3154, 3156, 3731, 3772, and 4282 of this title and section 636 of Title 28, Judiciary and Judicial Procedure, repealing sections 3043 and 3141 to 3151 of this title, and amending rules 5, 15, 40, 46, and 54 of the Federal Rules of Criminal Procedure, set out in the Appendix to this title, and rule 9 of the Federal Rules of Appellate Procedure, set out in the Appendix to Title 28) may be cited as the 'Bail Reform Act of 1984'.' SHORT TITLE OF 1982 AMENDMENT Pub. L. 97-267, Sec. 1, Sept. 27, 1982, 96 Stat. 1136, provided: 'That this Act (amending sections 3152 to 3155 of this title and section 604 of Title 28, Judiciary and Judicial Procedure, and enacting provisions set out as notes under sections 3141 and 3152 of this title) may be cited as the 'Pretrial Services Act of 1982'.' SHORT TITLE Section 1 of Pub. L. 89-465 provided: 'That this Act (enacting sections 3146 to 3152 of this title, amending sections 3041, 3141 to 3143, and 3568 of this title, and enacting provisions set out as a note below) may be cited as the 'Bail Reform Act of 1966'.' PURPOSE OF BAIL REFORM ACT OF 1966 Section 2 of Pub. L. 89-465 provided that: 'The purpose of this Act (enacting sections 3146 to 3152 of this title, amending sections 3041, 3141 to 3143, and 3568 of this title and enacting provisions set out as a note above) is to revise the practices relating to bail to assure that all persons, regardless of their financial status, shall not needlessly be detained pending their appearance to answer charges, to testify, or pending appeal, when detention serves neither the ends of justice nor the public interest.' -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Amount of bail may be fixed by court and endorsed on warrant, see rule 9, Appendix to this title. Release from custody - Generally, see rule 46. Criminal contempt proceedings, see rule 42. Removal proceedings, see rule 40. Secrecy of indictment pending defendant's custody or release pending trial, see rule 6. United States magistrate judges authorized to detain or conditionally release arrested persons, see rule 5. CROSS REFERENCES Power of courts and magistrate judges to arrest, detain, or conditionally release Federal offenders, see section 3041 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title. ------DocID 24681 Document 923 of 1438------ -CITE- 18 USC Sec. 3142 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3142. Release or detention of a defendant pending trial -STATUTE- (a) In General. - Upon the appearance before a judicial officer of a person charged with an offense, the judicial officer shall issue an order that, pending trial, the person be - (1) released on personal recognizance or upon execution of an unsecured appearance bond, under subsection (b) of this section; (2) released on a condition or combination of conditions under subsection (c) of this section; (3) temporarily detained to permit revocation of conditional release, deportation, or exclusion under subsection (d) of this section; or (4) detained under subsection (e) of this section. (b) Release on Personal Recognizance or Unsecured Appearance Bond. - The judicial officer shall order the pretrial release of the person on personal recognizance, or upon execution of an unsecured appearance bond in an amount specified by the court, subject to the condition that the person not commit a Federal, State, or local crime during the period of release, unless the judicial officer determines that such release will not reasonably assure the appearance of the person as required or will endanger the safety of any other person or the community. (c) Release on Conditions. - (1) If the judicial officer determines that the release described in subsection (b) of this section will not reasonably assure the appearance of the person as required or will endanger the safety of any other person or the community, such judicial officer shall order the pretrial release of the person - (A) subject to the condition that the person not commit a Federal, State, or local crime during the period of release; and (B) subject to the least restrictive further condition, or combination of conditions, that such judicial officer determines will reasonably assure the appearance of the person as required and the safety of any other person and the community, which may include the condition that the person - (i) remain in the custody of a designated person, who agrees to assume supervision and to report any violation of a release condition to the court, if the designated person is able reasonably to assure the judicial officer that the person will appear as required and will not pose a danger to the safety of any other person or the community; (ii) maintain employment, or, if unemployed, actively seek employment; (iii) maintain or commence an educational program; (iv) abide by specified restrictions on personal associations, place of abode, or travel; (v) avoid all contact with an alleged victim of the crime and with a potential witness who may testify concerning the offense; (vi) report on a regular basis to a designated law enforcement agency, pretrial services agency, or other agency; (vii) comply with a specified curfew; (viii) refrain from possessing a firearm, destructive device, or other dangerous weapon; (ix) refrain from excessive use of alcohol, or any use of a narcotic drug or other controlled substance, as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802), without a prescription by a licensed medical practitioner; (x) undergo available medical, psychological, or psychiatric treatment, including treatment for drug or alcohol dependency, and remain in a specified institution if required for that purpose; (xi) execute an agreement to forfeit upon failing to appear as required, property of a sufficient unencumbered value, including money, as is reasonably necessary to assure the appearance of the person as required, and shall provide the court with proof of ownership and the value of the property along with information regarding existing encumbrances as the judicial office may require; (xii) execute a bail bond with solvent sureties; who will execute an agreement to forfeit in such amount as is reasonably necessary to assure appearance of the person as required and shall provide the court with information regarding the value of the assets and liabilities of the surety if other than an approved surety and the nature and extent of encumbrances against the surety's property; such surety shall have a net worth which shall have sufficient unencumbered value to pay the amount of the bail bond; (xiii) return to custody for specified hours following release for employment, schooling, or other limited purposes; and (xiv) satisfy any other condition that is reasonably necessary to assure the appearance of the person as required and to assure the safety of any other person and the community. (2) The judicial officer may not impose a financial condition that results in the pretrial detention of the person. (3) The judicial officer may at any time amend the order to impose additional or different conditions of release. (d) Temporary Detention To Permit Revocation of Conditional Release, Deportation, or Exclusion. - If the judicial officer determines that - (1) such person - (A) is, and was at the time the offense was committed, on - (i) release pending trial for a felony under Federal, State, or local law; (ii) release pending imposition or execution of sentence, appeal of sentence or conviction, or completion of sentence, for any offense under Federal, State, or local law; or (iii) probation or parole for any offense under Federal, State, or local law; or (B) is not a citizen of the United States or lawfully admitted for permanent residence, as defined in section 101(a)(20) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(20)); and (2) such person may flee or pose a danger to any other person or the community; such judicial officer shall order the detention of such person, for a period of not more than ten days, excluding Saturdays, Sundays, and holidays, and direct the attorney for the Government to notify the appropriate court, probation or parole official, or State or local law enforcement official, or the appropriate official of the Immigration and Naturalization Service. If the official fails or declines to take such person into custody during that period, such person shall be treated in accordance with the other provisions of this section, notwithstanding the applicability of other provisions of law governing release pending trial or deportation or exclusion proceedings. If temporary detention is sought under paragraph (1)(B) of this subsection, such person has the burden of proving to the court such person's United States citizenship or lawful admission for permanent residence. (e) Detention. - If, after a hearing pursuant to the provisions of subsection (f) of this section, the judicial officer finds that no condition or combination of conditions will reasonably assure the appearance of the person as required and the safety of any other person and the community, such judicial officer shall order the detention of the person before trial. In a case described in subsection (f)(1) of this section, a rebuttable presumption arises that no condition or combination of conditions will reasonably assure the safety of any other person and the community if such judicial officer finds that - (1) the person has been convicted of a Federal offense that is described in subsection (f)(1) of this section, or of a State or local offense that would have been an offense described in subsection (f)(1) of this section if a circumstance giving rise to Federal jurisdiction had existed; (2) the offense described in paragraph (1) of this subsection was committed while the person was on release pending trial for a Federal, State, or local offense; and (3) a period of not more than five years has elapsed since the date of conviction, or the release of the person from imprisonment, for the offense described in paragraph (1) of this subsection, whichever is later. Subject to rebuttal by the person, it shall be presumed that no condition or combination of conditions will reasonably assure the appearance of the person as required and the safety of the community if the judicial officer finds that there is probable cause to believe that the person committed an offense for which a maximum term of imprisonment of ten years or more is prescribed in the Controlled Substances Act (21 U.S.C. 801 et seq.), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.), the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq.), or an offense under section 924(c) of title 18 of the United States Code. (f) Detention Hearing. - The judicial officer shall hold a hearing to determine whether any condition or combination of conditions set forth in subsection (c) of this section will reasonably assure the appearance of such person as required and the safety of any other person and the community - (1) upon motion of the attorney for the Government, in a case that involves - (A) a crime of violence; (B) an offense for which the maximum sentence is life imprisonment or death; (C) an offense for which a maximum term of imprisonment of ten years or more is prescribed in the Controlled Substances Act (21 U.S.C. 801 et seq.), the Controlled Substances Import and Export Act (21 U.S.C. 951 et seq.), or the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq.); or (D) any felony if such person has been convicted of two or more offenses described in subparagraphs (A) through (C) of this paragraph, or two or more State or local offenses that would have been offenses described in subparagraphs (A) through (C) of this paragraph if a circumstance giving rise to Federal jurisdiction had existed, or a combination of such offenses; or (2) upon motion of the attorney for the Government or upon the judicial officer's own motion in a case, that involves - (A) a serious risk that such person will flee; or (B) a serious risk that such person will obstruct or attempt to obstruct justice, or threaten, injure, or intimidate, or attempt to threaten, injure, or intimidate, a prospective witness or juror. The hearing shall be held immediately upon the person's first appearance before the judicial officer unless that person, or the attorney for the Government, seeks a continuance. Except for good cause, a continuance on motion of such person may not exceed five days, and a continuance on motion of the attorney for the Government may not exceed three days. During a continuance, such person shall be detained, and the judicial officer, on motion of the attorney for the Government or sua sponte, may order that, while in custody, a person who appears to be a narcotics addict receive a medical examination to determine whether such person is an addict. At the hearing, such person has the right to be represented by counsel, and, if financially unable to obtain adequate representation, to have counsel appointed. The person shall be afforded an opportunity to testify, to present witnesses, to cross-examine witnesses who appear at the hearing, and to present information by proffer or otherwise. The rules concerning admissibility of evidence in criminal trials do not apply to the presentation and consideration of information at the hearing. The facts the judicial officer uses to support a finding pursuant to subsection (e) that no condition or combination of conditions will reasonably assure the safety of any other person and the community shall be supported by clear and convincing evidence. The person may be detained pending completion of the hearing. The hearing may be reopened, before or after a determination by the judicial officer, at any time before trial if the judicial officer finds that information exists that was not known to the movant at the time of the hearing and that has a material bearing on the issue whether there are conditions of release that will reasonably assure the appearance of such person as required and the safety of any other person and the community. (g) Factors To Be Considered. - The judicial officer shall, in determining whether there are conditions of release that will reasonably assure the appearance of the person as required and the safety of any other person and the community, take into account the available information concerning - (1) the nature and circumstances of the offense charged, including whether the offense is a crime of violence or involves a narcotic drug; (2) the weight of the evidence against the person; (3) the history and characteristics of the person, including - (A) the person's character, physical and mental condition, family ties, employment, financial resources, length of residence in the community, community ties, past conduct, history relating to drug or alcohol abuse, criminal history, and record concerning appearance at court proceedings; and (B) whether, at the time of the current offense or arrest, the person was on probation, on parole, or on other release pending trial, sentencing, appeal, or completion of sentence for an offense under Federal, State, or local law; and (4) the nature and seriousness of the danger to any person or the community that would be posed by the person's release. In considering the conditions of release described in subsection (c)(1)(B)(xi) or (c)(1)(B)(xii) of this section, the judicial officer may upon his own motion, or shall upon the motion of the Government, conduct an inquiry into the source of the property to be designated for potential forfeiture or offered as collateral to secure a bond, and shall decline to accept the designation, or the use as collateral, of property that, because of its source, will not reasonably assure the appearance of the person as required. (h) Contents of Release Order. - In a release order issued under subsection (b) or (c) of this section, the judicial officer shall - (1) include a written statement that sets forth all the conditions to which the release is subject, in a manner sufficiently clear and specific to serve as a guide for the person's conduct; and (2) advise the person of - (A) the penalties for violating a condition of release, including the penalties for committing an offense while on pretrial release; (B) the consequences of violating a condition of release, including the immediate issuance of a warrant for the person's arrest; and (C) sections 1503 of this title (relating to intimidation of witnesses, jurors, and officers of the court), 1510 (relating to obstruction of criminal investigations), 1512 (tampering with a witness, victim, or an informant), and 1513 (retaliating against a witness, victim, or an informant). (i) Contents of Detention Order. - In a detention order issued under subsection (e) of this section, the judicial officer shall - (1) include written findings of fact and a written statement of the reasons for the detention; (2) direct that the person be committed to the custody of the Attorney General for confinement in a corrections facility separate, to the extent practicable, from persons awaiting or serving sentences or being held in custody pending appeal; (3) direct that the person be afforded reasonable opportunity for private consultation with counsel; and (4) direct that, on order of a court of the United States or on request of an attorney for the Government, the person in charge of the corrections facility in which the person is confined deliver the person to a United States marshal for the purpose of an appearance in connection with a court proceeding. The judicial officer may, by subsequent order, permit the temporary release of the person, in the custody of a United States marshal or another appropriate person, to the extent that the judicial officer determines such release to be necessary for preparation of the person's defense or for another compelling reason. (j) Presumption of Innocence. - Nothing in this section shall be construed as modifying or limiting the presumption of innocence. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1976, and amended Pub. L. 99-646, Sec. 55(a), (c), 72, Nov. 10, 1986, 100 Stat. 3607, 3617; Pub. L. 100-690, title VII, Sec. 7073, Nov. 18, 1988, 102 Stat. 4405; Pub. L. 101-647, title X, Sec. 1001(b), title XXXVI, Sec. 3622-3624, Nov. 29, 1990, 104 Stat. 4827, 4965.) -REFTEXT- REFERENCES IN TEXT The Controlled Substances Act, referred to in subsecs. (e) and (f)(1)(C), is title II of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1242, as amended, which is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. The Controlled Substances Import and Export Act, referred to in subsecs. (e) and (f)(1)(C), is title III of Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1285, as amended, which is classified principally to subchapter II (Sec. 951 et seq.) of chapter 13 of Title 21. For complete classification of this Act to the Code, see Short Title note set out under section 951 of Title 21 and Tables. The Maritime Drug Law Enforcement Act, referred to in subsecs. (e) and (f)(1)(C), is Pub. L. 96-350, Sept. 15, 1980, 94 Stat. 1159, as amended, which is classified generally to chapter 38 (Sec. 1901 et seq.) of Title 46, Appendix, Shipping. For complete classification of this Act to the Code, see section 1901 of Title 46, Appendix, and Tables. -MISC2- PRIOR PROVISIONS A prior section 3142, acts June 25, 1948, ch. 645, 62 Stat. 821; June 22, 1966, Pub. L. 89-465, Sec. 5(c), 80 Stat. 217, which set forth provisions relating to surrender by bail, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1990 - Subsec. (c)(1)(B)(xi). Pub. L. 101-647, Sec. 3622, amended cl. (xi) generally. Prior to amendment, cl. (xi) read as follows: 'execute an agreement to forfeit upon failing to appear as required, such designated property, including money, as is reasonably necessary to assure the appearance of the person as required, and post with the court such indicia of ownership of the property or such percentage of the money as the judicial officer may specify;'. Subsec. (c)(1)(B)(xii). Pub. L. 101-647, Sec. 3623, amended cl. (xii) generally. Prior to amendment, cl. (xii) read as follows: 'execute a bail bond with solvent sureties in such amount as is reasonably necessary to assure the appearance of the person as required;'. Subsecs. (e), (f)(1)(C). Pub. L. 101-647, Sec. 1001(b), substituted 'the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1901 et seq.)' for 'section 1 of the Act of September 15, 1980 (21 U.S.C. 955a)'. Subsec. (g)(4). Pub. L. 101-647, Sec. 3624, substituted 'subsection (c)(1)(B)(xi) or (c)(1)(B)(xii)' for 'subsection (c)(2)(K) or (c)(2)(L)'. 1988 - Subsec. (c)(3). Pub. L. 100-690 substituted 'the order' for 'order'. 1986 - Subsec. (a). Pub. L. 99-646, Sec. 55(a), (c)(1), in par. (1) struck out 'his' after 'released on' and substituted 'under subsection (b) of this section' for 'pursuant to the provisions of subsection (b)', in par. (2) substituted 'under subsection (c) of this section' for 'pursuant to the provisions of subsection (c)', in par. (3) substituted 'under subsection (d) of this section' for 'pursuant to provisions of subsection (d)', and in par. (4) substituted 'under subsection (e) of this section' for 'pursuant to provisions of subsection (e)'. Subsec. (b). Pub. L. 99-646, Sec. 55(c)(2), struck out 'his' after 'person on' and 'period of'. Subsec. (c). Pub. L. 99-646, Sec. 55(c)(3), designated existing provision as par. (1) and redesignated former pars. (1) and (2) as subpars. (A) and (B), in provision preceding subpar. (A) substituted 'subsection (b) of this section' for 'subsection (b)' and 'such judicial officer' for 'he', in subpar. (B) redesignated subpars. (A) to (N) as cls. (i) to (xiv), in provision preceding cl. (i) substituted 'such judicial officer' for 'he', in cl. (i) substituted 'assume supervision' for 'supervise him', in cl. (iv) substituted 'on personal' for 'on his personal', in cl. (x) substituted 'medical, psychological,' for 'medical', designated provision relating to the judicial officer not imposing a financial condition that results in the pretrial detention of a person as par. (2), and designated provision permitting the judicial officer to impose at any time additional or different conditions of release as par. (3), and in par. (3) struck out 'his' after 'amend'. Subsec. (d). Pub. L. 99-646, Sec. 55(c)(4), in pars. (1) and (2) substituted 'such person' for 'the person' and in concluding provisions substituted 'such person' for 'the person' in four places, 'such judicial officer' for 'he', 'paragraph (1)(B) of this subsection' for 'paragraph (1)(B)', and 'such person's United States citizenship or lawful admission' for 'that he is a citizen of the United States or is lawfully admitted'. Subsec. (e). Pub. L. 99-646, Sec. 55(c)(5), in introductory provisions inserted 'of this section' after 'subsection (f)' and substituted 'such judicial officer' for 'he', 'before' for 'prior to', 'described in subsection (f)(1) of this section' for 'described in (f)(1)', and 'if such judicial officer' for 'if the judge', in par. (1) inserted 'of this section' after 'subsection (f)(1)' in two places, and in pars. (2) and (3) inserted 'of this section' after 'paragraph (1)'. Subsec. (f). Pub. L. 99-646, Sec. 72, in par. (1)(D) substituted 'any felony if the person has been convicted of two or more offenses' for 'any felony committed after the person had been convicted of two or more prior offenses' and inserted ', or a combination of such offenses', in par. (2)(A) inserted 'or' after 'flee;', and in concluding provisions, inserted provision permitting the hearing to be reopened at any time before trial if the judicial officer finds that information exists that was unknown to the movant at the time of the hearing and that has a material bearing on whether there are conditions of release that will reasonably assure the appearance of the person as required and the safety of any other person and the community. Pub. L. 99-646, Sec. 55(c)(6), substituted 'such person' for 'the person' wherever appearing, in introductory provision inserted 'of this section' after 'subsection (c)' and struck out 'in a case' after 'community', in par. (1) inserted 'in a case' and in subpar. (D) of par. (1) inserted 'of this paragraph' in two places, in par. (2) substituted 'upon' for 'Upon' and inserted 'in a case', and in concluding provisions, substituted 'sua sponte' for 'on his own motion', 'whether such person is an addict' for 'whether he is an addict', and 'financially' for 'he is financially', and struck out 'for him' after 'appointed' and 'on his own behalf' after 'witnesses'. Subsec. (g). Pub. L. 99-646, Sec. 55(c)(7), in par. (3)(A) substituted 'the person's' for 'his', in par. (3)(B) substituted 'the person' for 'he', and in par. (4) inserted 'of this section'. Subsec. (h). Pub. L. 99-646, Sec. 55(a), (c)(8), in introductory provision substituted 'under' for 'pursuant to the provisions of' and inserted 'of this section' and in par. (2)(C) struck out 'the provisions of' before 'sections 1503'. Subsec. (i). Pub. L. 99-646, Sec. 55(a), (c)(9), in introductory provision substituted 'under' for 'pursuant to the provisions of' and inserted 'of this section' and in par. (3) struck out 'his' after 'consultation with'. EFFECTIVE DATE OF 1990 AMENDMENT Amendment by sections 3622 to 3624 of Pub. L. 101-647 effective 180 days after Nov. 29, 1990, see section 3631 of Pub. L. 101-647, set out as an Effective Date note under section 3001 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3041, 3042, 3062, 3143, 3144, 3146, 3148, 3156 of this title; title 28 section 636. ------DocID 24682 Document 924 of 1438------ -CITE- 18 USC Sec. 3143 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3143. Release or detention of a defendant pending sentence or appeal -STATUTE- (a) Release or Detention Pending Sentence. - (1) Except as provided in paragraph (2), the judicial officer shall order that a person who has been found guilty of an offense and who is awaiting imposition or execution of sentence, other than a person for whom the applicable guideline promulgated pursuant to 28 U.S.C. 994 does not recommend a term of imprisonment, be detained, unless the judicial officer finds by clear and convincing evidence that the person is not likely to flee or pose a danger to the safety of any other person or the community if released under section 3142(b) or (c). If the judicial officer makes such a finding, such judicial officer shall order the release of the person in accordance with section 3142(b) or (c). (2) The judicial officer shall order that a person who has been found guilty of an offense in a case described in subparagraph (A), (B), or (C) of subsection (f)(1) of section 3142 and is awaiting imposition or execution of sentence be detained unless - (A)(i) the judicial officer finds there is a substantial likelihood that a motion for acquittal or new trial will be granted; or (ii) an attorney for the Government has recommended that no sentence of imprisonment be imposed on the person; and (B) the judicial officer finds by clear and convincing evidence that the person is not likely to flee or pose a danger to any other person or the community. (b) Release or Detention Pending Appeal by the Defendant. - (1) Except as provided in paragraph (2), the judicial officer shall order that a person who has been found guilty of an offense and sentenced to a term of imprisonment, and who has filed an appeal or a petition for a writ of certiorari, be detained, unless the judicial officer finds - (A) by clear and convincing evidence that the person is not likely to flee or pose a danger to the safety of any other person or the community if released under section 3142(b) or (c) of this title; and (B) that the appeal is not for the purpose of delay and raises a substantial question of law or fact likely to result in - (i) reversal, (ii) an order for a new trial, (iii) a sentence that does not include a term of imprisonment, or (iv) a reduced sentence to a term of imprisonment less than the total of the time already served plus the expected duration of the appeal process. If the judicial officer makes such findings, such judicial officer shall order the release of the person in accordance with section 3142(b) or (c) of this title, except that in the circumstance described in paragraph (b)(2)(D), (FOOTNOTE 1) the judicial officer shall order the detention terminated at the expiration of the likely reduced sentence. (FOOTNOTE 1) So in original. Probably should be paragraph '(1)(B)(iv),'. (2) The judicial officer shall order that a person who has been found guilty of an offense in a case described in subparagraph (A), (B), or (C) of subsection (f)(1) of section 3142 and sentenced to a term of imprisonment, and who has filed an appeal or a petition for a writ of certiorari, be detained. (c) Release or Detention Pending Appeal by the Government. - The judicial officer shall treat a defendant in a case in which an appeal has been taken by the United States under section 3731 of this title, in accordance with section 3142 of this title, unless the defendant is otherwise subject to a release or detention order. Except as provided in subsection (b) of this section, the judicial officer, in a case in which an appeal has been taken by the United States under section 3742, shall - (1) if the person has been sentenced to a term of imprisonment, order that person detained; and (2) in any other circumstance, release or detain the person under section 3142. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1981, and amended Pub. L. 98-473, title II, Sec. 223(f), Oct. 12, 1984, 98 Stat. 2028; Pub. L. 99-646, Sec. 51(a), (b), 55(a), (d), Nov. 10, 1986, 100 Stat. 3605-3607, 3609; Pub. L. 100-690, title VII, Sec. 7091, Nov. 18, 1988, 102 Stat. 4410; Pub. L. 101-647, title IX, Sec. 902(a), (b), title X, Sec. 1001(a), Nov. 29, 1990, 104 Stat. 4826, 4827.) -MISC1- PRIOR PROVISIONS A prior section 3143, acts June 25, 1948, ch. 645, 62 Stat. 821; June 22, 1966, Pub. L. 89-465, Sec. 5(d), 80 Stat. 217, which related to additional bail, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 902(a), designated existing provisions as par. (1), substituted 'Except as provided in paragraph (2), the judicial officer' for 'The judicial officer', and added par. (2). Subsec. (a)(1). Pub. L. 101-647, Sec. 1001(a), substituted 'awaiting' for 'waiting'. Subsec. (b). Pub. L. 101-647, Sec. 902(b), designated existing provisions as par. (1), substituted 'Except as provided in paragraph (2), the judicial officer' for 'The judicial officer', redesignated former pars. (1) and (2) as subpars. (A) and (B), redesignated former subpars. (A) to (D) as cls. (i) to (iv), respectively, of subpar. (B), and added par. (2). 1988 - Subsec. (b). Pub. L. 100-690, Sec. 7091(2), inserted ', except that in the circumstance described in paragraph (b)(2)(D), the judicial officer shall order the detention terminated at the expiration of the likely reduced sentence' before period at end. Subsec. (b)(2). Pub. L. 100-690, Sec. 7091(1), added par. (2) and struck out former par. (2) which read as follows: 'that the appeal is not for purpose of delay and raises a substantial question of law or fact likely to result in reversal, an order for a new trial, or a sentence that does not include a term of imprisonment.' 1986 - Subsec. (a). Pub. L. 99-646, Sec. 55(d)(1), (2), (4), substituted 'under' for 'pursuant to' and 'such judicial officer' for 'he' and struck out 'the provisions of' after 'in accordance with'. Subsec. (b). Pub. L. 99-646, Sec. 55(d)(1)-(4), in par. (1) substituted 'under' for 'pursuant to' and inserted 'of this title' after '(c)', and in concluding provision, substituted 'such judicial officer' for 'he', struck out 'the provisions of' after 'in accordance with', and inserted 'of this title' after '(c)'. Subsec. (b)(2). Pub. L. 99-646, Sec. 51(a)(1), substituted 'reversal,' for 'reversal or' and inserted ', or a sentence that does not include a term of imprisonment'. Subsec. (c). Pub. L. 99-646, Sec. 51(a)(2), inserted provision that, except as provided in subsec. (b), the judicial officer, in a case in which an appeal has been taken by the United States under section 3742, if the person has been sentenced to a term of imprisonment, order that person detained, and in any other circumstance, release or detain the person under section 3142. Pub. L. 99-646, Sec. 55(a), (d)(2), (5), substituted 'under section 3731' for 'pursuant to the provisions of section 3731' and 'with section 3142 of this title' for 'with the provisions of section 3142'. Pub. L. 99-646, Sec. 51(b), provided that the amendment of subsec. (c) by section 223(f)(2) of Pub. L. 98-473 shall not take effect. See 1984 Amendment note below. 1984 - Subsec. (a). Pub. L. 98-473, Sec. 223(f)(1), inserted provisions relating to applicable guideline under section 994 of title 28. Subsec. (c). Pub. L. 98-473, Sec. 223(f)(2), which would have added a final sentence requiring a judge to treat a defendant in a case in which an appeal had been taken by the United States pursuant to the provisions of section 3742 in accordance with the provisions of (1) subsection (a) if the person had been sentenced to a term of imprisonment; or (2) section 3142 if the person had not been sentenced to a term of imprisonment did not become effective pursuant to section 51(b) of Pub. L. 99-646. See 1986 Amendment note above. EFFECTIVE DATE OF 1986 AMENDMENT Section 51(c) of Pub. L. 99-646 provided that: 'The amendment made by subsection (a)(2) (amending this section) shall take effect on the date of the taking of effect of section 3742 of title 18, United States Code (Nov. 1, 1987).' Amendment by section 55(a), (d) of Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3145, 3156 of this title. ------DocID 24683 Document 925 of 1438------ -CITE- 18 USC Sec. 3144 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3144. Release or detention of a material witness -STATUTE- If it appears from an affidavit filed by a party that the testimony of a person is material in a criminal proceeding, and if it is shown that it may become impracticable to secure the presence of the person by subpoena, a judicial officer may order the arrest of the person and treat the person in accordance with the provisions of section 3142 of this title. No material witness may be detained because of inability to comply with any condition of release if the testimony of such witness can adequately be secured by deposition, and if further detention is not necessary to prevent a failure of justice. Release of a material witness may be delayed for a reasonable period of time until the deposition of the witness can be taken pursuant to the Federal Rules of Criminal Procedure. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1982, and amended Pub. L. 99-646, Sec. 55(e), Nov. 10, 1986, 100 Stat. 3609.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in text, are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3144, act June 25, 1948, ch. 645, 62 Stat. 821, which related to cases removed from State courts, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1986 - Pub. L. 99-646 substituted 'subpoena' for 'subpena' and inserted 'of this title'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title; title 28 section 1821. ------DocID 24684 Document 926 of 1438------ -CITE- 18 USC Sec. 3145 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3145. Review and appeal of a release or detention order -STATUTE- (a) Review of a Release Order. - If a person is ordered released by a magistrate, or by a person other than a judge of a court having original jurisdiction over the offense and other than a Federal appellate court - (1) the attorney for the Government may file, with the court having original jurisdiction over the offense, a motion for revocation of the order or amendment of the conditions of release; and (2) the person may file, with the court having original jurisdiction over the offense, a motion for amendment of the conditions of release. The motion shall be determined promptly. (b) Review of a Detention Order. - If a person is ordered detained by a magistrate, or by a person other than a judge of a court having original jurisdiction over the offense and other than a Federal appellate court, the person may file, with the court having original jurisdiction over the offense, a motion for revocation or amendment of the order. The motion shall be determined promptly. (c) Appeal From a Release or Detention Order. - An appeal from a release or detention order, or from a decision denying revocation or amendment of such an order, is governed by the provisions of section 1291 of title 28 and section 3731 of this title. The appeal shall be determined promptly. A person subject to detention pursuant to section 3143(a)(2) or (b)(2), and who meets the conditions of release set forth in section 3143(a)(1) or (b)(1), may be ordered released, under appropriate conditions, by the judicial officer, if it is clearly shown that there are exceptional reasons why such person's detention would not be appropriate. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1982, and amended Pub. L. 101-647, title IX, Sec. 902(c), Nov. 29, 1990, 104 Stat. 4827.) -MISC1- PRIOR PROVISIONS A prior section 3145, act June 25, 1948, ch. 645, 62 Stat. 821, which provided cross references to the Federal Rules of Criminal Procedure for rules covering parties and witnesses, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647 inserted at end 'A person subject to detention pursuant to section 3143(a)(2) or (b)(2), and who meets the conditions of release set forth in section 3143(a)(1) or (b)(1), may be ordered released, under appropriate conditions, by the judicial officer, if it is clearly shown that there are exceptional reasons why such person's detention would not be appropriate.' -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3154, 3156 of this title. ------DocID 24685 Document 927 of 1438------ -CITE- 18 USC Sec. 3146 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3146. Penalty for failure to appear -STATUTE- (a) Offense. - Whoever, having been released under this chapter knowingly - (1) fails to appear before a court as required by the conditions of release; or (2) fails to surrender for service of sentence pursuant to a court order; shall be punished as provided in subsection (b) of this section. (b) Punishment. - (1) The punishment for an offense under this section is - (A) if the person was released in connection with a charge of, or while awaiting sentence, surrender for service of sentence, or appeal or certiorari after conviction for - (i) an offense punishable by death, life imprisonment, or imprisonment for a term of 15 years or more, a fine under this title or imprisonment for not more than ten years, or both; (ii) an offense punishable by imprisonment for a term of five years or more, a fine under this title or imprisonment for not more than five years, or both; (iii) any other felony, a fine under this title or imprisonment for not more than two years, or both; or (iv) a misdemeanor, a fine under this chapter or imprisonment for not more than one year, or both; and (B) if the person was released for appearance as a material witness, a fine under this chapter or imprisonment for not more than one year, or both. (2) A term of imprisonment imposed under this section shall be consecutive to the sentence of imprisonment for any other offense. (c) Affirmative Defense. - It is an affirmative defense to a prosecution under this section that uncontrollable circumstances prevented the person from appearing or surrendering, and that the person did not contribute to the creation of such circumstances in reckless disregard of the requirement to appear or surrender, and that the person appeared or surrendered as soon as such circumstances ceased to exist. (d) Declaration of Forfeiture. - If a person fails to appear before a court as required, and the person executed an appearance bond pursuant to section 3142(b) of this title or is subject to the release condition set forth in clause (xi) or (xii) of section 3142(c)(1)(B) of this title, the judicial officer may, regardless of whether the person has been charged with an offense under this section, declare any property designated pursuant to that section to be forfeited to the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1982, and amended Pub. L. 99-646, Sec. 55(f), Nov. 10, 1986, 100 Stat. 3609.) -MISC1- PRIOR PROVISIONS A prior section 3146, added Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 214, and amended Pub. L. 97-291, Sec. 8, Oct. 12, 1982, 96 Stat. 1257, which related to release in noncapital cases prior to trial, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. Another prior section 3146, act Aug. 20, 1954, ch. 772, Sec. 1, 68 Stat. 747, which prescribed penalties for jumping bail, was repealed by Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 214, and covered by former sections 3150 and 3151 of this title. AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646, Sec. 55(f)(1), added subsec. (a) and struck out former subsec. (a) which read as follows: 'A person commits an offense if, after having been released pursuant to this chapter - '(1) he knowingly fails to appear before a court as required by the conditions of his release; or '(2) he knowingly fails to surrender for service of sentence pursuant to a court order.' Subsec. (b). Pub. L. 99-646, Sec. 55(f)(1), added subsec. (b) and struck out former subsec. (b) which was captioned 'Grading', and which read as follows: 'If the person was released - '(1) in connection with a charge of, or while awaiting sentence, surrender for service of sentence, or appeal or certiorari after conviction, for - '(A) an offense punishable by death, life imprisonment, or imprisonment for a term of fifteen years or more, he shall be fined not more than $25,000 or imprisoned for not more than ten years, or both; '(B) an offense punishable by imprisonment for a term of five or more years, but less than fifteen years, he shall be fined not more than $10,000 or imprisoned for not more than five years, or both; '(C) any other felony, he shall be fined not more than $5,000 or imprisoned for not more than two years, or both; or '(D) a misdemeanor, he shall be fined not more than $2,000 or imprisoned for not more than one year, or both; or '(2) for appearance as a material witness, he shall be fined not more than $1,000 or imprisoned for not more than one year, or both. A term of imprisonment imposed pursuant to this section shall be consecutive to the sentence of imprisonment for any other offense.' Subsec. (c). Pub. L. 99-646, Sec. 55(f)(2), substituted 'requirement to appear' for 'requirement that he appear' and 'the person appeared' for 'he appeared'. Subsec. (d). Pub. L. 99-646, Sec. 55(f)(3), inserted 'of this title' after '3142(b)' and substituted 'clause (xi) or (xii) of section 3142(c)(1)(B) of this title' for 'section 3142(c)(2)(K) or (c)(2)(L)'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 3156 of this title; title 28 section 994; title 42 section 10601. ------DocID 24686 Document 928 of 1438------ -CITE- 18 USC Sec. 3147 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3147. Penalty for an offense committed while on release -STATUTE- A person convicted of an offense committed while released under this chapter shall be sentenced, in addition to the sentence prescribed for the offense, to - (1) a term of imprisonment of not more than ten years if the offense is a felony; or (2) a term of imprisonment of not more than one year if the offense is a misdemeanor. A term of imprisonment imposed under this section shall be consecutive to any other sentence of imprisonment. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1983, and amended Pub. L. 98-473, title II, Sec. 223(g), Oct. 12, 1984, 98 Stat. 2028; Pub. L. 99-646, Sec. 55(g), Nov. 10, 1986, 100 Stat. 3610.) -MISC1- PRIOR PROVISIONS A prior section 3147, added Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 215, which related to appeals from conditions of release, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1986 - Pub. L. 99-646 substituted 'under' for 'pursuant to' in two places and 'for the offense,' for 'for the offense'. 1984 - Pub. L. 98-473, Sec. 223(g), struck out 'not less than two years and' after 'imprisonment of' in par. (1), and 'not less than ninety days and' after 'imprisonment of' in par. (2). EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title; title 28 section 994. ------DocID 24687 Document 929 of 1438------ -CITE- 18 USC Sec. 3148 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3148. Sanctions for violation of a release condition -STATUTE- (a) Available Sanctions. - A person who has been released under section 3142 of this title, and who has violated a condition of his release, is subject to a revocation of release, an order of detention, and a prosecution for contempt of court. (b) Revocation of Release. - The attorney for the Government may initiate a proceeding for revocation of an order of release by filing a motion with the district court. A judicial officer may issue a warrant for the arrest of a person charged with violating a condition of release, and the person shall be brought before a judicial officer in the district in which such person's arrest was ordered for a proceeding in accordance with this section. To the extent practicable, a person charged with violating the condition of release that such person not commit a Federal, State, or local crime during the period of release, shall be brought before the judicial officer who ordered the release and whose order is alleged to have been violated. The judicial officer shall enter an order of revocation and detention if, after a hearing, the judicial officer - (1) finds that there is - (A) probable cause to believe that the person has committed a Federal, State, or local crime while on release; or (B) clear and convincing evidence that the person has violated any other condition of release; and (2) finds that - (A) based on the factors set forth in section 3142(g) of this title, there is no condition or combination of conditions of release that will assure that the person will not flee or pose a danger to the safety of any other person or the community; or (B) the person is unlikely to abide by any condition or combination of conditions of release. If there is probable cause to believe that, while on release, the person committed a Federal, State, or local felony, a rebuttable presumption arises that no condition or combination of conditions will assure that the person will not pose a danger to the safety of any other person or the community. If the judicial officer finds that there are conditions of release that will assure that the person will not flee or pose a danger to the safety of any other person or the community, and that the person will abide by such conditions, the judicial officer shall treat the person in accordance with the provisions of section 3142 of this title and may amend the conditions of release accordingly. (c) Prosecution for Contempt. - The judicial officer may commence a prosecution for contempt, under section 401 of this title, if the person has violated a condition of release. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1983, and amended Pub. L. 99-646, Sec. 55(a), (h), Nov. 10, 1986, 100 Stat. 3607, 3610.) -MISC1- PRIOR PROVISIONS A prior section 3148, added Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 215, and amended Pub. L. 91-452, title X, Sec. 1002, Oct. 12, 1970, 84 Stat. 952, which related to release in capital cases or after conviction, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646, Sec. 55(a), (h)(1), substituted 'under section 3142 of this title' for 'pursuant to the provisions of section 3142'. Subsec. (b). Pub. L. 99-646, Sec. 55(h)(2), in introductory provision, substituted 'such person's arrest' for 'his arrest', 'condition of release that such person not commit' for 'condition of his release that he not commit', and 'period of release,' for 'period of release', in par. (1)(B) substituted 'condition of release' for 'condition of his release', in par. (2)(A) inserted 'of this title' after 'section 3142(g)', and in concluding provision, substituted 'the judicial officer shall' for 'he shall' and inserted 'of this title' after 'section 3142'. Subsec. (c). Pub. L. 99-646, Sec. 55(a), (h)(3), substituted 'judicial officer' for 'judge', 'under section 401 of this title' for 'pursuant to the provisions of section 401', and 'condition of release' for 'condition of his release'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3149, 3156 of this title. ------DocID 24688 Document 930 of 1438------ -CITE- 18 USC Sec. 3149 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3149. Surrender of an offender by a surety -STATUTE- A person charged with an offense, who is released upon the execution of an appearance bond with a surety, may be arrested by the surety, and if so arrested, shall be delivered promptly to a United States marshal and brought before a judicial officer. The judicial officer shall determine in accordance with the provisions of section 3148(b) whether to revoke the release of the person, and may absolve the surety of responsibility to pay all or part of the bond in accordance with the provisions of Rule 46 of the Federal Rules of Criminal Procedure. The person so committed shall be held in official detention until released pursuant to this chapter or another provision of law. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1984.) -MISC1- PRIOR PROVISIONS A prior section 3149, added Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 216, which related to release of material witnesses, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title; title 28 section 1821. ------DocID 24689 Document 931 of 1438------ -CITE- 18 USC Sec. 3150 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3150. Applicability to a case removed from a State court -STATUTE- The provisions of this chapter apply to a criminal case removed to a Federal court from a State court. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1984.) -MISC1- PRIOR PROVISIONS A prior section 3150, added Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 216, which related to penalties for failure to appear, was repealed in the revision of this chapter by section 203(a) of Pub. L. 98-473. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title. ------DocID 24690 Document 932 of 1438------ -CITE- 18 USC Sec. 3150a -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- (Sec. 3150a. Repealed. Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1976) -MISC1- Section, added Pub. L. 97-258, Sec. 2(d)(3)(B), Sept. 13, 1982, 96 Stat. 1059, and amended Pub. L. 98-473, title II, Sec. 1410, Oct. 12, 1984, 98 Stat. 2178, related to refund of forfeited bail. Section 1410 of Pub. L. 98-473 was subsequently repealed by Pub. L. 99-646, Sec. 49, Nov. 10, 1986, 100 Stat. 3605. ------DocID 24691 Document 933 of 1438------ -CITE- 18 USC Sec. 3151 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3151. Refund of forfeited bail -STATUTE- Appropriations available to refund money erroneously received and deposited in the Treasury are available to refund any part of forfeited bail deposited into the Treasury and ordered remitted under the Federal Rules of Criminal Procedure. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7084(a), Nov. 18, 1988, 102 Stat. 4408.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in text, are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3151, added Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 216, which related to contempt power of courts, was repealed by Pub. L. 98-473, title II, Sec. 203(a), Oct. 12, 1984, 98 Stat. 1976. ------DocID 24692 Document 934 of 1438------ -CITE- 18 USC Sec. 3152 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3152. Establishment of pretrial services -STATUTE- (a) On and after the date of the enactment of the Pretrial Services Act of 1982, the Director of the Administrative Office of the United States Courts (hereinafter in this chapter referred to as the 'Director') shall, under the supervision and direction of the Judicial Conference of the United States, provide directly, or by contract or otherwise (to such extent and in such amounts as are provided in appropriation Acts), for the establishment of pretrial services in each judicial district (other than the District of Columbia). Pretrial services established under this section shall be supervised by a chief probation officer appointed under section 3654 of this title or by a chief pretrial services officer selected under subsection (c) of this section. (b) Beginning eighteen months after the date of the enactment of the Pretrial Services Act of 1982, if an appropriate United States district court and the circuit judicial council jointly recommend the establishment under this subsection of pretrial services in a particular district, pretrial services shall be established under the general authority of the Administrative Office of the United States Courts. (c) The pretrial services established under subsection (b) of this section shall be supervised by a chief pretrial services officer selected by a panel consisting of the chief judge of the circuit, the chief judge of the district, and a magistrate of the district or their designees. The chief pretrial services officer appointed under this subsection shall be an individual other than one serving under authority of section 3654 of this title. -SOURCE- (Added Pub. L. 93-619, title II, Sec. 201, Jan. 3, 1975, 88 Stat. 2086, and amended Pub. L. 97-267, Sec. 2, Sept. 27, 1982, 96 Stat. 1136.) -REFTEXT- REFERENCES IN TEXT The date of enactment of the Pretrial Services Act of 1982, referred to in subsecs. (a) and (b), is the date of enactment of Pub. L. 97-267, which was approved Sept. 27, 1982. -MISC2- PRIOR PROVISIONS A prior section 3152, as added by Pub. L. 89-465, Sec. 3(a), June 22, 1966, 80 Stat. 216, defined the terms 'judicial officer' and 'offense', and was repealed by Pub. L. 93-619, title II, Sec. 201, Jan. 3, 1975, 88 Stat. 2086. See section 3156 of this title. AMENDMENTS 1982 - Pub. L. 97-267 struck out 'agencies' after 'services' in section catchline, divided previously unlettered text provisions into subsecs. (a), (b), and (c), and substituted revised provisions as so redesignated for provisions which required the Director of the Administrative Office of the United States Courts to establish, on a demonstration basis, in each of ten representative judicial districts (other than the District of Columbia), a pretrial services agency authorized to maintain effective supervision and control over, and to provide supportive services to, defendants released under this chapter such districts to be designated by the Chief Justice of the United States after consultation with the Attorney General, on the basis of such considerations as the number of criminal cases prosecuted annually in the district, the percentage of defendants in the district presently detained prior to trial, the incidence of crime charged against persons released pending trial under this chapter, and the availability of community resources to implement the conditions of release which may be imposed under this chapter. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- AUTHORIZATION OF APPROPRIATIONS Section 9 of Pub. L. 97-267 provided that: '(a) There are authorized to be appropriated, for the fiscal year ending September 30, 1984, and each succeeding fiscal year thereafter, such sums as may be necessary to carry out the functions and powers of pretrial services established under section 3152(b) of title 18, United States Code. '(b) There are authorized to be appropriated for the fiscal year ending September 30, 1983, and the fiscal year ending September 30, 1984, such sums as may be necessary to carry out the functions and powers of the pretrial services agencies established under section 3152 of title 18 of the United States Code in effect before the date of enactment of this Act (Sept. 27, 1982).' STATUS OF PRETRIAL SERVICES AGENCIES IN EFFECT PRIOR TO SEPTEMBER 27, 1982 Section 8 of Pub. L. 97-267 provided that: 'During the period beginning on the date of enactment of this Act (Sept. 27, 1982) and ending eighteen months after the date of the enactment of this Act, the pretrial services agencies established under section 3152 of title 18 of the United States Code in effect before the date of enactment of this Act may continue to operate, employ staff, provide pretrial services, and perform such functions and powers as are authorized under chapter 207 of title 18 of the United States Code (this chapter).' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3153, 3154, 3155, 3156 of this title; title 28 section 604. ------DocID 24693 Document 935 of 1438------ -CITE- 18 USC Sec. 3153 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3153. Organization and administration of pretrial services -STATUTE- (a)(1) With the approval of the district court, the chief pretrial services officer in districts in which pretrial services are established under section 3152(b) of this title shall appoint such other personnel as may be required. The position requirements and rate of compensation of the chief pretrial services officer and such other personnel shall be established by the Director with the approval of the Judicial Conference of the United States, except that no such rate of compensation shall exceed the rate of basic pay in effect and then payable for grade GS-16 of the General Schedule under section 5332 of title 5, United States Code. (2) The chief pretrial services officer in districts in which pretrial services are established under section 3152(b) of this title is authorized, subject to the general policy established by the Director and the approval of the district court, to procure temporary and intermittent services to the extent authorized by section 3109 of title 5, United States Code. The staff, other than clerical staff, may be drawn from law school students, graduate students, or such other available personnel. (b) The chief probation officer in all districts in which pretrial services are established under section 3152(a) of this title shall designate personnel appointed under chapter 231 of this title to perform pretrial services under this chapter. (c)(1) Except as provided in paragraph (2) of this subsection, information obtained in the course of performing pretrial services functions in relation to a particular accused shall be used only for the purposes of a bail determination and shall otherwise be confidential. Each pretrial services report shall be made available to the attorney for the accused and the attorney for the Government. (2) The Director shall issue regulations establishing the policy for release of information made confidential by paragraph (1) of this subsection. Such regulations shall provide exceptions to the confidentiality requirements under paragraph (1) of this subsection to allow access to such information - (A) by qualified persons for purposes of research related to the administration of criminal justice; (B) by persons under contract under section 3154(4) of this title; (C) by probation officers for the purpose of compiling presentence reports; (D) insofar as such information is a pretrial diversion report, to the attorney for the accused and the attorney for the Government; and (E) in certain limited cases, to law enforcement agencies for law enforcement purposes. (3) Information made confidential under paragraph (1) of this subsection is not admissible on the issue of guilt in a criminal judicial proceeding unless such proceeding is a prosecution for a crime committed in the course of obtaining pretrial release or a prosecution for failure to appear for the criminal judicial proceeding with respect to which pretrial services were provided. -SOURCE- (Added Pub. L. 93-619, title II, Sec. 201, Jan. 3, 1975, 88 Stat. 2086, and amended Pub. L. 97-287, Sec. 3, Sept. 27, 1982, 96 Stat. 1136.) -MISC1- AMENDMENTS 1982 - Pub. L. 97-267 substantially revised section by substituting provisions relating to the organization and administration of pretrial services for provisions relating to organization and administration of pretrial services agencies which vested the powers of five such agencies in the Division of Probation of the Administrative Office of the United States Courts and the powers of the remaining five agencies in Boards of Trustees, set forth requirements for membership and terms of office with respect to such Boards, and provided for appointment of Federal probation officers in agencies governed by the Division of Probation, and chief pretrial service officers in agencies governed by Boards of Trustees, which designated officers would be responsible for the direction and supervision of their respective agencies. REFERENCES IN OTHER LAWS TO GS-16, 17, OR 18 PAY RATES References in laws to the rates of pay for GS-16, 17, or 18, or to maximum rates of pay under the General Schedule, to be considered references to rates payable under specified sections of Title 5, Government Organization and Employees, see section 529 (title I, Sec. 101(c)(1)) of Pub. L. 101-509, set out in a note under section 5376 of Title 5. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title. ------DocID 24694 Document 936 of 1438------ -CITE- 18 USC Sec. 3154 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3154. Functions and powers relating to pretrial services -STATUTE- Pretrial services functions shall include the following: (1) Collect, verify, and report to the judicial officer, prior to the pretrial release hearing, information pertaining to the pretrial release of each individual charged with an offense, including information relating to any danger that the release of such person may pose to any other person or the community, and, where appropriate, include a recommendation as to whether such individual should be released or detained and, if release is recommended, recommend appropriate conditions of release. (2) Review and modify the reports and recommendations specified in paragraph (1) of this section for persons seeking release pursuant to section 3145 of this chapter. (3) Supervise persons released into its custody under this chapter. (4) Operate or contract for the operation of appropriate facilities for the custody or care of persons released under this chapter including residential halfway houses, addict and alcoholic treatment centers, and counseling services. (5) Inform the court and the United States attorney of all apparent violations of pretrial release conditions, arrests of persons released to the custody of providers of pretrial services or under the supervision of providers of pretrial services, and any danger that any such person may come to pose to any other person or the community, and recommend appropriate modifications of release conditions. (6) Serve as coordinator for other local agencies which serve or are eligible to serve as custodians under this chapter and advise the court as to the eligibility, availability, and capacity of such agencies. (7) Assist persons released under this chapter in securing any necessary employment, medical, legal, or social services. (8) Prepare, in cooperation with the United States marshal and the United States attorney such pretrial detention reports as are required by the provisions of the Federal Rules of Criminal Procedure relating to the supervision of detention pending trial. (9) Develop and implement a system to monitor and evaluate bail activities, provide information to judicial officers on the results of bail decisions, and prepare periodic reports to assist in the improvement of the bail process. (10) To the extent provided for in an agreement between a chief pretrial services officer in districts in which pretrial services are established under section 3152(b) of this title, or the chief probation officer in all other districts, and the United States attorney, collect, verify, and prepare reports for the United States attorney's office of information pertaining to the pretrial diversion of any individual who is or may be charged with an offense, and perform such other duties as may be required under any such agreement. (11) Make contracts, to such extent and in such amounts as are provided in appropriation Acts, for the carrying out of any pretrial services functions. (12) Perform such other functions as specified under this chapter. -SOURCE- (Added Pub. L. 93-619, title II, Sec. 201, Jan. 3, 1975, 88 Stat. 2087, and amended Pub. L. 97-267, Sec. 4, Sept. 27, 1982, 96 Stat. 1137; Pub. L. 98-473, title II, Sec. 203(b), Oct. 12, 1984, 98 Stat. 1984; Pub. L. 101-647, title XXXV, Sec. 3576, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Par. (1). Pub. L. 101-647 substituted 'community, and, where appropriate, include a recommendation as to whether such individual should be released or detained and, if release is recommended, recommend appropriate conditions of release.' for 'community' and all that followed through end of par. (1). 1984 - Par. (1). Pub. L. 98-473, Sec. 203(b)(1), which directed the amendment of par. (1), by striking out 'and recommend appropriate release conditions for each such person' and inserting in lieu thereof 'and, where appropriate, include a recommendation as to whether such individual should be released or detained and, if release is recommended, recommend appropriate conditions of release' could not be executed because such language did not appear. See 1990 Amendment note above. Par. (2). Pub. L. 98-473, Sec. 203(b)(2), substituted 'section 3145' for 'section 3146(e) or section 3147'. 1982 - Pub. L. 97-267 substituted 'relating to pretrial services' for 'of pretrial services agencies' in section catchline, in par. (1) struck out provisions relating to agency files concerning the pretrial release of persons charged with an offense, the establishment of regulations concerning the release of such files, and the access to and admissibility of these files, in par. (4) struck out provision relating to the cooperation of the Administrative Office of the United States Courts and the approval of the Attorney General and provision not limiting this paragraph to those facilities listed thereunder, in par. (5) inserted provisions that pretrial services may provide the United States Attorney as well as the court with information described under this paragraph and that such information also includes any danger that a person released to the custody of pretrial services may come to pose to any other person or the community, in par. (9) substituted provisions that pretrial services shall develop and implement a system to monitor and evaluate bail activities, provide information on the result of bail decisions, and prepare periodic reports to assist the improvement of the bail process for provisions that pretrial services agencies would perform such other functions as the court might assign, and added pars. (10)-(12). DEMONSTRATION PROGRAM FOR DRUG TESTING OF ARRESTED PERSONS AND DEFENDANTS ON PROBATION OR SUPERVISED RELEASE Pub. L. 100-690, title VII, Sec. 7304, Nov. 18, 1988, 102 Stat. 4464, provided that: '(a) Establishment. - The Director of the Administrative Office of the United States Courts shall establish a demonstration program of mandatory testing of criminal defendants. '(b) Length of Program. - The demonstration program shall begin not later than January 1, 1989, and shall last two years. '(c) Selection of Districts. - The Judicial Conference of the United States shall select 8 Federal judicial districts in which to carry out the demonstration program, so that the group selected represents a mix of districts on the basis of criminal caseload and the types of cases in that caseload. '(d) Inclusion in Pretrial Services. - In each of the districts in which the demonstration program takes place, pretrial services under chapter 207 of title 18, United States Code, shall arrange for the drug testing of defendants in criminal cases. To the extent feasible, such testing shall be completed before the defendant makes the defendant's initial appearance in the case before a judicial officer. The results of such testing shall be included in the report to the judicial officer under section 3154 of title 18, United States Code. '(e) Mandatory Condition of Probation and Supervised Release. - In each of the judicial districts in which the demonstration program is in effect, it shall be an additional, mandatory condition of probation, and an additional mandatory condition of supervised release for offenses occurring or completed on or after January 1, 1989, for any defendant convicted of a felony, that such defendant refrain from any illegal use of any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)) and submit to periodic drug tests for use of controlled substances at least once every 60 days. The requirement that drug tests be administered at least once every 60 days may be suspended upon motion of the Director of the Administrative Office, or the Director's designee, if, after at least one year of probation or supervised release, the defendant has passed all drug tests administered pursuant to this section. No action may be taken against a defendant pursuant to a drug test administered in accordance with this subsection unless the drug test confirmation is a urine drug test confirmed using gas chromatography techniques or such test as the Secretary of Health and Human Services may determine to be of equivalent accuracy. '(f) Report to Congress. - Not later than 90 days after the first year of the demonstration program and not later than 90 days after the end of the demonstration program, the Director of the Administrative Office of the United States Courts shall report to Congress on the effectiveness of the demonstration program and include in such report recommendations as to whether mandatory drug testing of defendants should be made more general and permanent.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3153, 3156 of this title. ------DocID 24695 Document 937 of 1438------ -CITE- 18 USC Sec. 3155 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3155. Annual reports -STATUTE- Each chief pretrial services officer in districts in which pretrial services are established under section 3152(b) of this title, and each chief probation officer in all other districts, shall prepare an annual report to the chief judge of the district court and the Director concerning the administration and operation of pretrial services. The Director shall be required to include in the Director's annual report to the Judicial Conference under section 604 of title 28 a report on the administration and operation of the pretrial services for the previous year. -SOURCE- (Added Pub. L. 93-619, title II, Sec. 201, Jan. 3, 1975, 88 Stat. 2088, and amended Pub. L. 97-267, Sec. 5, Sept. 27, 1982, 96 Stat. 1138.) -MISC1- AMENDMENTS 1982 - Pub. L. 97-267 substituted provisions that each pretrial services officer or chief probation officer shall prepare an annual report to the chief judge of the district court and to the Director concerning the administration and operation of pretrial services and that the Director must include in the Director's annual report to the Judicial Conference a report on the administration and operation of the pretrial services for the previous year for provisions relating to the Director's annual report to Congress, the contents of the Director's fourth annual report, and that on or before the expiration of the forty-eighth-month period following July 1, 1975, the Director would file a comprehensive report with Congress concerning the administration and operation of the amendments made by the Speedy Trial Act of 1974, including his views and recommendations with respect thereto. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3156 of this title. ------DocID 24696 Document 938 of 1438------ -CITE- 18 USC Sec. 3156 -EXPCITE- TITLE 18 PART II CHAPTER 207 -HEAD- Sec. 3156. Definitions -STATUTE- (a) As used in sections 3141-3150 of this chapter - (1) the term 'judicial officer' means, unless otherwise indicated, any person or court authorized pursuant to section 3041 of this title, or the Federal Rules of Criminal Procedure, to detain or release a person before trial or sentencing or pending appeal in a court of the United States, and any judge of the Superior Court of the District of Columbia; (2) the term 'offense' means any criminal offense, other than an offense triable by court-martial, military commission, provost court, or other military tribunal, which is in violation of an Act of Congress and is triable in any court established by Act of Congress; (3) the term 'felony' means an offense punishable by a maximum term of imprisonment of more than one year; and (4) the term 'crime of violence' means - (A) an offense that has as an element of the offense the use, attempted use, or threatened use of physical force against the person or property of another; or (B) any other offense that is a felony and that, by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense. (b) As used in sections 3152-3155 of this chapter - (1) the term 'judicial officer' means, unless otherwise indicated, any person or court authorized pursuant to section 3041 of this title, or the Federal Rules of Criminal Procedure, to detain or release a person before trial or sentencing or pending appeal in a court of the United States, and (2) the term 'offense' means any Federal criminal offense which is in violation of any Act of Congress and is triable by any court established by Act of Congress (other than a Class B or C misdemeanor or an infraction, or an offense triable by court-martial, military commission, provost court, or other military tribunal). -SOURCE- (Added Pub. L. 93-619, title II, Sec. 201, Jan. 3, 1975, 88 Stat. 2088, and amended Pub. L. 98-473, title II, Sec. 203(c), 223(h), Oct. 12, 1984, 98 Stat. 1985, 2029; Pub. L. 99-646, Sec. 55(i), Nov. 10, 1986, 100 Stat. 3610.) -MISC1- AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646 substituted 'the term' for 'The term' in pars. (1) to (4) and struck out 'and' after 'Congress;' in par. (2). 1984 - Subsec. (a). Pub. L. 98-473, Sec. 203(c)(1), substituted '3141' for '3146' in provision preceding par. (1). Subsec. (a)(1). Pub. L. 98-473, Sec. 203(c)(2), substituted 'to detain or release' for 'to bail or otherwise release' and struck out 'and' after 'District of Columbia;'. Subsec. (a)(3), (4). Pub. L. 98-473, Sec. 203(c)(3), (4), added pars. (3) and (4). Subsec. (b)(1). Pub. L. 98-473, Sec. 203(c)(5), substituted 'to detain or release' for 'to bail or otherwise release'. Subsec. (b)(2). Pub. L. 98-473, Sec. 223(h), substituted 'Class B or C misdemeanor or an infraction' for 'petty offense as defined in section 1(3) of this title'. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-646 effective 30 days after Nov. 10, 1986, see section 55(j) of Pub. L. 99-646, set out as a note under section 3141 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 223(h) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 24697 Document 939 of 1438------ -CITE- 18 USC CHAPTER 208 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- CHAPTER 208 - SPEEDY TRIAL -MISC1- Sec. 3161. Time limits and exclusions. 3162. Sanctions. 3163. Effective dates. 3164. Persons detained or designated as being of high risk. 3165. District plans - generally. 3166. District plans - contents. 3167. Reports to Congress. 3168. Planning process. 3169. Federal Judicial Center. 3170. Speedy trial data. 3171. Planning appropriations. 3172. Definitions. 3173. Sixth amendment rights. 3174. Judicial emergency and implementation. AMENDMENTS 1979 - Pub. L. 96-43, Sec. 11, Aug. 2, 1979, 93 Stat. 332, substituted 'Persons detained or designated as being of high risk' for 'Interim limits' in item 3164 and inserted 'and implementation' in item 3174. 1975 - Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2076, added chapter 208 and items 3161 to 3174. ------DocID 24698 Document 940 of 1438------ -CITE- 18 USC Sec. 3161 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3161. Time limits and exclusions -STATUTE- (a) In any case involving a defendant charged with an offense, the appropriate judicial officer, at the earliest practicable time, shall, after consultation with the counsel for the defendant and the attorney for the Government, set the case for trial on a day certain, or list it for trial on a weekly or other short-term trial calendar at a place within the judicial district, so as to assure a speedy trial. (b) Any information or indictment charging an individual with the commission of an offense shall be filed within thirty days from the date on which such individual was arrested or served with a summons in connection with such charges. If an individual has been charged with a felony in a district in which no grand jury has been in session during such thirty-day period, the period of time for filing of the indictment shall be extended an additional thirty days. (c)(1) In any case in which a plea of not guilty is entered, the trial of a defendant charged in an information or indictment with the commission of an offense shall commence within seventy days from the filing date (and making public) of the information or indictment, or from the date the defendant has appeared before a judicial officer of the court in which such charge is pending, whichever date last occurs. If a defendant consents in writing to be tried before a magistrate on a complaint, the trial shall commence within seventy days from the date of such consent. (2) Unless the defendant consents in writing to the contrary, the trial shall not commence less than thirty days from the date on which the defendant first appears through counsel or expressly waives counsel and elects to proceed pro se. (d)(1) If any indictment or information is dismissed upon motion of the defendant, or any charge contained in a complaint filed against an individual is dismissed or otherwise dropped, and thereafter a complaint is filed against such defendant or individual charging him with the same offense or an offense based on the same conduct or arising from the same criminal episode, or an information or indictment is filed charging such defendant with the same offense or an offense based on the same conduct or arising from the same criminal episode, the provisions of subsections (b) and (c) of this section shall be applicable with respect to such subsequent complaint, indictment, or information, as the case may be. (2) If the defendant is to be tried upon an indictment or information dismissed by a trial court and reinstated following an appeal, the trial shall commence within seventy days from the date the action occasioning the trial becomes final, except that the court retrying the case may extend the period for trial not to exceed one hundred and eighty days from the date the action occasioning the trial becomes final if the unavailability of witnesses or other factors resulting from the passage of time shall make trial within seventy days impractical. The periods of delay enumerated in section 3161(h) are excluded in computing the time limitations specified in this section. The sanctions of section 3162 apply to this subsection. (e) If the defendant is to be tried again following a declaration by the trial judge of a mistrial or following an order of such judge for a new trial, the trial shall commence within seventy days from the date the action occasioning the retrial becomes final. If the defendant is to be tried again following an appeal or a collateral attack, the trial shall commence within seventy days from the date the action occasioning the retrial becomes final, except that the court retrying the case may extend the period for retrial not to exceed one hundred and eighty days from the date the action occasioning the retrial becomes final if unavailability of witnesses or other factors resulting from passage of time shall make trial within seventy days impractical. The periods of delay enumerated in section 3161(h) are excluded in computing the time limitations specified in this section. The sanctions of section 3162 apply to this subsection. (f) Notwithstanding the provisions of subsection (b) of this section, for the first twelve-calendar-month period following the effective date of this section as set forth in section 3163(a) of this chapter the time limit imposed with respect to the period between arrest and indictment by subsection (b) of this section shall be sixty days, for the second such twelve-month period such time limit shall be forty-five days and for the third such period such time limit shall be thirty-five days. (g) Notwithstanding the provisions of subsection (c) of this section, for the first twelve-calendar-month period following the effective date of this section as set forth in section 3163(b) of this chapter, the time limit with respect to the period between arraignment and trial imposed by subsection (c) of this section shall be one hundred and eighty days, for the second such twelve-month period such time limit shall be one hundred and twenty days, and for the third such period such time limit with respect to the period between arraignment and trial shall be eighty days. (h) The following periods of delay shall be excluded in computing the time within which an information or an indictment must be filed, or in computing the time within which the trial of any such offense must commence: (1) Any period of delay resulting from other proceedings concerning the defendant, including but not limited to - (A) delay resulting from any proceeding, including any examinations, to determine the mental competency or physical capacity of the defendant; (B) delay resulting from any proceeding, including any examination of the defendant, pursuant to section 2902 of title 28, United States Code; (C) delay resulting from deferral of prosecution pursuant to section 2902 of title 28, United States Code; (D) delay resulting from trial with respect to other charges against the defendant; (E) delay resulting from any interlocutory appeal; (F) delay resulting from any pretrial motion, from the filing of the motion through the conclusion of the hearing on, or other prompt disposition of, such motion; (G) delay resulting from any proceeding relating to the transfer of a case or the removal of any defendant from another district under the Federal Rules of Criminal Procedure; (H) delay resulting from transportation of any defendant from another district, or to and from places of examination or hospitalization, except that any time consumed in excess of ten days from the date an order of removal or an order directing such transportation, and the defendant's arrival at the destination shall be presumed to be unreasonable; (I) delay resulting from consideration by the court of a proposed plea agreement to be entered into by the defendant and the attorney for the Government; and (J) delay reasonably attributable to any period, not to exceed thirty days, during which any proceeding concerning the defendant is actually under advisement by the court. (2) Any period of delay during which prosecution is deferred by the attorney for the Government pursuant to written agreement with the defendant, with the approval of the court, for the purpose of allowing the defendant to demonstrate his good conduct. (3)(A) Any period of delay resulting from the absence or unavailability of the defendant or an essential witness. (B) For purposes of subparagraph (A) of this paragraph, a defendant or an essential witness shall be considered absent when his whereabouts are unknown and, in addition, he is attempting to avoid apprehension or prosecution or his whereabouts cannot be determined by due diligence. For purposes of such subparagraph, a defendant or an essential witness shall be considered unavailable whenever his whereabouts are known but his presence for trial cannot be obtained by due diligence or he resists appearing at or being returned for trial. (4) Any period of delay resulting from the fact that the defendant is mentally incompetent or physically unable to stand trial. (5) Any period of delay resulting from the treatment of the defendant pursuant to section 2902 of title 28, United States Code. (6) If the information or indictment is dismissed upon motion of the attorney for the Government and thereafter a charge is filed against the defendant for the same offense, or any offense required to be joined with that offense, any period of delay from the date the charge was dismissed to the date the time limitation would commence to run as to the subsequent charge had there been no previous charge. (7) A reasonable period of delay when the defendant is joined for trial with a codefendant as to whom the time for trial has not run and no motion for severance has been granted. (8)(A) Any period of delay resulting from a continuance granted by any judge on his own motion or at the request of the defendant or his counsel or at the request of the attorney for the Government, if the judge granted such continuance on the basis of his findings that the ends of justice served by taking such action outweigh the best interest of the public and the defendant in a speedy trial. No such period of delay resulting from a continuance granted by the court in accordance with this paragraph shall be excludable under this subsection unless the court sets forth, in the record of the case, either orally or in writing, its reasons for finding that the ends of justice served by the granting of such continuance outweigh the best interests of the public and the defendant in a speedy trial. (B) The factors, among others, which a judge shall consider in determining whether to grant a continuance under subparagraph (A) of this paragraph in any case are as follows: (i) Whether the failure to grant such a continuance in the proceeding would be likely to make a continuation of such proceeding impossible, or result in a miscarriage of justice. (ii) Whether the case is so unusual or so complex, due to the number of defendants, the nature of the prosecution, or the existence of novel questions of fact or law, that it is unreasonable to expect adequate preparation for pretrial proceedings or for the trial itself within the time limits established by this section. (iii) Whether, in a case in which arrest precedes indictment, delay in the filing of the indictment is caused because the arrest occurs at a time such that it is unreasonable to expect return and filing of the indictment within the period specified in section 3161(b), or because the facts upon which the grand jury must base its determination are unusual or complex. (iv) Whether the failure to grant such a continuance in a case which, taken as a whole, is not so unusual or so complex as to fall within clause (ii), would deny the defendant reasonable time to obtain counsel, would unreasonably deny the defendant or the Government continuity of counsel, or would deny counsel for the defendant or the attorney for the Government the reasonable time necessary for effective preparation, taking into account the exercise of due diligence. (C) No continuance under subparagraph (A) of this paragraph shall be granted because of general congestion of the court's calendar, or lack of diligent preparation or failure to obtain available witnesses on the part of the attorney for the Government. (9) Any period of delay, not to exceed one year, ordered by a district court upon an application of a party and a finding by a preponderance of the evidence that an official request, as defined in section 3292 of this title, has been made for evidence of any such offense and that it reasonably appears, or reasonably appeared at the time the request was made, that such evidence is, or was, in such foreign country. (i) If trial did not commence within the time limitation specified in section 3161 because the defendant had entered a plea of guilty or nolo contendere subsequently withdrawn to any or all charges in an indictment or information, the defendant shall be deemed indicted with respect to all charges therein contained within the meaning of section 3161, on the day the order permitting withdrawal of the plea becomes final. (j)(1) If the attorney for the Government knows that a person charged with an offense is serving a term of imprisonment in any penal institution, he shall promptly - (A) undertake to obtain the presence of the prisoner for trial; or (B) cause a detainer to be filed with the person having custody of the prisoner and request him to so advise the prisoner and to advise the prisoner of his right to demand trial. (2) If the person having custody of such prisoner receives a detainer, he shall promptly advise the prisoner of the charge and of the prisoner's right to demand trial. If at any time thereafter the prisoner informs the person having custody that he does demand trial, such person shall cause notice to that effect to be sent promptly to the attorney for the Government who caused the detainer to be filed. (3) Upon receipt of such notice, the attorney for the Government shall promptly seek to obtain the presence of the prisoner for trial. (4) When the person having custody of the prisoner receives from the attorney for the Government a properly supported request for temporary custody of such prisoner for trial, the prisoner shall be made available to that attorney for the Government (subject, in cases of interjurisdictional transfer, to any right of the prisoner to contest the legality of his delivery). (k)(1) If the defendant is absent (as defined by subsection (h)(3)) on the day set for trial, and the defendant's subsequent appearance before the court on a bench warrant or other process or surrender to the court occurs more than 21 days after the day set for trial, the defendant shall be deemed to have first appeared before a judicial officer of the court in which the information or indictment is pending within the meaning of subsection (c) on the date of the defendant's subsequent appearance before the court. (2) If the defendant is absent (as defined by subsection (h)(3)) on the day set for trial, and the defendant's subsequent appearance before the court on a bench warrant or other process or surrender to the court occurs not more than 21 days after the day set for trial, the time limit required by subsection (c), as extended by subsection (h), shall be further extended by 21 days. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2076, and amended Pub. L. 96-43, Sec. 2-5, Aug. 2, 1979, 93 Stat. 327, 328; Pub. L. 98-473, title II, Sec. 1219, Oct. 12, 1984, 98 Stat. 2167; Pub. L. 100-690, title VI, Sec. 6476, Nov. 18, 1988, 102 Stat. 4380.) -MISC1- AMENDMENTS 1988 - Subsec. (k). Pub. L. 100-690 added subsec. (k). 1984 - Subsec. (h)(8)(C). Pub. L. 98-473, Sec. 1219(1), substituted 'subparagraph (A) of this paragraph' for 'paragraph (8)(A) of this subsection'. Subsec. (h)(9). Pub. L. 98-473, Sec. 1219(2), added par. (9). 1979 - Subsec. (c)(1). Pub. L. 96-43, Sec. 2, merged the ten day indictment-to-arraignment and the sixty day arraignment-to-trial limits into a single seventy day indictment-to-trial period. Subsec. (c)(2). Pub. L. 96-43, Sec. 2, added par. (2). Subsec. (d). Pub. L. 96-43, Sec. 3(a), designated existing provisions as par. (1) and added par. (2). Subsec. (e). Pub. L. 96-43, Sec. 3(b), substituted 'seventy days' for 'sixty days' in three places and inserted provisions excluding the periods of delay enumerated in subsec. (h) of this section in computing the time limitations specified in this section and applying the sanctions of section 3162 of this title to this subsection. Subsec. (h)(1). Pub. L. 96-43, Sec. 4, added to the listing of excludable delays, delays resulting from the deferral of prosecution under section 2902 of title 28, delays caused by consideration by the court of proposed plea agreements, and delays resulting from the transportation of a defendant from another district or for the purpose of examination or hospitalization, and expanded provisions relating to exclusions of periods of delay resulting from hearings on pretrial motions, examinations and hearings relating to the mental or physical condition of defendant, or the removal of a defendant from another district under the Federal Rules of Criminal Procedure. Subsec. (h)(8)(B)(ii). Pub. L. 96-43, Sec. 5(a), expanded provisions authorizing the granting of continuances based on the complexity or unusual nature of a case to include delays in preparation of all phases of a case, including pretrial motion preparation. Subsec. (h)(8)(B)(iii). Pub. L. 96-43, Sec. 5(b), inserted provision authorizing a continuance where the delay in filing the indictment is caused by the arrest taking place at such time that the return and filing of the indictment can not reasonably be expected within the period specified in section 3161(b) of this title. Subsec. (h)(8)(B)(iv). Pub. L. 96-43, Sec. 5(c), added cl. (iv). -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective 30 days after Oct. 12, 1984, see section 1220 of Pub. L. 98-473, set out as an Effective Date note under section 3505 of this title. SHORT TITLE OF 1979 AMENDMENT Section 1 of Pub. L. 96-43 provided: 'That this Act (amending this section and sections 3163 to 3168, 3170 and 3174 of this title) may be cited as the 'Speedy Trial Act Amendments Act of 1979'.' SHORT TITLE Section 1 of Pub. L. 93-619 provided: 'That this Act (enacting this chapter and sections 3153 to 3156 of this title, and amending section 3152 of this title, and section 604 of Title 28, Judiciary and Judicial Procedure) may be cited as the 'Speedy Trial Act of 1974'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3162, 3163, 3164, 3165, 3166, 3167, 3174 of this title. ------DocID 24699 Document 941 of 1438------ -CITE- 18 USC Sec. 3162 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3162. Sanctions -STATUTE- (a)(1) If, in the case of any individual against whom a complaint is filed charging such individual with an offense, no indictment or information is filed within the time limit required by section 3161(b) as extended by section 3161(h) of this chapter, such charge against that individual contained in such complaint shall be dismissed or otherwise dropped. In determining whether to dismiss the case with or without prejudice, the court shall consider, among others, each of the following factors: the seriousness of the offense; the facts and circumstances of the case which led to the dismissal; and the impact of a reprosecution on the administration of this chapter and on the administration of justice. (2) If a defendant is not brought to trial within the time limit required by section 3161(c) as extended by section 3161(h), the information or indictment shall be dismissed on motion of the defendant. The defendant shall have the burden of proof of supporting such motion but the Government shall have the burden of going forward with the evidence in connection with any exclusion of time under subparagraph 3161(h)(3). In determining whether to dismiss the case with or without prejudice, the court shall consider, among others, each of the following factors: the seriousness of the offense; the facts and circumstances of the case which led to the dismissal; and the impact of a reprosecution on the administration of this chapter and on the administration of justice. Failure of the defendant to move for dismissal prior to trial or entry of a plea of guilty or nolo contendere shall constitute a waiver of the right to dismissal under this section. (b) In any case in which counsel for the defendant or the attorney for the Government (1) knowingly allows the case to be set for trial without disclosing the fact that a necessary witness would be unavailable for trial; (2) files a motion solely for the purpose of delay which he knows is totally frivolous and without merit; (3) makes a statement for the purpose of obtaining a continuance which he knows to be false and which is material to the granting of a continuance; or (4) otherwise willfully fails to proceed to trial without justification consistent with section 3161 of this chapter, the court may punish any such counsel or attorney, as follows: (A) in the case of an appointed defense counsel, by reducing the amount of compensation that otherwise would have been paid to such counsel pursuant to section 3006A of this title in an amount not to exceed 25 per centum thereof; (B) in the case of a counsel retained in connection with the defense of a defendant, by imposing on such counsel a fine of not to exceed 25 per centum of the compensation to which he is entitled in connection with his defense of such defendant; (C) by imposing on any attorney for the Government a fine of not to exceed $250; (D) by denying any such counsel or attorney for the Government the right to practice before the court considering such case for a period of not to exceed ninety days; or (E) by filing a report with an appropriate disciplinary committee. The authority to punish provided for by this subsection shall be in addition to any other authority or power available to such court. (c) The court shall follow procedures established in the Federal Rules of Criminal Procedure in punishing any counsel or attorney for the Government pursuant to this section. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2079.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3161, 3163, 3174 of this title. ------DocID 24700 Document 942 of 1438------ -CITE- 18 USC Sec. 3163 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3163. Effective dates -STATUTE- (a) The time limitation in section 3161(b) of this chapter - (1) shall apply to all individuals who are arrested or served with a summons on or after the date of expiration of the twelve-calendar-month period following July 1, 1975; and (2) shall commence to run on such date of expiration to all individuals who are arrested or served with a summons prior to the date of expiration of such twelve-calendar-month period, in connection with the commission of an offense, and with respect to which offense no information or indictment has been filed prior to such date of expiration. (b) The time limitation in section 3161(c) of this chapter - (1) shall apply to all offenses charged in informations or indictments filed on or after the date of expiration of the twelve-calendar-month period following July 1, 1975; and (2) shall commence to run on such date of expiration as to all offenses charged in informations or indictments filed prior to that date. (c) Subject to the provisions of section 3174(c), section 3162 of this chapter shall become effective and apply to all cases commenced by arrest or summons, and all informations or indictments filed, on or after July 1, 1980. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2080, and amended Pub. L. 96-43, Sec. 6, Aug. 2, 1979, 93 Stat. 328.) -MISC1- AMENDMENTS 1979 - Subsec. (c). Pub. L. 96-43 substituted provision that section 3162 of this title was to become effective and apply to all cases commenced by arrest or summons, and all informations and indictments filed, on or after July 1, 1980, subject to section 3174(c) of this title, for provision that such section was to become effective after the date of expiration of the fourth twelve-calendar-month period following July 1, 1975. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3161 of this title. ------DocID 24701 Document 943 of 1438------ -CITE- 18 USC Sec. 3164 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3164. Persons detained or designated as being of high risk -STATUTE- (a) The trial or other disposition of cases involving - (1) a detained person who is being held in detention solely because he is awaiting trial, and (2) a released person who is awaiting trial and has been designated by the attorney for the Government as being of high risk, shall be accorded priority. (b) The trial of any person described in subsection (a)(1) or (a)(2) of this section shall commence not later than ninety days following the beginning of such continuous detention or designation of high risk by the attorney for the Government. The periods of delay enumerated in section 3161(h) are excluded in computing the time limitation specified in this section. (c) Failure to commence trial of a detainee as specified in subsection (b), through no fault of the accused or his counsel, or failure to commence trial of a designated releasee as specified in subsection (b), through no fault of the attorney for the Government, shall result in the automatic review by the court of the conditions of release. No detainee, as defined in subsection (a), shall be held in custody pending trial after the expiration of such ninety-day period required for the commencement of his trial. A designated releasee, as defined in subsection (a), who is found by the court to have intentionally delayed the trial of his case shall be subject to an order of the court modifying his nonfinancial conditions of release under this title to insure that he shall appear at trial as required. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2081, and amended Pub. L. 96-43, Sec. 7, Aug. 2, 1979, 93 Stat. 329.) -MISC1- AMENDMENTS 1979 - Pub. L. 96-43, Sec. 7(1), substituted 'Persons detained or designated as being of high risk' for 'Interim limits' in section catchline. Subsec. (a). Pub. L. 96-43, Sec. 7(2), struck out provisions limiting the trial priority to be accorded persons specified in cls. (1) and (2) of this subsection to the interim period commencing ninety days following July 1, 1975 and ending on the date immediately preceding the date on which the time limits provided for under section 3161(b) and (c) of this title become effective. Subsec. (b). Pub. L. 96-43, Sec. 7(3), struck out provisions making trial priority provisions of this subsection applicable during an interim period only and requiring the trial of any person detained or designated by the government as being of high risk on or before the first day of such interim period to commence no later than ninety days following the first day of the period and inserted provision excluding the periods of delay specified in section 3161(h) of this title in computing the time limitation of this section. ------DocID 24702 Document 944 of 1438------ -CITE- 18 USC Sec. 3165 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3165. District plans - generally -STATUTE- (a) Each district court shall conduct a continuing study of the administration of criminal justice in the district court and before United States magistrates of the district and shall prepare plans for the disposition of criminal cases in accordance with this chapter. Each such plan shall be formulated after consultation with, and after considering the recommendations of, the Federal Judicial Center and the planning group established for that district pursuant to section 3168. The plans shall be prepared in accordance with the schedule set forth in subsection (e) of this section. (b) The planning and implementation process shall seek to accelerate the disposition of criminal cases in the district consistent with the time standards of this chapter and the objectives of effective law enforcement, fairness to accused persons, efficient judicial administration, and increased knowledge concerning the proper functioning of the criminal law. The process shall seek to avoid underenforcement, overenforcement and discriminatory enforcement of the law, prejudice to the prompt disposition of civil litigation, and undue pressure as well as undue delay in the trial of criminal cases. (c) The plans prepared by each district court shall be submitted for approval to a reviewing panel consisting of the members of the judicial council of the circuit and either the chief judge of the district court whose plan is being reviewed or such other active judge of that court as the chief judge of that district court may designate. If approved by the reviewing panel, the plan shall be forwarded to the Administrative Office of the United States Courts, which office shall report annually on the operation of such plans to the Judicial Conference of the United States. (d) The district court may modify the plan at any time with the approval of the reviewing panel. It shall modify the plan when directed to do so by the reviewing panel or the Judicial Conference of the United States. Modifications shall be reported to the Administrative Office of the United States Courts. (e)(1) Prior to the expiration of the twelve-calendar-month period following July 1, 1975, each United States district court shall prepare and submit a plan in accordance with subsections (a) through (d) above to govern the trial or other disposition of offenses within the jurisdiction of such court during the second and third twelve-calendar-month periods following the effective date of subsection 3161(b) and subsection 3161(c). (2) Prior to the expiration of the thirty-six calendar month period following July 1, 1975, each United States district court shall prepare and submit a plan in accordance with subsections (a) through (d) above to govern the trial or other disposition of offenses within the jurisdiction of such court during the fourth and fifth twelve-calendar-month periods following the effective date of subsection 3161(b) and subsection 3161(c). (3) Not later than June 30, 1980, each United States district court with respect to which implementation has not been ordered under section 3174(c) shall prepare and submit a plan in accordance with subsections (a) through (d) to govern the trial or other disposition of offenses within the jurisdiction of such court during the sixth and subsequent twelve-calendar-month periods following the effective date of subsection 3161(b) and subsection 3161(c) in effect prior to the date of enactment of this paragraph. (f) Plans adopted pursuant to this section shall, upon adoption, and recommendations of the district planning group shall, upon completion, become public documents. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2081, and amended Pub. L. 96-43, Sec. 8, Aug. 2, 1979, 93 Stat. 329; Pub. L. 101-647, title XXXV, Sec. 3577, Nov. 29, 1990, 104 Stat. 4929.) -REFTEXT- REFERENCES IN TEXT For the effective date of subsection 3161(b) and subsection 3161(c) in effect prior to the date of enactment of this paragraph, referred to in subsec. (e), see section 3163(a) and (b) of this title. The date of enactment of par. (3) of subsec. (e) of this section is the date of enactment of Pub. L. 96-43, which was approved Aug. 2, 1979. Subsecs. (a) and (b) of section 3163 of this title were not amended by Pub. L. 96-43. -MISC2- AMENDMENTS 1990 - Subsec. (e)(2). Pub. L. 101-647 substituted 'twelve-calendar-month' for 'twelve-calendar month'. 1979 - Subsec. (e)(2). Pub. L. 96-43, Sec. 8(1), substituted 'fifth twelve-calendar' for 'subsequent twelve-calendar'. Subsec. (e)(3). Pub. L. 96-43, Sec. 8(2), added par. (3). -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3166, 3167, 3168 of this title. ------DocID 24703 Document 945 of 1438------ -CITE- 18 USC Sec. 3166 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3166. District plans - contents -STATUTE- (a) Each plan shall include a description of the time limits, procedural techniques, innovations, systems and other methods, including the development of reliable methods for gathering and monitoring information and statistics, by which the district court, the United States attorney, the Federal public defender, if any, and private attorneys experienced in the defense of criminal cases, have expedited or intend to expedite the trial or other disposition of criminal cases, consistent with the time limits and other objectives of this chapter. (b) Each plan shall include information concerning the implementation of the time limits and other objectives of this chapter, including: (1) the incidence of and reasons for, requests or allowances of extensions of time beyond statutory or district standards; (2) the incidence of, and reasons for, periods of delay under section 3161(h) of this title; (3) the incidence of, and reasons for, the invocation of sanctions for noncompliance with time standards, or the failure to invoke such sanctions, and the nature of the sanction, if any invoked for noncompliance; (4) the new timetable set, or requested to be set, for an extension; (5) the effect on criminal justice administration of the prevailing time limits and sanctions, including the effects on the prosecution, the defense, the courts, the correctional process, costs, transfers and appeals; (6) the incidence and length of, reasons for, and remedies for detention prior to trial, and information required by the provisions of the Federal Rules of Criminal Procedure relating to the supervision of detention pending trial; (7) the identity of cases which, because of their special characteristics, deserve separate or different time limits as a matter of statutory classifications; (8) the incidence of, and reasons for each thirty-day extension under section 3161(b) with respect to an indictment in that district; and (9) the impact of compliance with the time limits of subsections (b) and (c) of section 3161 upon the civil case calendar in the district. (c) Each district plan required by section 3165 shall include information and statistics concerning the administration of criminal justice within the district, including, but not limited to: (1) the time span between arrest and indictment, indictment and trial, and conviction and sentencing; (2) the number of matters presented to the United States Attorney for prosecution, and the numbers of such matters prosecuted and not prosecuted; (3) the number of matters transferred to other districts or to States for prosecution; (4) the number of cases disposed of by trial and by plea; (5) the rates of nolle prosequi, dismissal, acquittal, conviction, diversion, or other disposition; (6) the extent of preadjudication detention and release, by numbers of defendants and days in custody or at liberty prior to disposition; and (7)(A) the number of new civil cases filed in the twelve-calendar-month period preceding the submission of the plan; (B) the number of civil cases pending at the close of such period; and (C) the increase or decrease in the number of civil cases pending at the close of such period, compared to the number pending at the close of the previous twelve-calendar-month period, and the length of time each such case has been pending. (d) Each plan shall further specify the rule changes, statutory amendments, and appropriations needed to effectuate further improvements in the administration of justice in the district which cannot be accomplished without such amendments or funds. (e) Each plan shall include recommendations to the Administrative Office of the United States Courts for reporting forms, procedures, and time requirements. The Director of the Administrative Office of the United States Courts, with the approval of the Judicial Conference of the United States, shall prescribe such forms and procedures and time requirements consistent with section 3170 after consideration of the recommendations contained in the district plan and the need to reflect both unique local conditions and uniform national reporting standards. (f) Each plan may be accompanied by guidelines promulgated by the judicial council of the circuit for use by all district courts within that circuit to implement and secure compliance with this chapter. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2082, and amended Pub. L. 96-43, Sec. 9(a)-(c), Aug. 2, 1979, 93 Stat. 329; Pub. L. 101-647, title XXXV, Sec. 3578, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Subsec. (b)(8). Pub. L. 101-647 substituted 'extension' for 'extention'. 1979 - Subsec. (b)(9). Pub. L. 96-43, Sec. 9(a), added par. (9). Subsec. (c)(7). Pub. L. 96-43, Sec. 9(b), added par. (7). Subsec. (f). Pub. L. 96-43, Sec. 9(c), added subsec. (f). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3167, 3170 of this title. ------DocID 24704 Document 946 of 1438------ -CITE- 18 USC Sec. 3167 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3167. Reports to Congress -STATUTE- (a) The Administrative Office of the United States Courts, with the approval of the Judicial Conference, shall submit periodic reports to Congress detailing the plans submitted pursuant to section 3165. The reports shall be submitted within three months following the final dates for the submission of plans under section 3165(e) of this title. (b) Such reports shall include recommendations for legislative changes or additional appropriations to achieve the time limits and objectives of this chapter. The report shall also contain pertinent information such as the state of the criminal docket at the time of the adoption of the plan; the extent of pretrial detention and release; and a description of the time limits, procedural techniques, innovations, systems, and other methods by which the trial or other disposition of criminal cases have been expedited or may be expedited in the districts. Such reports shall also include the following: (1) The reasons why, in those cases not in compliance with the time limits of subsections (b) and (c) of section 3161, the provisions of section 3161(h) have not been adequate to accommodate reasonable periods of delay. (2) The category of offenses, the number of defendants, and the number of counts involved in those cases which are not meeting the time limits specified in subsections (b) and (c) of section 3161. (3) The additional judicial resources which would be necessary in order to achieve compliance with the time limits specified in subsections (b) and (c) of section 3161. (4) The nature of the remedial measures which have been employed to improve conditions and practices in those districts with low compliance experience under this chapter or to promote the adoption of practices and procedures which have been successful in those districts with high compliance experience under this chapter. (5) If a district has experienced difficulty in complying with this chapter, but an application for relief under section 3174 has not been made, the reason why such application has not been made. (6) The impact of compliance with the time limits of subsections (b) and (c) of section 3161 upon the civil case calendar in each district as demonstrated by the information assembled and statistics compiled and submitted under sections 3166 and 3170. (c) Not later than December 31, 1979, the Department of Justice shall prepare and submit to the Congress a report which sets forth the impact of the implementation of this chapter upon the office of the United States Attorney in each district and which shall also include - (1) the reasons why, in those cases not in compliance, the provisions of section 3161(h) have not been adequate to accommodate reasonable periods of delay; (2) the nature of the remedial measures which have been employed to improve conditions and practices in the offices of the United States Attorneys in those districts with low compliance experience under this chapter or to promote the adoption of practices and procedures which have been successful in those districts with high compliance experience under this chapter; (3) the additional resources for the offices of the United States Attorneys which would be necessary to achieve compliance with the time limits of subsections (b) and (c) of section 3161; (4) suggested changes in the guidelines or other rules implementing this chapter or statutory amendments which the Department of Justice deems necessary to further improve the administration of justice and meet the objectives of this chapter; and (5) the impact of compliance with the time limits of subsections (b) and (c) of section 3161 upon the litigation of civil cases by the offices of the United States Attorneys and the rule changes, statutory amendments, and resources necessary to assure that such litigation is not prejudiced by full compliance with this chapter. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2083, and amended Pub. L. 96-43, Sec. 9(e), Aug. 2, 1979, 93 Stat. 330.) -MISC1- AMENDMENTS 1979 - Subsec. (b). Pub. L. 96-43, Sec. 9(e)(1), inserted last sentence containing pars. (1) to (6). Subsec. (c). Pub. L. 96-43, Sec. 9(e)(2), added subsec. (c). ------DocID 24705 Document 947 of 1438------ -CITE- 18 USC Sec. 3168 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3168. Planning process -STATUTE- (a) Within sixty days after July 1, 1975, each United States district court shall convene a planning group consisting at minimum of the Chief Judge, a United States magistrate, if any designated by the Chief Judge, the United States Attorney, the Clerk of the district court, the Federal Public Defender, if any, two private attorneys, one with substantial experience in the defense of criminal cases in the district and one with substantial experience in civil litigation in the district, the Chief United States Probation Officer for the district, and a person skilled in criminal justice research who shall act as reporter for the group. The group shall advise the district court with respect to the formulation of all district plans and shall submit its recommendations to the district court for each of the district plans required by section 3165. The group shall be responsible for the initial formulation of all district plans and of the reports required by this chapter and in aid thereof, it shall be entitled to the planning funds specified in section 3171. (b) The planning group shall address itself to the need for reforms in the criminal justice system, including but not limited to changes in the grand jury system, the finality of criminal judgments, habeas corpus and collateral attacks, pretrial diversion, pretrial detention, excessive reach of Federal criminal law, simplification and improvement of pretrial and sentencing procedures, and appellate delay. (c) Members of the planning group with the exception of the reporter shall receive no additional compensation for their services, but shall be reimbursed for travel, subsistence and other necessary expenses incurred by them in carrying out the duties of the advisory group in accordance with the provisions of title 5, United States Code, chapter 57. The reporter shall be compensated in accordance with section 3109 of title 5, United States Code, and notwithstanding other provisions of law he may be employed for any period of time during which his services are needed. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2083, and amended Pub. L. 96-43, Sec. 9(d), Aug. 2, 1979, 93 Stat. 330.) -MISC1- AMENDMENTS 1979 - Subsec. (a). Pub. L. 96-43 substituted 'two private attorneys, one with substantial experience in the defense of criminal cases in the district and one with substantial experience in civil litigation in the district' for 'a private attorney experienced in the defense of criminal cases in the district'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3165 of this title. ------DocID 24706 Document 948 of 1438------ -CITE- 18 USC Sec. 3169 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3169. Federal Judicial Center -STATUTE- The Federal Judicial Center shall advise and consult with the planning groups and the district courts in connection with their duties under this chapter. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2084.) ------DocID 24707 Document 949 of 1438------ -CITE- 18 USC Sec. 3170 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3170. Speedy trial data -STATUTE- (a) To facilitate the planning process, the implementation of the time limits, and continuous and permanent compliance with the objectives of this chapter, the clerk of each district court shall assemble the information and compile the statistics described in sections 3166(b) and 3166(c) of this title. The clerk of each district court shall assemble such information and compile such statistics on such forms and under such regulations as the Administrative Office of the United States Courts shall prescribe with the approval of the Judicial Conference and after consultation with the Attorney General. (b) The clerk of each district court is authorized to obtain the information required by sections 3166(b) and 3166(c) from all relevant sources including the United States Attorney, Federal Public Defender, private defense counsel appearing in criminal cases in the district, United States district court judges, and the chief Federal Probation Officer for the district. This subsection shall not be construed to require the release of any confidential or privileged information. (c) The information and statistics compiled by the clerk pursuant to this section shall be made available to the district court, the planning group, the circuit council, and the Administrative Office of the United States Courts. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2084, and amended Pub. L. 96-43, Sec. 9(f), Aug. 2, 1979, 93 Stat. 331; Pub. L. 101-647, title XXXV, Sec. 3579, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Subsecs. (a), (b). Pub. L. 101-647 substituted 'sections 3166(b) and 3166(c)' for 'sections 3166(b) and (c)'. 1979 - Subsec. (a). Pub. L. 96-43 inserted 'continuous and permanent compliance with the' and substituted 'described in' for 'required by'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3166, 3167 of this title. ------DocID 24708 Document 950 of 1438------ -CITE- 18 USC Sec. 3171 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3171. Planning appropriations -STATUTE- (a) There is authorized to be appropriated for the fiscal year ending June 30, 1975, to the Federal judiciary the sum of $2,500,000 to be allocated by the Administrative Office of the United States Courts to Federal judicial districts to carry out the initial phases of planning and implementation of speedy trial plans under this chapter. The funds so appropriated shall remain available until expended. (b) No funds appropriated under this section may be expended in any district except by two-thirds vote of the planning group. Funds to the extent available may be expended for personnel, facilities, and any other purpose permitted by law. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2084.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3168 of this title. ------DocID 24709 Document 951 of 1438------ -CITE- 18 USC Sec. 3172 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3172. Definitions -STATUTE- As used in this chapter - (1) the terms 'judge' or 'judicial officer' mean, unless otherwise indicated, any United States magistrate, Federal district judge, and (2) the term 'offense' means any Federal criminal offense which is in violation of any Act of Congress and is triable by any court established by Act of Congress (other than a Class B or C misdemeanor or an infraction, or an offense triable by court-martial, military commission, provost court, or other military tribunal). -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2085, and amended Pub. L. 98-473, title II, Sec. 223(i), Oct. 12, 1984, 98 Stat. 2029.) -MISC1- AMENDMENTS 1984 - Par. (2). Pub. L. 98-473 substituted 'Class B or C misdemeanor or an infraction' for 'petty offense as defined in section 1(3) of this title'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 24710 Document 952 of 1438------ -CITE- 18 USC Sec. 3173 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3173. Sixth amendment rights -STATUTE- No provision of this chapter shall be interpreted as a bar to any claim of denial of speedy trial as required by amendment VI of the Constitution. -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2085.) ------DocID 24711 Document 953 of 1438------ -CITE- 18 USC Sec. 3174 -EXPCITE- TITLE 18 PART II CHAPTER 208 -HEAD- Sec. 3174. Judicial emergency and implementation -STATUTE- (a) In the event that any district court is unable to comply with the time limits set forth in section 3161(c) due to the status of its court calendars, the chief judge, where the existing resources are being efficiently utilized, may, after seeking the recommendations of the planning group, apply to the judicial council of the circuit for a suspension of such time limits as provided in subsection (b). The judicial council of the circuit shall evaluate the capabilities of the district, the availability of visiting judges from within and without the circuit, and make any recommendations it deems appropriate to alleviate calendar congestion resulting from the lack of resources. (b) If the judicial council of the circuit finds that no remedy for such congestion is reasonably available, such council may, upon application by the chief judge of a district, grant a suspension of the time limits in section 3161(c) in such district for a period of time not to exceed one year for the trial of cases for which indictments or informations are filed during such one-year period. During such period of suspension, the time limits from arrest to indictment, set forth in section 3161(b), shall not be reduced, nor shall the sanctions set forth in section 3162 be suspended; but such time limits from indictment to trial shall not be increased to exceed one hundred and eighty days. The time limits for the trial of cases of detained persons who are being detained solely because they are awaiting trial shall not be affected by the provisions of this section. (c)(1) If, prior to July 1, 1980, the chief judge of any district concludes, with the concurrence of the planning group convened in the district, that the district is prepared to implement the provisions of section 3162 in their entirety, he may apply to the judicial council of the circuit in which the district is located to implement such provisions. Such application shall show the degree of compliance in the district with the time limits set forth in subsections (b) and (c) of section 3161 during the twelve-calendar-month period preceding the date of such application and shall contain a proposed order and schedule for such implementation, which includes the date on which the provisions of section 3162 are to become effective in the district, the effect such implementation will have upon such district's practices and procedures, and provision for adequate notice to all interested parties. (2) After review of any such application, the judicial council of the circuit shall enter an order implementing the provisions of section 3162 in their entirety in the district making application, or shall return such application to the chief judge of such district, together with an explanation setting forth such council's reasons for refusing to enter such order. (d)(1) The approval of any application made pursuant to subsection (a) or (c) by a judicial council of a circuit shall be reported within ten days to the Director of the Administrative Office of the United States Courts, together with a copy of the application, a written report setting forth in sufficient detail the reasons for granting such application, and, in the case of an application made pursuant to subsection (a), a proposal for alleviating congestion in the district. (2) The Director of the Administrative Office of the United States Courts shall not later than ten days after receipt transmit such report to the Congress and to the Judicial Conference of the United States. The judicial council of the circuit shall not grant a suspension to any district within six months following the expiration of a prior suspension without the consent of the Congress by Act of Congress. The limitation on granting a suspension made by this paragraph shall not apply with respect to any judicial district in which the prior suspension is in effect on the date of the enactment of the Speedy Trial Act Amendments Act of 1979. (e) If the chief judge of the district court concludes that the need for suspension of time limits in such district under this section is of great urgency, he may order the limits suspended for a period not to exceed thirty days. Within ten days of entry of such order, the chief judge shall apply to the judicial council of the circuit for a suspension pursuant to subsection (a). -SOURCE- (Added Pub. L. 93-619, title I, Sec. 101, Jan. 3, 1975, 88 Stat. 2085, and amended Pub. L. 96-43, Sec. 10, Aug. 2, 1979, 93 Stat. 331.) -REFTEXT- REFERENCES IN TEXT The date of enactment of the Speedy Trial Act Amendments Act of 1979, referred to in subsec. (d)(2), means the date of enactment of Pub. L. 96-43, which was approved Aug. 2, 1979. -MISC2- AMENDMENTS 1979 - Pub. L. 96-43, Sec. 10(6), inserted 'and implementation' in section catchline. Subsec. (a). Pub. L. 96-43, Sec. 10(1), inserted 'as provided by subsection (b)'. Subsec. (b). Pub. L. 96-43, Sec. 10(2), (3), substituted provisions authorizing the circuit judicial council, upon application of the chief judge of a district, to grant a suspension of the time limits prescribed by section 3161(c) of this title for provisions requiring such circuit council to apply to the Judicial Council of the United States for a suspension of such time limits and substituted provision placing a one hundred and eighty day limit on any time increase from indictment to trial for provision placing such limit for any increase from arraignment to trial. Subsec. (c). Pub. L. 96-43, Sec. 10(4), substituted provisions authorizing the chief judge of any district, with the approval of the planning group convened in such district, to apply to the circuit council to implement the provisions of section 3162 of this title at any time prior to the date the sanctions prescribed therein were to become effective, so long as there was concurrence that the district was prepared to fully implement the provisions of such section for provisions specifying the reporting requirements of this chapter, assuring involvement of the Congress in the suspension process, and guaranteeing that there be an interval of at least six months between consecutive suspension periods. See subsec. (d) of this section. Subsecs. (d), (e). Pub. L. 96-43, Sec. 10(5), added subsecs. (d) and (e). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3163, 3165, 3167 of this title. ------DocID 24712 Document 954 of 1438------ -CITE- 18 USC CHAPTER 209 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- CHAPTER 209 - EXTRADITION -MISC1- Sec. 3181. Scope and limitation of chapter. 3182. Fugitives from State or Territory to State, District or Territory. 3183. Fugitives from State, Territory or Possession into extraterritorial jurisdiction of United States. 3184. Fugitives from foreign country to United States. 3185. Fugitives from country under control of United States into the United States. 3186. Secretary of State to surrender fugitive. 3187. Provisional arrest and detention within extraterritorial jurisdiction. 3188. Time of commitment pending extradition. 3189. Place and character of hearing. 3190. Evidence on hearing. 3191. Witnesses for indigent fugitives. 3192. Protection of accused. 3193. Receiving agent's authority over offenders. 3194. Transportation of fugitive by receiving agent. 3195. Payment of fees and costs. 3196. Extradition of United States citizens. AMENDMENTS 1990 - Pub. L. 101-623, Sec. 11(b), Nov. 21, 1990, 104 Stat. 3356, added item 3196. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Applicable to removed proceedings, see rule 54, Appendix to this title. Inapplicable to extradition or rendition of fugitives, see rule 54. Removal proceedings, see rule 40. CROSS REFERENCES Removal of offenders against the United States, from district of arrest to district of commission of crime, see section 3042 of this title. ------DocID 24713 Document 955 of 1438------ -CITE- 18 USC Sec. 3181 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3181. Scope and limitation of chapter -STATUTE- The provisions of this chapter relating to the surrender of persons who have committed crimes in foreign countries shall continue in force only during the existence of any treaty of extradition with such foreign government. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 822.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 658 (R.S. Sec. 5274). Minor changes were made in phraseology. EXTRADITION AND MUTUAL LEGAL ASSISTANCE TREATIES AND MODEL COMPREHENSIVE ANTIDRUG LAWS Pub. L. 100-690, title IV, Sec. 4605, Nov. 18, 1988, 102 Stat. 4290, provided that: '(a) Findings. - The Congress finds that - '(1) section 133 of the Foreign Relations Authorization Act, Fiscal Years 1986 and 1987 (enacted August 16, 1985) (section 133 of Pub. L. 99-93 set out below), directed the Secretary of State to increase United States efforts to negotiate updated extradition treaties relating to narcotics offenses with each major drug-producing country; '(2) section 803 of the Foreign Relations Authorization Act, Fiscal Years 1988 and 1989 (enacted December 22, 1987) (section 803 of Pub. L. 100-204 set out below) directed the Secretary of State to ensure that an objective of the United States diplomatic mission in each major illicit drug producing or major drug-transit country be to ensure that drug traffickers can be extradited to the United States; and '(3) although some progress has been made pursuant to these directives in increasing international law enforcement cooperation with respect to illicit drug production and trafficking, much greater international law enforcement cooperation is required in combating the illicit drug problem. '(b) Greater Emphasis Required. - Therefore, the Congress directs the Secretary of State to place greater emphasis on updating extradition treaties, and on negotiating mutual legal assistance treaties, with major illicit drug producing countries and major drug-transit countries. '(c) Model Treaties and Antidrug Laws. - The Secretary of State and the Attorney General shall jointly develop a model extradition treaty with respect to narcotics-related violations (including extradition of host country nationals), a model mutual legal assistance treaty, and model comprehensive anti-narcotics legislation. The Secretary of State shall distribute such treaties and legislation to each United States mission abroad. '(d) Report to Congress. - The Secretary of State shall report to the Congress, not later than six months after the date of enactment of this Act (Nov. 18, 1988), on actions taken to carry out this section.' Pub. L. 100-204, title VIII, Sec. 803, Dec. 22, 1987, 101 Stat. 1397, provided that: 'The Secretary of State shall ensure that the Country Plan for the United States diplomatic mission in each major illicit drug producing country and in each major drug-transit country (as those terms are defined in section 481(i) of the Foreign Assistance Act of 1961 (22 U.S.C. 2291(i))) includes, as an objective to be pursued by the mission - '(1) negotiating an updated extradition treaty which ensures that drug traffickers can be extradited to the United States, or '(2) if an existing treaty provides for such extradition, taking such steps as may be necessary to ensure that the treaty is effectively implemented.' Pub. L. 99-93, title I, Sec. 133, Aug. 16, 1985, 99 Stat. 420, provided that: 'The Secretary of State, with the assistance of the National Drug Enforcement Policy Board, shall increase United States efforts to negotiate updated extradition treaties relating to narcotics offenses with each major drug-producing country, particularly those in Latin America.' TREATIES OF EXTRADITION The United States currently has bilateral extradition treaties with the following countries: --------------------------------------------------------------------- Country :Date signed :Entered into :Citation : : force : --------------------------------------------------------------------- Albania :Mar. 1, 1933 :Nov. 14, 1935 :49 Stat. 3313. Antigua and :June 8, 1972 :Jan. 21, 1977 :28 UST 227. Barbuda : : : Argentina :Jan. 21, 1972 :Sept. 15, 1972 :23 UST 3501. Australia :May 14, 1974 :May 8, 1976 :27 UST 957. Austria :Jan. 31, 1930 :Sept. 11, 1930 :46 Stat. 2779. :May 19, 1934 :Sept. 5, 1934 :49 Stat. 2710. Bahamas :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :Aug. 17, 1978 :30 UST 187. Barbados :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Belgium :Oct. 26, 1901 :July 14, 1902 :32 Stat. 1894. :June 20, 1935 :Nov. 7, 1935 :49 Stat. 3276. :Nov. 14, 1963 :Dec. 25, 1964 :15 UST 2252. Belize :June 8, 1972 :Jan. 21, 1977 :28 UST 227. Bolivia :Apr. 21, 1900 :Jan. 22, 1902 :32 Stat. 1857. Brazil :Jan. 13, 1961 :Dec. 17, 1964 :15 UST 2093. :June 18, 1962 :Dec. 17, 1964 :15 UST 2112. Bulgaria :Mar. 19, 1924 :June 24, 1924 :43 Stat. 1886. :June 8, 1934 :Aug. 15, 1935 :49 Stat. 3250. Burma :Dec. 22, 1931 :Nov. 1, 1941 :47 Stat. 2122. Canada :Dec. 3, 1971 :Mar. 22, 1976 :27 UST 983. :June 28, July :Mar. 22, 1976 :27 UST 1017. : 9, 1974 : : Chile :Apr. 17, 1900 :June 26, 1902 :32 Stat. 1850. Colombia :Sept. 14, 1979 :Mar. 4, 1982 :TIAS. Congo :Jan. 6, 1909 :July 27, 1911 :37 Stat. 1526. :Jan. 15, 1929 :May 19, 1929 :46 Stat. 2276. :Apr. 23, 1936 :Sept. 24, 1936 :50 Stat. 1117. : :Aug. 5, 1961 :13 UST 2065. Costa Rica :Dec. 4, 1982 :Oct. 11, 1991 :TIAS. Cuba :Apr. 6, 1904 :Mar. 2, 1905 :33 Stat. 2265. :Dec. 6, 1904 :Mar. 2, 1905 :33 Stat. 2273. :Jan. 14, 1926 :June 18, 1926 :44 Stat. 2392. Cyprus :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Czechoslovakia :July 2, 1925 :Mar. 29, 1926 :44 Stat. 2367. :Apr. 29, 1935 :Aug. 28, 1935 :49 Stat. 3253. Denmark :June 22, 1972 :July 31, 1974 :25 UST 1293. Dominica :June 8, 1972 :Jan. 21, 1977 :28 UST 227. Dominican :June 19, 1909 :Aug. 2, 1910 :36 Stat. 2468. Republic : : : Ecuador :June 28, 1872 :Nov. 12, 1873 :18 Stat. 199. :Sept. 22, 1939 :May 29, 1941 :55 Stat. 1196. Egypt :Aug. 11, 1874 :Apr. 22, 1875 :19 Stat. 572. El Salvador :Apr. 18, 1911 :July 10, 1911 :37 Stat. 1516. Estonia :Nov. 8, 1923 :Nov. 15, 1924 :43 Stat. 1849. :Oct. 10, 1934 :May 7, 1935 :49 Stat. 3190. Fiji :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :Aug. 17, 1973 :24 UST 1965. Finland :June 11, 1976 :May 11, 1980 :31 UST 944. France :Jan. 6, 1909 :July 27, 1911 :37 Stat. 1526. :Feb. 12, 1970 :Apr. 3, 1971 :22 UST 407. Gambia :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Germany, :June 20, 1978 :Aug. 29, 1980 :32 UST 1485. Federal : : : Republic : : : of. : : : Ghana :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Greece :May 6, 1931 :Nov. 1, 1932 :47 Stat. 2185. :Sept. 2, 1937 :Sept. 2, 1937 :51 Stat. 357. Grenada :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Guatemala :Feb. 27, 1903 :Aug. 15, 1903 :33 Stat. 2147. :Feb. 20, 1940 :Mar. 13, 1941 :55 Stat. 1097. Guyana :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Haiti :Aug. 9, 1904 :June 28, 1905 :34 Stat. 2858. Honduras :Jan. 15, 1909 :July 10, 1912 :37 Stat. 1616. :Feb. 21, 1927 :June 5, 1928 :45 Stat. 2489. Hungary :July 3, 1856 :Dec. 13, 1856 :11 Stat. 691. Iceland :Jan. 6, 1902 : :32 Stat. 1096. :Nov. 6, 1905 :Feb. 19, 1906 :34 Stat. 2887. India :Dec. 22, 1931 :Mar. 9, 1942 :47 Stat. 2122. Iraq :June 7, 1934 :Apr. 23, 1936 :49 Stat. 3380. Ireland :July 13, 1983 :Dec. 15, 1984 :TIAS 10813. Israel :Dec. 10, 1962 :Dec. 5, 1963 :14 UST 1707. : :Apr. 11, 1967 :18 UST 382. Italy :Oct. 13, 1983 :Sept. 24, 1984 :TIAS 10837. Jamaica :Dec. 31, 1931 :June 24, 1935 :47 Stat. 2122. Japan :Mar. 3, 1978 :Mar. 26, 1980 :31 UST 892. Kenya :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :Aug. 19, 1965 :16 UST 1866. Kiribati :June 8, 1972 :Jan. 21, 1977 :28 UST 227. Latvia :Oct. 16, 1923 :Mar. 1, 1924 :43 Stat. 1738. :Oct. 10, 1934 :Mar. 29, 1935 :49 Stat. 3131. Lesotho :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Liberia :Nov. 1, 1937 :Nov. 21, 1939 :54 Stat. 1733. Liechtenstein :May 20, 1936 :June 28, 1937 :50 Stat. 1337. Lithuania :Apr. 9, 1924 :Aug. 23, 1924 :43 Stat. 1835. :May 17, 1934 :Jan. 8, 1935 :49 Stat. 3077. Luxembourg :Oct. 29, 1883 :Aug. 13, 1884 :23 Stat. 808. :Apr. 24, 1935 :Mar. 3, 1936 :49 Stat. 3355. Malawi :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :Apr. 4, 1967 :18 UST 1822. Malaysia :Dec. 22, 1931 :July 31, 1939 :47 Stat. 2122. Malta :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Mauritius :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Mexico :May 4, 1978 :Jan. 25, 1980 :31 UST 5059. Monaco :Feb. 15, 1939 :Mar. 28, 1940 :54 Stat. 1780. Nauru :Dec. 22, 1931 :Aug. 30, 1935 :47 Stat. 2122. Netherlands :June 24, 1980 :Sept. 15, 1983 :TIAS 10733. New Zealand :Jan. 12, 1970. :Dec. 8, 1970 :22 UST 1. Nicaragua :Mar. 1, 1905 :July 14, 1907 :35 Stat. 1869. Nigeria :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Norway :June 9, 1977 :Mar. 7, 1980 :31 UST 5619. Pakistan :Dec. 22, 1931 :Mar. 9, 1942 :47 Stat. 2122. Panama :May 25, 1904 :May 8, 1905 :34 Stat. 2851. Papua New :Dec. 22, 1931 :Aug. 30, 1935 :47 Stat. 2122. Guinea : : : Paraguay :May 24, 1973 :May 7, 1974 :25 UST 967. Peru :Nov. 28, 1899 :Feb. 22, 1901 :31 Stat. 1921. Poland :Nov. 22, 1927 :July 6, 1929 :46 Stat. 2282. :Apr. 5, 1935 :June 5, 1936 :49 Stat. 3394. Portugal :May 7, 1908 :Nov. 14, 1908 :35 Stat. 2071. Romania :July 23, 1924 :Apr. 7, 1925 :44 Stat. 2020. :Nov. 10, 1936 :July 27, 1937 :50 Stat. 1349. Saint :June 8, 1972 :Jan. 21, 1977 :28 UST 227. Christopher : : : and Nevis : : : Saint Lucia :June 8, 1972 :Jan. 21, 1977 :28 UST 227. Saint Vincent :June 8, 1972 :Jan. 21, 1977 :28 UST 227. and the : : : Grenadines : : : San Marino :Jan. 10, 1906 :July 8, 1908 :35 Stat. 1971. :Oct. 10, 1934 :June 28, 1935 :49 Stat. 3198. Seychelles :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Sierra Leone :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Singapore :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :June 10, 1969 :20 UST 2764. Solomon Islands:June 8, 1972 :Jan. 21, 1977 :28 UST 277. : : : South Africa :Dec. 18, 1947 :Apr. 30, 1951 :2 UST 884. Spain :May 29, 1970 :June 16, 1971 :22 UST 737. :Jan. 25, 1975 :June 2, 1978 :29 UST 2283. Sri Lanka :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Suriname :June 2, 1887 :July 11, 1889 :26 Stat. 1481. :Jan. 18, 1904 :Aug. 28, 1904 :33 Stat. 2257. Swaziland :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :July 28, 1970 :21 UST 1930. Sweden :Oct. 24, 1961 :Dec. 3, 1963 :14 UST 1845. :Mar. 14, 1983 :Sept. 24, 1984 :TIAS 10812. Switzerland :May 14, 1900 :Mar. 29, 1901 :31 Stat. 1928. :Jan. 10, 1935 :May 16, 1935 :49 Stat. 3192. :Jan. 31, 1940 :Apr. 8, 1941 :55 Stat. 1140. Tanzania :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. : :Dec. 6, 1965 :16 UST 2066. Thailand :Dec. 30, 1922 :Mar. 24, 1924 :43 Stat. 1749. Tonga :Dec. 22, 1931 :Aug. 1, 1966 :47 Stat. 2122. : :Apr. 13, 1977 :28 UST 5290. Trinidad and :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. Tobago : : : Turkey :June 7, 1979 :Jan. 1, 1981 :32 UST 3111. Tuvalu :June 8, 1972 :Jan. 21, 1977 :28 UST 227. : :Apr. 25, 1980 :32 UST 1310. United Kingdom :June 8, 1972 :Jan. 21, 1977 :28 UST 227. :June 25, 1985 :Dec. 23, 1986 :TIAS. Uruguay :Apr. 6, 1973 :Apr. 11, 1984 :TIAS 10850. Venezuela :Jan. 19, 21, :Apr. 14, 1923 :43 Stat. 1698. : 1922 : : Yugoslavia :Oct. 25, 1901 :June 12, 1902 :32 Stat. 1890. Zambia :Dec. 22, 1931 :June 24, 1935 :47 Stat. 2122. ------------------------------- CONVENTION ON EXTRADITION The United States is a party to the Multilateral Convention on Extradition signed at Montevideo on Dec. 26, 1933, entered into force for the United States on Jan. 25, 1935. 49 Stat. 3111. Other states which have become parties: Argentina, Chile, Colombia, Dominican Republic, Ecuador, El Salvador, Guatemala, Honduras, Mexico, Nicaragua, Panama. ------DocID 24714 Document 956 of 1438------ -CITE- 18 USC Sec. 3182 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3182. Fugitives from State or Territory to State, District or Territory -STATUTE- Whenever the executive authority of any State or Territory demands any person as a fugitive from justice, of the executive authority of any State, District or Territory to which such person has fled, and produces a copy of an indictment found or an affidavit made before a magistrate of any State or Territory, charging the person demanded with having committed treason, felony, or other crime, certified as authentic by the governor or chief magistrate of the State or Territory from whence the person so charged has fled, the executive authority of the State, District or Territory to which such person has fled shall cause him to be arrested and secured, and notify the executive authority making such demand, or the agent of such authority appointed to receive the fugitive, and shall cause the fugitive to be delivered to such agent when he shall appear. If no such agent appears within thirty days from the time of the arrest, the prisoner may be discharged. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 822.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 662 (R.S. Sec. 5278). Last sentence as to costs and expenses to be paid by the demanding authority was incorporated in section 3195 of this title. Word 'District' was inserted twice to make section equally applicable to fugitives found in the District of Columbia. 'Thirty days' was substituted for 'six months' since, in view of modern conditions, the smaller time is ample for the demanding authority to act. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Constitutional provision enforced by this section, see Const. Art. 4, Sec. 2, cl. 2. Juvenile delinquents, surrender to State authorities, see section 5001 of this title. Resistance to extradition agent, see section 1502 of this title. Surrender of youthful offenders to State authorities, see section 5001 of this title. Transportation of fugitive by receiving agent, see section 3194 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3194, 5001 of this title. ------DocID 24715 Document 957 of 1438------ -CITE- 18 USC Sec. 3183 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3183. Fugitives from State, Territory, or Possession into extraterritorial jurisdiction of United States -STATUTE- Whenever the executive authority of any State, Territory, District, or possession of the United States or the Panama Canal Zone, demands any American citizen or national as a fugitive from justice who has fled to a country in which the United States exercises extraterritorial jurisdiction, and produces a copy of an indictment found or an affidavit made before a magistrate of the demanding jurisdiction, charging the fugitive so demanded with having committed treason, felony, or other offense, certified as authentic by the Governor or chief magistrate of such demanding jurisdiction, or other person authorized to act, the officer or representative of the United States vested with judicial authority to whom the demand has been made shall cause such fugitive to be arrested and secured, and notify the executive authorities making such demand, or the agent of such authority appointed to receive the fugitive, and shall cause the fugitive to be delivered to such agent when he shall appear. If no such agent shall appear within three months from the time of the arrest, the prisoner may be discharged. The agent who receives the fugitive into his custody shall be empowered to transport him to the jurisdiction from which he has fled. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 822.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 662c (Mar. 22, 1934, ch. 73, Sec. 2, 48 Stat. 455). Said section 662c was incorporated in this section and sections 752 and 3195 of this title. Provision as to costs or expenses to be paid by the demanding authority were incorporated in section 3196 of this title. Reference to the Philippine Islands was deleted as obsolete in view of the independence of the Commonwealth of the Phillippines effective July 4, 1946. The attention of Congress is directed to the probability that this section may be of little, if any, possible use in view of present world conditions. Minor changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT For definition of Canal Zone, referred to in text, see section 3602(b) of Title 22, Foreign Relations and Intercourse. -CROSS- CROSS REFERENCES Provisional arrest, obtained by telegraph, see section 3187 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3187 of this title. ------DocID 24716 Document 958 of 1438------ -CITE- 18 USC Sec. 3184 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3184. Fugitives from foreign country to United States -STATUTE- Whenever there is a treaty or convention for extradition between the United States and any foreign government, any justice or judge of the United States, or any magistrate authorized so to do by a court of the United States, or any judge of a court of record of general jurisdiction of any State, may, upon complaint made under oath, charging any person found within his jurisdiction, with having committed within the jurisdiction of any such foreign government any of the crimes provided for by such treaty or convention, issue his warrant for the apprehension of the person so charged, that he may be brought before such justice, judge, or magistrate, to the end that the evidence of criminality may be heard and considered. Such complaint may be filed before and such warrant may be issued by a judge or magistrate of the United States District Court for the District of Columbia if the whereabouts within the United States of the person charged are not known or, if there is reason to believe the person will shortly enter the United States. If, on such hearing, he deems the evidence sufficient to sustain the charge under the provisions of the proper treaty or convention, he shall certify the same, together with a copy of all the testimony taken before him, to the Secretary of State, that a warrant may issue upon the requisition of the proper authorities of such foreign government, for the surrender of such person, according to the stipulations of the treaty or convention; and he shall issue his warrant for the commitment of the person so charged to the proper jail, there to remain until such surrender shall be made. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 822; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(3), 82 Stat. 1115; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7087, 102 Stat. 4409; Nov. 29, 1990, Pub. L. 101-647, title XVI, Sec. 1605, 104 Stat. 4843.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 651 (R.S. Sec. 5270; June 6, 1900, ch. 793, 31 Stat. 656). Minor changes of phraseology were made. AMENDMENTS 1990 - Pub. L. 101-647 inserted 'or, if there is reason to believe the person will shortly enter the United States' after 'are not known' in second sentence. 1988 - Pub. L. 100-690 inserted after first sentence 'Such complaint may be filed before and such warrant may be issued by a judge or magistrate of the United States District Court for the District of Columbia if the whereabouts within the United States of the person charged are not known.' 1968 - Pub. L. 90-578 substituted 'magistrate' for 'commissioner' in two places. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Arrest, power of courts and magistrate judges, see section 3041 of this title. Surrender of fugitive to agent of foreign government, see section 3186 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3186 of this title. ------DocID 24717 Document 959 of 1438------ -CITE- 18 USC Sec. 3185 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3185. Fugitives from country under control of United States into the United States -STATUTE- Whenever any foreign country or territory, or any part thereof, is occupied by or under the control of the United States, any person who, having violated the criminal laws in force therein by the commission of any of the offenses enumerated below, departs or flees from justice therein to the United States, shall, when found therein, be liable to arrest and detention by the authorities of the United States, and on the written request or requisition of the military governor or other chief executive officer in control of such foreign country or territory shall be returned and surrendered as hereinafter provided to such authorities for trial under the laws in force in the place where such offense was committed. (1) Murder and assault with intent to commit murder; (2) Counterfeiting or altering money, or uttering or bringing into circulation counterfeit or altered money; (3) Counterfeiting certificates or coupons of public indebtedness, bank notes, or other instruments of public credit, and the utterance or circulation of the same; (4) Forgery or altering and uttering what is forged or altered; (5) Embezzlement or criminal malversation of the public funds, committed by public officers, employees, or depositaries; (6) Larceny or embezzlement of an amount not less than $100 in value; (7) Robbery; (8) Burglary, defined to be the breaking and entering by nighttime into the house of another person with intent to commit a felony therein; (9) Breaking and entering the house or building of another, whether in the day or nighttime, with the intent to commit a felony therein; (10) Entering, or breaking and entering the offices of the Government and public authorities, or the offices of banks, banking houses, savings banks, trust companies, insurance or other companies, with the intent to commit a felony therein; (11) Perjury or the subornation of perjury; (12) A felony under chapter 109A of this title; (13) Arson; (14) Piracy by the law of nations; (15) Murder, assault with intent to kill, and manslaughter, committed on the high seas, on board a ship owned by or in control of citizens or residents of such foreign country or territory and not under the flag of the United States, or of some other government; (16) Malicious destruction of or attempt to destroy railways, trams, vessels, bridges, dwellings, public edifices, or other buildings, when the act endangers human life. This chapter, so far as applicable, shall govern proceedings authorized by this section. Such proceedings shall be had before a judge of the courts of the United States only, who shall hold such person on evidence establishing probable cause that he is guilty of the offense charged. No return or surrender shall be made of any person charged with the commission of any offense of a political nature. If so held, such person shall be returned and surrendered to the authorities in control of such foreign country or territory on the order of the Secretary of State of the United States, and such authorities shall secure to such a person a fair and impartial trial. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 823; May 24, 1949, ch. 139, Sec. 49, 63 Stat. 96; Nov. 10, 1986, Pub. L. 99-646, Sec. 87(c)(6), 100 Stat. 3623; Nov. 14, 1986, Pub. L. 99-654, Sec. 3(a)(6), 100 Stat. 3663.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 652 (R.S. Sec. 5270; June 6, 1900, ch. 793, 31 Stat. 656). Reference to territory of the United States and the District of Columbia was omitted as covered by definitive section 5 of this title. Changes were made in phraseology and arrangement. 1949 ACT This section (section 49) corrects typographical errors in section 3185 of title 18, U.S.C., by transferring to subdivision (3) the words, 'indebtedness, bank notes, or other instruments of public', from subdivision (2) of such section where they had been erroneously included. AMENDMENTS 1986 - Par. (12). Pub. L. 99-646 and Pub. L. 99-654 amended par. (12) identically, substituting 'A felony under chapter 109A of this title' for 'Rape'. 1949 - Pars. (2), (3). Act May 24, 1949, transferred 'indebtedness, bank notes, or other instruments of public' from par. (2) to par. (3). EFFECTIVE DATE OF 1986 AMENDMENTS Amendments by Pub. L. 99-646 and Pub. L. 99-654 effective, respectively, 30 days after Nov. 10, 1986, and 30 days after Nov. 14, 1986, see section 87(e) of Pub. L. 99-646 and section 4 of Pub. L. 99-654, set out as an Effective Date note under section 2241 of this title. -CROSS- CROSS REFERENCES Extradition of fugitives from justice, see section 3042 of this title. Surrender of fugitive to agent of foreign government, see section 3186 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3186 of this title. ------DocID 24718 Document 960 of 1438------ -CITE- 18 USC Sec. 3186 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3186. Secretary of State to surrender fugitive -STATUTE- The Secretary of State may order the person committed under sections 3184 or 3185 of this title to be delivered to any authorized agent of such foreign government, to be tried for the offense of which charged. Such agent may hold such person in custody, and take him to the territory of such foreign government, pursuant to such treaty. A person so accused who escapes may be retaken in the same manner as any person accused of any offense. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 824.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 653 (R.S. Sec. 5272). Changes were made in phraseology and surplusage was deleted. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4114 of this title. ------DocID 24719 Document 961 of 1438------ -CITE- 18 USC Sec. 3187 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3187. Provisional arrest and detention within extra-territorial jurisdiction -STATUTE- The provisional arrest and detention of a fugitive, under sections 3042 and 3183 of this title, in advance of the presentation of formal proofs, may be obtained by telegraph upon the request of the authority competent to request the surrender of such fugitive addressed to the authority competent to grant such surrender. Such request shall be accompanied by an express statement that a warrant for the fugitive's arrest has been issued within the jurisdiction of the authority making such request charging the fugitive with the commission of the crime for which his extradition is sought to be obtained. No person shall be held in custody under telegraphic request by virtue of this section for more than ninety days. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 824.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 662d (Mar. 22, 1934, ch. 73, Sec. 3, 48 Stat. 455). Provision for expense to be borne by the demanding authority is incorporated in section 3195 of this title. Changes were made in phraseology and arrangement. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title. ------DocID 24720 Document 962 of 1438------ -CITE- 18 USC Sec. 3188 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3188. Time of commitment pending extradition -STATUTE- Whenever any person who is committed for rendition to a foreign government to remain until delivered up in pursuance of a requisition, is not so delivered up and conveyed out of the United States within two calendar months after such commitment, over and above the time actually required to convey the prisoner from the jail to which he was committed, by the readiest way, out of the United States, any judge of the United States, or of any State, upon application made to him by or on behalf of the person so committed, and upon proof made to him that reasonable notice of the intention to make such application has been given to the Secretary of State, may order the person so committed to be discharged out of custody, unless sufficient cause is shown to such judge why such discharge ought not to be ordered. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 824.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 654 (R.S. Sec. 5273). Changes in phraseology only were made. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4114 of this title. ------DocID 24721 Document 963 of 1438------ -CITE- 18 USC Sec. 3189 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3189. Place and character of hearing -STATUTE- Hearings in cases of extradition under treaty stipulation or convention shall be held on land, publicly, and in a room or office easily accessible to the public. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 824.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 657 (Aug. 3, 1882, ch. 378, Sec. 1, 22 Stat. 215). First word 'All' was omitted as unnecessary. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4114 of this title. ------DocID 24722 Document 964 of 1438------ -CITE- 18 USC Sec. 3190 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3190. Evidence on hearing -STATUTE- Depositions, warrants, or other papers or copies thereof offered in evidence upon the hearing of any extradition case shall be received and admitted as evidence on such hearing for all the purposes of such hearing if they shall be properly and legally authenticated so as to entitle them to be received for similar purposes by the tribunals of the foreign country from which the accused party shall have escaped, and the certificate of the principal diplomatic or consular officer of the United States resident in such foreign country shall be proof that the same, so offered, are authenticated in the manner required. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 824.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 655 (R.S. Sec. 5271; Aug. 3, 1882, ch. 378, Sec. 5, 22 Stat. 216). Unnecessary words were deleted. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4114 of this title. ------DocID 24723 Document 965 of 1438------ -CITE- 18 USC Sec. 3191 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3191. Witnesses for indigent fugitives -STATUTE- On the hearing of any case under a claim of extradition by a foreign government, upon affidavit being filed by the person charged setting forth that there are witnesses whose evidence is material to his defense, that he cannot safely go to trial without them, what he expects to prove by each of them, and that he is not possessed of sufficient means, and is actually unable to pay the fees of such witnesses, the judge or magistrate hearing the matter may order that such witnesses be subpenaed; and the costs incurred by the process, and the fees of witnesses, shall be paid in the same manner as in the case of witnesses subpenaed in behalf of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 825; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(3), 82 Stat. 1115.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 656 (Aug. 3, 1882, ch. 378, Sec. 3, 22 Stat. 215). Words 'that similar' after 'manner' were omitted as unnecessary. AMENDMENTS 1968 - Pub. L. 90-578 substituted 'magistrate' for 'commissioner'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Witness fees for indigent defendants, generally, see rule 17, Appendix to this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4114 of this title. ------DocID 24724 Document 966 of 1438------ -CITE- 18 USC Sec. 3192 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3192. Protection of accused -STATUTE- Whenever any person is delivered by any foreign government to an agent of the United States, for the purpose of being brought within the United States and tried for any offense of which he is duly accused, the President shall have power to take all necessary measures for the transportation and safekeeping of such accused person, and for his security against lawless violence, until the final conclusion of his trial for the offenses specified in the warrant of extradition, and until his final discharge from custody or imprisonment for or on account of such offenses, and for a reasonable time thereafter, and may employ such portion of the land or naval forces of the United States, or of the militia thereof, as may be necessary for the safe-keeping and protection of the accused. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 825.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 659 (R.S. Sec. 5275). Words 'crimes or' before 'offenses' were omitted as unnecessary. ------DocID 24725 Document 967 of 1438------ -CITE- 18 USC Sec. 3193 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3193. Receiving agent's authority over offenders -STATUTE- A duly appointed agent to receive, in behalf of the United States, the delivery, by a foreign government, of any person accused of crime committed within the United States, and to convey him to the place of his trial, shall have all the powers of a marshal of the United States, in the several districts through which it may be necessary for him to pass with such prisoner, so far as such power is requisite for the prisoner's safe-keeping. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 825.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 660 (R.S. Sec. 5276). Words 'jurisdiction of the' were omitted in view of the definition of United States in section 5 of this title. Minor changes only were made in phraseology. -EXEC- EX. ORD. NO. 11517. ISSUANCE AND SIGNATURE BY SECRETARY OF STATE OF WARRANTS APPOINTING AGENTS TO RETURN FUGITIVES FROM JUSTICE EXTRADITED TO UNITED STATES Ex. Ord. No. 11517, Mar. 19, 1970, 35 F.R. 4937, provided: WHEREAS the President of the United States, under section 3192 of Title 18, United States Code, has been granted the power to take all necessary measures for the transportation, safekeeping and security against lawless violence of any person delivered by any foreign government to an agent of the United States for return to the United States for trial for any offense of which he is duly accused; and WHEREAS fugitives from justice in the United States whose extradition from abroad has been requested by the Government of the United States and granted by a foreign government are to be returned in the custody of duly appointed agents in accordance with the provisions of section 3193 of Title 18, United States Code; and WHEREAS such duly appointed agents under the provisions of the law mentioned above, being authorized to receive delivery of the fugitive in behalf of the United States and to convey him to the place of his trial, are given the powers of a marshal of the United States in the several districts of the United States through which it may be necessary for them to pass with such prisoner, so far as such power is requisite for the prisoner's safekeeping; and WHEREAS such warrants serve as a certification to the foreign government delivering the fugitives to any other foreign country through which such agents may pass, and to authorities in the United States of the powers therein conferred upon the agents; and WHEREAS it is desirable by delegation of functions heretofore performed by the President to simplify and thereby expedite the issuance of such warrants to agents in the interests of the prompt return of fugitives to the United States: NOW, THEREFORE, by virtue of the authority vested in me by section 301 of Title 3 of the United States Code, and as President of the United States, it is ordered as follows: Section 1. The Secretary of State is hereby designated and empowered to issue and sign all warrants appointing agents to receive, in behalf of the United States, the delivery in extradition by a foreign government of any person accused of a crime committed within the United States, and to convey such person to the place of his trial. Sec. 2. Agents appointed in accordance with section 1 of this order shall have all the powers conferred in respect of such agents by applicable treaties of the United States and by section 3193 of Title 18, United States Code, or by any other provisions of United States law. Sec. 3. Executive Order No. 10347, April 18, 1952, as amended by Executive Order No. 11354, May 23, 1967, is further amended by deleting numbered paragraph 4 and renumbering paragraphs 5 and 6 as paragraphs 4 and 5, respectively. Richard Nixon. -CROSS- CROSS REFERENCES Powers of United States marshals, see section 3053 of this title. United States marshals generally, see section 561 et seq. of Title 28, Judiciary and Judicial Procedure. ------DocID 24726 Document 968 of 1438------ -CITE- 18 USC Sec. 3194 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3194. Transportation of fugitive by receiving agent -STATUTE- Any agent appointed as provided in section 3182 of this title who receives the fugitive into his custody is empowered to transport him to the State or Territory from which he has fled. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 825.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 663 (R.S. Sec. 5279). Last sentence of said section 663, relating to rescue of such fugitive, was omitted as covered by section 752 of this title, the punishment provision of which is based on later statutes. (See reviser's note under that section.) Minor changes were made in phraseology. ------DocID 24727 Document 969 of 1438------ -CITE- 18 USC Sec. 3195 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3195. Payment of fees and costs -STATUTE- All costs or expenses incurred in any extradition proceeding in apprehending, securing, and transmitting a fugitive shall be paid by the demanding authority. All witness fees and costs of every nature in cases of international extradition, including the fees of the magistrate, shall be certified by the judge or magistrate before whom the hearing shall take place to the Secretary of State of the United States, and the same shall be paid out of appropriations to defray the expenses of the judiciary or the Department of Justice as the case may be. The Attorney General shall certify to the Secretary of State the amounts to be paid to the United States on account of said fees and costs in extradition cases by the foreign government requesting the extradition, and the Secretary of State shall cause said amounts to be collected and transmitted to the Attorney General for deposit in the Treasury of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 825; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(3), 82 Stat. 1115.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 662, 662c, 662d, 668 (R.S. Sec. 5278; Aug. 3, 1882, ch. 378, Sec. 4, 22 Stat. 216; June 28, 1902, ch. 1301, Sec. 1, 32 Stat. 475; Mar. 22, 1934, ch. 73, Sec. 2, 3, 48 Stat. 455). First paragraph of this section consolidates provisions as to costs and expenses from said sections 662, 662c, and 662d. Minor changes were made in phraseology and surplusage was omitted. Remaining provisions of said sections 662, 662c, and 662d of title 18, U.S.C., 1940 ed., are incorporated in sections 752, 3182, 3183, and 3187 of this title. The words 'or the Department of Justice as the case may be' were added at the end of the second paragraph in conformity with the appropriation acts of recent years. See for example act July 5, 1946, ch. 541, title II, 60 Stat. 460. AMENDMENTS 1968 - Pub. L. 90-578 substituted 'magistrate' for 'commissioner' in two places. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of a date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 14, 4114 of this title. ------DocID 24728 Document 970 of 1438------ -CITE- 18 USC Sec. 3196 -EXPCITE- TITLE 18 PART II CHAPTER 209 -HEAD- Sec. 3196. Extradition of United States citizens -STATUTE- If the applicable treaty or convention does not obligate the United States to extradite its citizens to a foreign country, the Secretary of State may, nevertheless, order the surrender to that country of a United States citizen whose extradition has been requested by that country if the other requirements of that treaty or convention are met. -SOURCE- (Added Pub. L. 101-623, Sec. 11(a), Nov. 21, 1990, 104 Stat. 3356.) ------DocID 24729 Document 971 of 1438------ -CITE- 18 USC CHAPTER 211 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- CHAPTER 211 - JURISDICTION AND VENUE -MISC1- Sec. 3231. District courts. 3232. District of offense - Rule. 3233. Transfer within district - Rule. 3234. Change of venue to another district - Rule. 3235. Venue in capital cases. 3236. Murder or manslaughter. 3237. Offenses begun in one district and completed in another. 3238. Offenses not committed in any district. (3239. Repealed.) 3240. Creation of new district or division. 3241. Jurisdiction of offenses under certain sections. 3242. Indians committing certain offenses; acts on reservations. 3243. Jurisdiction of State of Kansas over offenses committed by or against Indians on Indian reservations. 3244. Jurisdiction of proceedings relating to transferred offenders. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 1204(b), Oct. 12, 1984, 98 Stat. 2152, struck out item 3239 'Threatening communications'. 1978 - Pub. L. 95-598, title III, Sec. 314(j)(2), Nov. 6, 1978, 92 Stat. 2678, added item 3244. ------DocID 24730 Document 972 of 1438------ -CITE- 18 USC Sec. 3231 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3231. District courts -STATUTE- The district courts of the United States shall have original jurisdiction, exclusive of the courts of the States, of all offenses against the laws of the United States. Nothing in this title shall be held to take away or impair the jurisdiction of the courts of the several States under the laws thereof. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 588d of title 12, U.S.C., 1940 ed., Banks and Banking; title 18, U.S.C., 1940 ed., Sec. 546, 547 (Mar. 4, 1909, ch. 321, Sec. 326, 340, 35 Stat. 1151, 1153; Mar. 3, 1911, ch. 231, Sec. 291, 36 Stat. 1167; May 18, 1934, ch. 304, Sec. 4, 48 Stat. 783). This section was formed by combining sections 546 and 547 of title 18, U.S.C., 1940 ed., with section 588d of title 12, U.S.C., Banks and Banking, with no change of substance. The language of said section 588d of title 12, U.S.C., 1940 ed., which related to bank robbery, or killing or kidnapping as an incident thereto (see section 2113, of this title), and which read 'Jurisdiction over any offense defined by sections 588b and 588c of this title shall not be reserved exclusively to courts of the United States' was omitted as adequately covered by this section. SENATE REVISION AMENDMENT The text of this section was changed by Senate amendment. See Senate Report No. 1620, amendment No. 10, 80th Cong. -CROSS- CROSS REFERENCES Civil jurisdiction of Federal courts, see section 1331 et seq. of Title 28, Judiciary and Judicial Procedure. Exclusive jurisdiction of Federal courts, see sections 1251, 1333, 1334, 1338, 1351, 1355, 1356 of Title 28. Jurisdiction of juvenile delinquents, see section 5033 of this title. Jurisdiction over felonies in Yellowstone National Park, see section 131 of Title 28, Judiciary and Judicial Procedure. Refusal to appear or testify before court-martial military commission, etc., jurisdiction of offense, see section 847 of Title 10, Armed Forces. Special maritime and territorial jurisdiction of the United States, see section 7 of this title. United States commissioners, jurisdiction to try petty offenses, see section 3401 of this title. Venue of civil actions, see section 1391 et seq. of Title 28, Judiciary and Judicial Procedure. Wire or oral communications, authorization for interception, to provide evidence of certain Federal and State offenses, see section 2516 of this title. ------DocID 24731 Document 973 of 1438------ -CITE- 18 USC Sec. 3232 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3232. District of offense - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Proceedings to be in district and division in which offense committed, Rule 18. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826.) ------DocID 24732 Document 974 of 1438------ -CITE- 18 USC Sec. 3233 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3233. Transfer within district - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Arraignment, plea, trial, sentence in district of more than one division, Rule 19. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826.) -REFTEXT- REFERENCES IN TEXT Rule 19 of the Federal Rules of Criminal Procedure, referred to in text, was rescinded Feb. 28, 1966, eff. July 1, 1966. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Time of motion to transfer, see rule 22, Appendix to this title. Transfer from the district or division, see rule 21. CROSS REFERENCES Districts containing more than one division; venue, see section 1441 of Title 28, Judiciary and Judicial Procedure. ------DocID 24733 Document 975 of 1438------ -CITE- 18 USC Sec. 3234 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3234. Change of venue to another district - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Plea or disposal of case in district other than that in which defendant was arrested, Rule 20. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826.) -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Time of motion to transfer, see rule 22, Appendix to this title. Transfer from the district or division for trial, see rule 21. ------DocID 24734 Document 976 of 1438------ -CITE- 18 USC Sec. 3235 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3235. Venue in capital cases -STATUTE- The trial of offenses punishable with death shall be had in the county where the offense was committed, where that can be done without great inconvenience. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 101 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 40, 36 Stat. 1100). -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Venue of criminal prosecutions, see rule 18 et seq., Appendix to this title. CROSS REFERENCES Change of venue in civil actions, see section 1404 of Title 28, Judiciary and Judicial Procedure. ------DocID 24735 Document 977 of 1438------ -CITE- 18 USC Sec. 3236 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3236. Murder or manslaughter -STATUTE- In all cases of murder or manslaughter, the offense shall be deemed to have been committed at the place where the injury was inflicted, or the poison administered or other means employed which caused the death, without regard to the place where the death occurs. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 553 (Mar. 4, 1909, ch. 321, Sec. 336, 35 Stat. 1152). ------DocID 24736 Document 978 of 1438------ -CITE- 18 USC Sec. 3237 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3237. Offenses begun in one district and completed in another -STATUTE- (a) Except as otherwise expressly provided by enactment of Congress, any offense against the United States begun in one district and completed in another, or committed in more than one district, may be inquired of and prosecuted in any district in which such offense was begun, continued, or completed. Any offense involving the use of the mails, transportation in interstate or foreign commerce, or the importation of an object or person into the United States is a continuing offense and, except as otherwise expressly provided by enactment of Congress, may be inquired of and prosecuted in any district from, through, or into which such commerce, mail matter, or imported object or person moves. (b) Notwithstanding subsection (a), where an offense is described in section 7203 of the Internal Revenue Code of 1986, or where venue for prosecution of an offense described in section 7201 or 7206(1), (2), or (5) of such Code (whether or not the offense is also described in another provision of law) is based solely on a mailing to the Internal Revenue Service, and prosecution is begun in a judicial district other than the judicial district in which the defendant resides, he may upon motion filed in the district in which the prosecution is begun, elect to be tried in the district in which he was residing at the time the alleged offense was committed: Provided, That the motion is filed within twenty days after arraignment of the defendant upon indictment or information. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826; Aug. 6, 1958, Pub. L. 85-595, 72 Stat. 512; Nov. 2, 1966, Pub. L. 89-713, Sec. 2, 80 Stat. 1108; July 18, 1984, Pub. L. 98-369, div. A, title I, Sec. 162, 98 Stat. 697; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1204(a), 98 Stat. 2152; Oct. 22, 1986, Pub. L. 99-514, Sec. 2, 100 Stat. 2095.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 103 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 42, 36 Stat. 1100). Section was completely rewritten to clarify legislative intent and in order to omit special venue provisions from many sections. The phrase 'committed in more than one district' may be comprehensive enough to include 'begun in one district and completed in another', but the use of both expressions precludes any doubt as to legislative intent. Rules 18-22 of the Federal Rules of Criminal Procedure are in accord with this section. The last paragraph of the revised section was added to meet the situation created by the decision of the Supreme Court of the United States in United States v. Johnson, 1944, 65 S. Ct. 249, 89 L. Ed. 236, which turned on the absence of a special venue provision in the Dentures Act, section 1821 of this revision. The revised section removes all doubt as to the venue of continuing offenses and makes unnecessary special venue provisions except in cases where Congress desires to restrict the prosecution of offenses to particular districts as in section 1073 of this revision. -REFTEXT- REFERENCES IN TEXT Section 7203 of the Internal Revenue Code of 1986, referred to in subsec. (b), is classified to section 7203 of Title 26, Internal Revenue Code. Section 7201 or 7206(1), (2), or (5) of such Code, referred to in subsec. (b), are classified respectively to sections 7201 and 7206(1), (2), (5) of Title 26. -MISC2- AMENDMENTS 1986 - Subsec. (b). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. 1984 - Subsec. (a). Pub. L. 98-473 inserted 'or the importation of an object or person into the United States' and ', or imported object or person' in second par. Subsec. (b). Pub. L. 98-369 substituted 'venue for prosecution of an offense' for 'an offense involves use of the mails and is an offense' and inserted 'is based solely on a mailing to the Internal Revenue Service'. 1966 - Subsec. (b). Pub. L. 89-713 inserted reference to offenses described in section 7203 of the Internal Revenue Code of 1954. 1958 - Pub. L. 85-595 designated existing provisions as subsec. (a) and added subsec. (b). EFFECTIVE DATE OF 1966 AMENDMENT Amendment by Pub. L. 89-713 effective Nov. 2, 1966, see section 6 of Pub. L. 89-713, set out as a note under section 6091 of Title 26, Internal Revenue Code. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Venue of criminal prosecutions, see rule 18 et seq., Appendix to this title. ------DocID 24737 Document 979 of 1438------ -CITE- 18 USC Sec. 3238 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3238. Offenses not committed in any district -STATUTE- The trial of all offenses begun or committed upon the high seas, or elsewhere out of the jurisdiction of any particular State or district, shall be in the district in which the offender, or any one of two or more joint offenders, is arrested or is first brought; but if such offender or offenders are not so arrested or brought into any district, an indictment or information may be filed in the district of the last known residence of the offender or of any one of two or more joint offenders, or if no such residence is known the indictment or information may be filed in the District of Columbia. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 826; May 23, 1963, Pub. L. 88-27, 77 Stat. 48.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 102 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 41, 36 Stat. 1100). Words 'begun or' were inserted to clarify scope of this section and section 3237 of this title. This section is similar to section 219 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse, providing in part that unlawful issuance of passports may be prosecuted in the district where the offender may be arrested or in custody. Said provision is therefore omitted as covered by this section. The remaining provisions of said section 219 are incorporated in section 1541 of this title. AMENDMENTS 1963 - Pub. L. 88-27 authorized the trial of offenses not committed in any district in the district in which the offender, or any one of two or more joint offenders, is arrested; an indictment or information to be filed in the district of the last known residence of the offender or of any one of two or more joint offenders where the offender or offenders are not arrested or brought into any district; and an indictment or information to be filed in the District of Columbia where there is no knowledge of the residence of the offender or of any one of two or more joint offenders. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Offenses outside a district or state, applicability of rules to, see rule 54, Appendix to this title. ------DocID 24738 Document 980 of 1438------ -CITE- 18 USC Sec. 3239 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- (Sec. 3239. Repealed. Pub. L. 98-473, title II, Sec. 1204(b), Oct. 12, 1984, 98 Stat. 2152) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 827, related to threatening communications. ------DocID 24739 Document 981 of 1438------ -CITE- 18 USC Sec. 3240 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3240. Creation of new district or division -STATUTE- Whenever any new district or division is established, or any county or territory is transferred from one district or division to another district or division, prosecutions for offenses committed within such district, division, county, or territory prior to such transfer, shall be commenced and proceeded with the same as if such new district or division had not been created, or such county or territory had not been transferred, unless the court, upon the application of the defendant, shall order the case to be removed to the new district or division for trial. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 827; May 24, 1949, ch. 139, Sec. 50, 63 Stat. 96.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 121 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 59, 36 Stat. 1103). Section 121 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, was divided into two sections. Only the portion relating to venue in civil cases was left in title 28, U.S.C., 1940 ed., Judicial Code and Judiciary. Minor changes of phraseology were made. 1949 ACT This section (section 50) strikes the second sentence of section 3240 of title 18, U.S.C., as unnecessary. Section '119' of title 28, U.S.C., referred to in such sentence, became section 1404 of title 28 upon its revision and enactment into positive law in 1948, but reference to the latter, in said section 3240 of title 18, U.S.C., is surplusage in view of rule 19 et seq. of the Federal Rules of Criminal Procedure and the remainder of such section 3240. AMENDMENTS 1949 - Act May 24, 1949, struck out 'The transfer of such prosecutions shall be made in the manner provided in section 119 of Title 28'. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Venue of criminal prosecutions, see rule 18 et seq., Appendix to this title. ------DocID 24740 Document 982 of 1438------ -CITE- 18 USC Sec. 3241 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3241. Jurisdiction of offenses under certain sections -STATUTE- The United States District Court for the Canal Zone and the District Court of the Virgin Islands shall have jurisdiction of offenses under the laws of the United States, not locally inapplicable, committed within the territorial jurisdiction of such courts, and jurisdiction, concurrently with the district courts of the United States, of offenses against the laws of the United States committed upon the high seas. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 827; July 7, 1958, Pub. L. 85-508, Sec. 12(i), 72 Stat. 348.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 39, 574; sections 23, 101, 1406 of title 48, U.S.C., 1940 ed., Territories and Insular Possessions; section 39 of title 50, U.S.C., 1940 ed., War and National Defense (June 6, 1900, ch. 786, Sec. 4, 31 Stat. 322; Aug. 24, 1912, ch. 387, Sec. 3, 37 Stat. 512; June 15, 1917, ch. 30, title XIII, Sec. 2, 40 Stat. 231; Mar. 2, 1921, ch. 110, 41 Stat. 1203; June 22, 1936, ch. 699, Sec. 28, 49 Stat. 1814). Section consolidates portions of sections 39 and 574 of title 18, U.S.C., 1940 ed., with jurisdictional provisions of sections 23, 101, and 1406 of title 48, U.S.C., 1940 ed., and section 39 of title 50 U.S.C., 1940 ed., with changes of phraseology necessary to effect consolidation. The revised section simplifies and clarifies the Federal jurisdiction of the district courts of the Territories and Possessions. The enumeration of sections in section 574 of title 18, U.S.C., 1940 ed., was omitted as incomplete and misleading and the general language of the revised section was made applicable to the Canal Zone. The phrase 'the several courts of the first instance in the Philippine Islands' in section 574 of title 18, U.S.C., 1940 ed., was omitted as obsolete in view of the independence of the Commonwealth of the Philippines effective July 4, 1946. The last sentence of section 574 of title 18, U.S.C., 1940 ed., with reference to the powers of district attorneys was omitted as unnecessary and otherwise covered by sections 403 and 404 of title 22, U.S.C., 1940 ed., Foreign Relations and Intercourse. Definition of United States in section 39 of title 18, U.S.C., 1940 ed., is incorporated in section 5 of this title. AMENDMENTS 1958 - Pub. L. 85-508 struck out provisions which related to the District Court for the Territory of Alaska. See section 81A of Title 28, Judiciary and Judicial Procedure, which establishes a United States District Court for the State of Alaska. EFFECTIVE DATE OF 1958 AMENDMENT Amendment by Pub. L. 85-508 effective Jan. 3, 1959, on admission of Alaska into the Union pursuant to Proc. No. 3269, Jan. 3, 1959, 24 F.R. 81, 73 Stat. c16, as required by sections 1 and 8(c) of Pub. L. 85-508, see notes set out under section 81A of Title 28, Judiciary and Judicial Procedure, and preceding former section 21 of Title 48, Territories and Insular Possessions. -TRANS- TERMINATION OF UNITED STATES DISTRICT COURT FOR THE DISTRICT OF THE CANAL ZONE For termination of the United States District Court for the District of the Canal Zone at end of the 'transition period', being the 30 month period beginning Oct. 1, 1979, and ending midnight Mar. 31, 1982, see Paragraph 5 of Article XI of the Panama Canal Treaty of 1977 and sections 3831 and 3841 to 3843 of Title 22, Foreign Relations and Intercourse. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Application of rules, see note by Advisory Committee under rule 54, Appendix to this title. CROSS REFERENCES District Court of the Virgin Islands, see section 1611 et seq. of Title 48, Territories and Insular Possessions. ------DocID 24741 Document 983 of 1438------ -CITE- 18 USC Sec. 3242 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3242. Indians committing certain offenses; acts on reservations -STATUTE- All Indians committing any offense listed in the first paragraph of and punishable under section 1153 (relating to offenses committed within Indian country) of this title shall be tried in the same courts and in the same manner as are all other persons committing such offense within the exclusive jurisdiction of the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 827; May 24, 1949, ch. 139, Sec. 51, 63 Stat. 96; Nov. 2, 1966, Pub. L. 89-707, Sec. 2, 80 Stat. 1101; May 29, 1976, Pub. L. 94-297, Sec. 4, 90 Stat. 586.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 548 (Mar. 4, 1909, ch. 321, Sec. 328, 35 Stat. 1151; June 1932, ch. 284, 47 Stat. 337). The provisions defining rape in accordance with the law of the State and prescribing imprisonment at the discretion of the court for rape by an Indian upon an Indian are now included in section 1153 of this title. (See also section 6 of this title.) Section 549 of said title 18, relating to crimes in Indian reservations in South Dakota, was omitted as covered by section 1153 of this title. Accordingly the last sentence of said section 548, extending this section to prosecutions of Indians in South Dakota, was also omitted as unnecessary because this section is sufficient and applicable. Other provisions of said section 548 are incorporated in sections 1151 and 1153 of this title. Minor changes were made in phraseology. 1949 ACT This section (section 51) conforms section 3242 of title 18, U.S.C., with sections 1151 and 1153 of such title, thus eliminating inconsistency and ambiguity with respect to the definition of Indian country. AMENDMENTS 1976 - Pub. L. 94-297 substituted provision setting out reference to offenses listed in first paragraph of and punishable under section 1153 of this title, for provision specifically enumerating the covered offenses. 1966 - Pub. L. 89-707 added carnal knowledge and assault with intent to commit rape as offenses cognizable within the exclusive jurisdiction of the United States when committed on and within the Indian country. 1949 - Act May 24, 1949, substituted 'within the Indian country' for 'within any Indian reservation, including rights-of-way running through the reservation,'. -CROSS- CROSS REFERENCES Offenses committed within Indian country, see section 1153 of this title. ------DocID 24742 Document 984 of 1438------ -CITE- 18 USC Sec. 3243 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3243. Jurisdiction of State of Kansas over offenses committed by or against Indians on Indian reservations -STATUTE- Jurisdiction is conferred on the State of Kansas over offenses committed by or against Indians on Indian reservations, including trust or restricted allotments, within the State of Kansas, to the same extent as its courts have jurisdiction over offenses committed elsewhere within the State in accordance with the laws of the State. This section shall not deprive the courts of the United States of jurisdiction over offenses defined by the laws of the United States committed by or against Indians on Indian reservations. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 827.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 217a of title 25, U.S.C., 1940 ed., Indians (June 8, 1940, ch. 276, 54 Stat. 249). The attention of Congress is directed to consideration of the question whether this section should be broadened and made applicable to all states rather than only to Kansas. Such change was not regarded as within the scope of this revision. Changes were made in phraseology. -CROSS- CROSS REFERENCES Offenses committed within Indian country, see section 1153 of this title. ------DocID 24743 Document 985 of 1438------ -CITE- 18 USC Sec. 3244 -EXPCITE- TITLE 18 PART II CHAPTER 211 -HEAD- Sec. 3244. Jurisdiction of proceedings relating to transferred offenders -STATUTE- When a treaty is in effect between the United States and a foreign country providing for the transfer of convicted offenders - (1) the country in which the offender was convicted shall have exclusive jurisdiction and competence over proceedings seeking to challenge, modify, or set aside convictions or sentences handed down by a court of such country; (2) all proceedings instituted by or on behalf of an offender transferred from the United States to a foreign country seeking to challenge, modify, or set aside the conviction or sentence upon which the transfer was based shall be brought in the court which would have jurisdiction and competence if the offender had not been transferred; (3) all proceedings instituted by or on behalf of an offender transferred to the United States pertaining to the manner of execution in the United States of the sentence imposed by a foreign court shall be brought in the United States district court for the district in which the offender is confined or in which supervision is exercised and shall name the Attorney General and the official having immediate custody or exercising immediate supervision of the offender as respondents. The Attorney General shall defend against such proceedings; (4) all proceedings instituted by or on behalf of an offender seeking to challenge the validity or legality of the offender's transfer from the United States shall be brought in the United States district court of the district in which the proceedings to determine the validity of the offender's consent were held and shall name the Attorney General as respondent; and (5) all proceedings instituted by or on behalf of an offender seeking to challenge the validity or legality of the offender's transfer to the United States shall be brought in the United States district court of the district in which the offender is confined or of the district in which supervision is exercised and shall name the Attorney General and the official having immediate custody or exercising immediate supervision of the offender as respondents. The Attorney General shall defend against such proceedings. -SOURCE- (Added Pub. L. 95-144, Sec. 3, Oct. 28, 1977, 91 Stat. 1220, title 28, Sec. 2256; renumbered Pub. L. 95-598, title III, Sec. 314(j)(1), Nov. 6, 1978, 92 Stat. 2677.) -COD- CODIFICATION Section was formerly classified to section 2256 of Title 28, Judiciary and Judicial Procedure. -MISC3- SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. ------DocID 24744 Document 986 of 1438------ -CITE- 18 USC CHAPTER 213 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- CHAPTER 213 - LIMITATIONS -MISC1- Sec. 3281. Capital offenses. 3282. Offenses not capital. 3283. Customs and slave trade violations. 3284. Concealment of bankrupt's assets. 3285. Criminal contempt. (3286. Repealed.) 3287. Wartime suspension of limitations. 3288. Indictments and information dismissed after period of limitations. 3289. Indictments and information dismissed before period of limitations. 3290. Fugitives from justice. 3291. Nationality, citizenship and passports. 3292. Suspension of limitations to permit United States to obtain foreign evidence. 3293. Financial institution offenses. AMENDMENTS 1990 - Pub. L. 101-647, title XII, Sec. 1207(b), Nov. 29, 1990, 104 Stat. 4832, struck out item 3286 'Seduction on vessel of United States'. 1989 - Pub. L. 101-73, title IX, Sec. 961(l)(2), Aug. 9, 1989, 103 Stat. 501, added item 3293. 1988 - Pub. L. 100-690, title VII, Sec. 7081(c), Nov. 18, 1988, 102 Stat. 4407, substituted 'Indictments and information dismissed after period of limitations' for 'Reindictment where defect found after period of limitations' in item 3288 and 'Indictments and information dismissed before period of limitations' for 'Reindictment where defect found before period of limitations' in item 3289. 1984 - Pub. L. 98-473, title II, Sec. 1218(b), Oct. 12, 1984, 98 Stat. 2167, added item 3292. 1951 - Act June 30, 1951, ch. 194, Sec. 2, 65 Stat. 107, added item 3291. ------DocID 24745 Document 987 of 1438------ -CITE- 18 USC Sec. 3281 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3281. Capital offenses -STATUTE- An indictment for any offense punishable by death may be found at any time without limitation except for offenses barred by the provisions of law existing on August 4, 1939. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 827.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 581a, 581b (Aug. 4, 1939, ch. 419, Sec. 1, 2, 53 Stat. 1198). Sections 581a and 581b of title 18, U.S.C., 1940 ed., were consolidated into this section without change of substance. -CROSS- CROSS REFERENCES Fugitives from justice, no limitations applicable, see section 3290 of this title. ------DocID 24746 Document 988 of 1438------ -CITE- 18 USC Sec. 3282 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3282. Offenses not capital -STATUTE- Except as otherwise expressly provided by law, no person shall be prosecuted, tried, or punished for any offense, not capital, unless the indictment is found or the information is instituted within five years next after such offense shall have been committed. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 828; Sept. 1, 1954, ch. 1214, Sec. 12(a), formerly Sec. 10(a), 68 Stat. 1145, renumbered Sept. 26, 1961, Pub. L. 87-299, Sec. 1, 75 Stat. 648.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 746(g) of title 8, U.S.C., 1940 ed., Aliens and Nationality, and on title 18, U.S.C., 1940 ed., Sec. 582 (R.S. Sec. 1044; Apr. 13, 1876, ch. 56, 19 Stat. 32; Nov. 17, 1921, ch. 124, Sec. 1, 42 Stat. 220; Dec. 27, 1927, ch. 6, 45 Stat. 51; Oct. 14, 1940, ch. 876, title I, subchap. III, Sec. 346(g), 54 Stat. 1167). Section 582 of title 18, U.S.C., 1940 ed., and section 746(g) of title 8, U.S.C., 1940 ed., Aliens and Nationality, were consolidated. 'Except as otherwise expressly provided by law' was inserted to avoid enumeration of exceptive provisions. The proviso contained in the act of 1927 'That nothing herein contained shall apply to any offense for which an indictment has been heretofore found or an information instituted, or to any proceedings under any such indictment or information,' was omitted as no longer necessary. In the consolidation of these sections the 5-year period of limitation for violations of the Nationality Code, provided for in said section 746(g) of title 8, U.S.C., 1940 ed., Aliens and Nationality, is reduced to 3 years. There seemed no sound basis for considering 3 years adequate in the case of heinous felonies and gross frauds against the United States but inadequate for misuse of a passport or false statement to a naturalization examiner. AMENDMENTS 1954 - Act Sept. 1, 1954, changed the limitation period from three years to five years. EFFECTIVE DATE OF 1954 AMENDMENT Section 12(b) of act Sept. 1, 1954, formerly section 10(b), as renumbered by Pub. L. 87-299, Sec. 1, provided that: 'The amendment made by subsection (a) (amending this section) shall be effective with respect to offenses (1) committed on or after September 1, 1954, or (2) committed prior to such date, if on such date prosecution therefor is not barred by provisions of law in effect prior to such date.' FUGITIVES FROM JUSTICE Statutes of limitations as not extending to persons fleeing from justice, see section 3290 of this title. OFFENSES AGAINST INTERNAL SECURITY Limitation period in connection with offenses against internal security, see section 783 of Title 50, War and National Defense. SECTIONS 792, 793, AND 794 OF THIS TITLE; LIMITATION PERIOD Limitation period in connection with sections 792, 793, and 794 of this title, see note set out under section 792. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Limitation periods not affected by procedure governing pleadings and motions, see rule 12, Appendix to this title. Motion raising defenses, see rule 12. Pleas, demurrers, and motions to quash abolished, see rule 12. CROSS REFERENCES Antitrust law violations, suspension of limitation periods, see section 16 note of Title 15, Commerce and Trade. Concealment of bankrupt's assets as continuing offense, see section 3284 of this title. Offenses arising under - Bankruptcy laws, see section 151 et seq. of this title. Copyright laws, see section 507 of Title 17, Copyrights. Internal revenue laws, see section 6531 of Title 26, Internal Revenue Code. Wartime suspension of limitations, see section 3287 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1091 of this title. ------DocID 24747 Document 989 of 1438------ -CITE- 18 USC Sec. 3283 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3283. Customs and slave trade violations -STATUTE- No person shall be prosecuted, tried or punished for any violation of the customs laws or the slave trade laws of the United States unless the indictment is found or the information is instituted within five years next after the commission of the offense. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 828.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 584 (R.S. Sec. 1046; July 5, 1884, ch. 225, Sec. 2, 23 Stat. 122). Words 'customs laws' were substituted for 'revenue laws,' since different limitations are provided for internal revenue violations by section 3748 of title 26, U.S.C., 1940 ed., Internal Revenue Code. This section was held to apply to offenses under the customs laws. Those offenses are within the term 'revenue laws' but not within the term 'internal revenue laws'. United States v. Hirsch (1879, 100 U.S. 33, 25 L. Ed. 539), United States v. Shorey (1869, Fed. Cas. No. 16,282), and United States v. Platt (1840, Fed. Cas. No. 16,054a) applied this section in customs cases. Hence it appears that there was no proper basis for the complete elimination from section 584 of title 18, U.S.C., 1940 ed., of the reference to revenue laws. Meaning of 'revenue laws'. United States v. Norton (1876, 91 U.S. 566, 23 L.Ed. 454), quoting Webster that 'revenue' refers to 'The income of a nation, derived from its taxes, duties, or other sources, for the payment of the national expenses.' Quoting United States v. Mayo (1813, Fed. Cas. No. 15,755) that 'revenue laws' meant such laws 'as are made for the direct and avowed purpose of creating revenue or public funds for the service of the Government.' Definition of revenue. 'Revenue' is the income of a State, and the revenue of the Post Office Department, being raised by a tax on mailable matter conveyed in the mail, and which is disbursed in the public service, is as much a part of the income of the government as moneys collected for duties on imports (United States v. Bromley, 53 U.S. 88, 99, 13 L. Ed. 905). 'Revenue' is the product or fruit of taxation. It matters not in what form the power of taxation may be exercised or to what subjects it may be applied, its exercise is intended to provide means for the support of the Government, and the means provided are necessarily to be regarded as the internal revenue. Duties upon imports are imposed for the same general object and, because they are so imposed, the money thus produced is considered revenue, not because it is derived from any particular source (United States v. Wright, 1870, Fed. Cas. No. 16,770). 'Revenue law' is defined as a law for direct object of imposing and collecting taxes, dues, imports, and excises for government and its purposes (In re Mendenhall, D.C. Mont. 1935, 10 F. Supp. 122). Act Cong. March 2, 1799, ch. 22, 1 Stat. 627, regulating the collection of duties on imports, is a revenue law, within the meaning of act Cong. April 18, 1818, ch. 70, 3 Stat. 433, providing for the mode of suing for and recovering penalties and forfeitures for violations of the revenue laws of the United States (The Abigail, 1824, Fed. Cas. No. 18). Changes were made in phraseology. -REFTEXT- REFERENCES IN TEXT The customs laws of the United States, referred to in text, are classified generally to Title 19, Customs Duties. -CROSS- CROSS REFERENCES Customs offenses, see section 541 et seq. of this title. Limitations for offenses under internal revenue laws generally, see section 6531 of Title 26, Internal Revenue Code. Slave trade offenses, see section 1582 et seq. of this title. ------DocID 24748 Document 990 of 1438------ -CITE- 18 USC Sec. 3284 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3284. Concealment of bankrupt's assets -STATUTE- The concealment of assets of a debtor in a case under title 11 shall be deemed to be a continuing offense until the debtor shall have been finally discharged or a discharge denied, and the period of limitations shall not begin to run until such final discharge or denial of discharge. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 828; Nov. 6, 1978, Pub. L. 95-598, title III, Sec. 314(k), 92 Stat. 2678.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 52(d) of title 11, U.S.C., 1940 ed., Bankruptcy (May 27, 1926, ch. 406, Sec. 11d, 44 Stat. 665; June 22, 1938, ch. 575, Sec. 1, 52 Stat. 856). The 3-year-limitation provision was omitted as unnecessary in view of the general statute, section 3282 of this title. The words 'or a discharge denied' and 'or denial of discharge' were added on the recommendation of the Department of Justice to supply an omission in existing law. Other subsections of said section 52 of title 11, U.S.C., 1940 ed., are incorporated in sections 151-154 and 3057 of this title. Other minor changes of phraseology were made. AMENDMENTS 1978 - Pub. L. 95-598 substituted 'debtor in a case under title 11' for 'bankrupt or other debtor'. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. -CROSS- CROSS REFERENCES Bankruptcy investigations, see section 3057 of this title. Five year limitation on offenses relating to bankruptcy, see section 3282 of this title. Offenses relating to bankruptcy, see section 151 et seq. of this title. ------DocID 24749 Document 991 of 1438------ -CITE- 18 USC Sec. 3285 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3285. Criminal contempt -STATUTE- No proceeding for criminal contempt within section 402 of this title shall be instituted against any person, corporation or association unless begun within one year from the date of the act complained of; nor shall any such proceeding be a bar to any criminal prosecution for the same act. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 828.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 390 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Oct. 15, 1914, ch. 323, Sec. 25, 38 Stat. 740). Word 'criminal' was inserted before 'contempt' in first line. Words 'within section 402 of this title' were inserted after 'contempt'. The correct meaning and narrow application of title 28, U.S.C., 1940 ed., Sec. 390, are preserved, as section 389 of that title is incorporated in sections 402 and 3691 of this title. Words 'corporation or association' were inserted after 'person', thus embodying applicable definition of section 390a of title 28, U.S.C., 1940 ed. (See reviser's note under section 402 of this title.) -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Criminal contempt procedure, see rule 42, Appendix to this title. CROSS REFERENCES Criminal contempts constituting criminal offenses, see section 402 of this title. Insurance business, application of section to, see sections 1011 to 1015 of Title 15, Commerce and Trade. ------DocID 24750 Document 992 of 1438------ -CITE- 18 USC Sec. 3286 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- (Sec. 3286. Repealed. Pub. L. 101-647, title XII, Sec. 1207(b), Nov. 29, 1990, 104 Stat. 4832) -MISC1- Section, act June 25, 1948, ch. 645, 62 Stat. 828, related to seduction on vessel of United States. HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 460 (Mar. 4, 1909, ch. 321, Sec. 281, 35 Stat. 1144). Section 460 of title 18, U.S.C., 1940 ed., was incorporated in this section and sections 2198 and 3614 of this title. Minor changes in phraseology only were made in this section. Reference to the filing of an information was inserted in view of rule 7 of the Federal Rules of Criminal Procedure. ------DocID 24751 Document 993 of 1438------ -CITE- 18 USC Sec. 3287 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3287. Wartime suspension of limitations -STATUTE- When the United States is at war the running of any statute of limitations applicable to any offense (1) involving fraud or attempted fraud against the United States or any agency thereof in any manner, whether by conspiracy or not, or (2) committed in connection with the acquisition, care, handling, custody, control or disposition of any real or personal property of the United States, or (3) committed in connection with the negotiation, procurement, award, performance, payment for, interim financing, cancelation, or other termination or settlement, of any contract, subcontract, or purchase order which is connected with or related to the prosecution of the war, or with any disposition of termination inventory by any war contractor or Government agency, shall be suspended until three years after the termination of hostilities as proclaimed by the President or by a concurrent resolution of Congress. Definitions of terms in section 103 of title 41 shall apply to similar terms used in this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 828.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 590a (Aug. 24, 1942, ch. 555, Sec. 1, 56 Stat. 747; July 1, 1944, ch. 358, Sec. 19(b), 58 Stat. 667; Oct. 3, 1944, ch. 479, Sec. 28, 58 Stat. 781). The phrase 'when the United States is at war' was inserted at the beginning of this section to make it permanent instead of temporary legislation, and to obviate the necessity of reenacting such legislation in the future. This permitted the elimination of references to dates and to the provision limiting the application of the section to transactions not yet fully barred. When the provisions of the War Contract Settlements Act of 1944, upon which this section is based, are considered in connection with said section 590a which it amends, it is obvious that no purpose can be served now by the provisions omitted. Phrase (2), reading 'or committed in connection with the acquisition, care, handling, custody, control or disposition of any real or personal property of the United States' was derived from section 28 of the Surplus Property Act of 1944 which amended said section 590a of title 18, U.S.C., 1940 ed. This act is temporary by its terms and relates only to offenses committed in the disposition of surplus property thereunder. The revised section extends its provisions to all offenses involving the disposition of any property, real or personal, of the United States. This extension is more apparent than real since phrase (2), added as the result of said Act, was merely a more specific statement of offenses embraced in phrase (1) of this section. The revised section is written in general terms as permanent legislation applicable whenever the United States is at war. (See, also, reviser's note under section 284 of this title.) The last paragraph was added to obviate any possibility of doubt as to meaning of terms defined in section 103 of title 41, U.S.C., 1940 ed., Public Contracts. Changes were made in phraseology. -CROSS- CROSS REFERENCES Termination of war contracts, see section 101 et seq. of Title 41, Public Contracts. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 26 section 6533. ------DocID 24752 Document 994 of 1438------ -CITE- 18 USC Sec. 3288 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3288. Indictments and information dismissed after period of limitations -STATUTE- Whenever an indictment or information charging a felony is dismissed for any reason after the period prescribed by the applicable statute of limitations has expired, a new indictment may be returned in the appropriate jurisdiction within six calendar months of the date of the dismissal of the indictment or information, or, in the event of an appeal, within 60 days of the date the dismissal of the indictment or information becomes final, or, if no regular grand jury is in session in the appropriate jurisdiction when the indictment or information is dismissed, within six calendar months of the date when the next regular grand jury is convened, which new indictment shall not be barred by any statute of limitations. This section does not permit the filing of a new indictment or information where the reason for the dismissal was the failure to file the indictment or information within the period prescribed by the applicable statute of limitations, or some other reason that would bar a new prosecution. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 828; Oct. 16, 1963, Pub. L. 88-139, Sec. 2, 77 Stat. 248; Aug. 30, 1964, Pub. L. 88-520, Sec. 1, 78 Stat. 699; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7081(a), 102 Stat. 4407.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 556a, 587, 589 (Apr. 30, 1934, ch. 170, Sec. 1, 48 Stat. 648; May 10, 1934, ch. 278, Sec. 1, 3, 48 Stat. 772; July 10, 1940, ch. 567, 54 Stat. 747). This section is a consolidation of sections 556a, 587, and 589 of title 18, U.S.C., 1940 ed., without change of substance. (See reviser's note under section 3289 of this title.) AMENDMENTS 1988 - Pub. L. 100-690, in section catchline, substituted 'Indictments and information dismissed after period of limitations' for 'Indictment where defect found after period of limitations', and in text, substituted 'Whenever an indictment or information charging a felony is dismissed for any reason' for 'Whenever an indictment is dismissed for any error, defect, or irregularity with respect to the grand jury, or an indictment or information filed after the defendant waives in open court prosecution by indictment is found otherwise defective or insufficient for any cause,', inserted ', or, in the event of an appeal, within 60 days of the date the dismissal of the indictment or information becomes final' after 'dismissal of the indictment or information', and inserted provisions which prohibited filing of new indictment or information where reason for dismissal was failure to file within period prescribed or some other reason that would bar a new prosecution. 1964 - Pub. L. 88-520 substituted 'Indictment' for 'Reindictment' in section catchline, included indictments or informations filed after the defendant waives in open court prosecution by indictment which are dismissed for any error, defect, or irregularity, or are otherwise found defective or insufficient, and substituted provisions authorizing the return of a new indictment in the appropriate jurisdiction within six calendar months of the date of the dismissal of the indictment or information, or, if no regular grand jury is in session when the indictment or information is dismissed, within six calendar months of the date when the next grand jury is convened, for provisions which authorized the return of a new indictment not later than the end of the next succeeding regular session of the court, following the session at which the indictment was found defective or insufficient, during which a grand jury shall be in session. 1963 - Pub. L. 88-139 substituted 'session' for 'term' wherever appearing. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Limitation periods not affected by procedure governing pleadings and motions, see rule 12, Appendix to this title. Motion to dismiss indictment on objections to grand jury, see rule 6. CROSS REFERENCES Indictment before limitations, see section 3289 of this title. Limitations for non-capital offenses, see section 3282 of this title. ------DocID 24753 Document 995 of 1438------ -CITE- 18 USC Sec. 3289 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3289. Indictments and information dismissed before period of limitations -STATUTE- Whenever an indictment or information charging a felony is dismissed for any reason before the period prescribed by the applicable statute of limitations has expired, and such period will expire within six calendar months of the date of the dismissal of the indictment or information, a new indictment may be returned in the appropriate jurisdiction within six calendar months of the expiration of the applicable statute of limitations, or, in the event of an appeal, within 60 days of the date the dismissal of the indictment or information becomes final, or, if no regular grand jury is in session in the appropriate jurisdiction at the expiration of the applicable statute of limitations, within six calendar months of the date when the next regular grand jury is convened, which new indictment shall not be barred by any statute of limitations. This section does not permit the filing of a new indictment or information where the reason for the dismissal was the failure to file the indictment or information within the period prescribed by the applicable statute of limitations, or some other reason that would bar a new prosecution. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 829; Oct. 16, 1963, Pub. L. 88-139, Sec. 2, 77 Stat. 248; Aug. 30, 1964, Pub. L. 88-520, Sec. 2, 78 Stat. 699; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7081(b), 102 Stat. 4407; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1213, title XXV, Sec. 2595(b), title XXXV, Sec. 3580, 104 Stat. 4833, 4907, 4929.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 556a, 588, 589 (Apr. 30, 1934, ch. 170, Sec. 1, 48 Stat. 648; May 10, 1934, ch. 278, Sec. 2, 3, 48 Stat. 772). Consolidation of sections 556a, 588, and 589 of title 18, U.S.C., 1940 ed., without change of substance. The provisions of said section 556a, with reference to time of filing motion, were omitted and numerous changes of phraseology were necessary to effect consolidation, particularly in view of rules 6(b) and 12(b)(2), (3), (5) of the Federal Rules of Criminal Procedure. Words 'regular or special' were omitted and 'regular' inserted after 'succeeding' to harmonize with section 3288 of this title. AMENDMENTS 1990 - Pub. L. 101-647, Sec. 3580, inserted a comma after 'information' the second place it appeared. Pub. L. 101-647, Sec. 1213, 2595(b), which directed similar amendments by striking out 'or, in the event of an appeal, within 60 days of the date the dismissal of the indictment or information becomes final,' after 'the date of the dismissal of the indictment or information', and in the case of Sec. 1213, directed that the stricken language be inserted after 'within six months of the expiration of the statute of limitations,' and in the case of Sec. 2595(b), directed that the stricken language be inserted after 'expiration of the applicable statute of limitations,' was executed by striking out the language as directed and inserting it after 'within six calendar months of the expiration of the applicable statute of limitations,' to reflect the probable intent of Congress. 1988 - Pub. L. 100-690 in section catchline substituted 'Indictments and information dismissed after period of limitations' for 'Indictment where defect found before period of limitations', and in text, substituted 'Whenever an indictment or information charging a felony is dismissed for any reason' for 'Whenever an indictment is dismissed for any error, defect, or irregularity with respect to the grand jury, or an indictment or information filed after the defendant waives in open court prosecution by indictment is found otherwise defective or insufficient for any cause,', inserted 'or, in the event of an appeal, within 60 days of the date the dismissal of the indictment or information becomes final' after 'dismissal of the indictment or information', and inserted provisions which prohibited filing of new indictment or information where reason for dismissal was failure to file within period prescribed or some other reason that would bar a new prosecution. 1964 - Pub. L. 88-520 substituted 'Indictment' for 'Reindictment' in section catchline, included indictments or informations filed after the defendant waives in open court prosecution by indictment which are dismissed for any error, defect, or irregularity, or are otherwise found defective or insufficient, and substituted provisions authorizing, where the period of the statute of limitations will expire within six calendar months of the date of the dismissal, the return of a new indictment within six calendar months of the expiration of the applicable statute of limitations, or, if no regular grand jury is in session at the expiration of the applicable statute of limitations, within six calendar months of the date when the next regular grand jury is convened, for provisions which authorized, where the period of the statute of limitations will expire before the end of the next regular session of the court to which such indictment was returned, the return of a new indictment not later than the end of the next succeeding regular session of the court following the session at which the indictment was found defective or insufficient, during which a grand jury shall be in session. 1963 - Pub. L. 88-139 substituted 'session' for 'term' wherever appearing. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Limitation periods not affected by procedure governing pleadings and motions, see rule 12, Appendix to this title. Motion to dismiss indictment on objection to grand jury, see rule 6. CROSS REFERENCES Indictment after limitations, see section 3288 of this title. Limitation for non-capital offenses, see section 3282 of this title. ------DocID 24754 Document 996 of 1438------ -CITE- 18 USC Sec. 3290 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3290. Fugitives from justice -STATUTE- No statute of limitations shall extend to any person fleeing from justice. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 829.) -MISC1- HISTORICAL AND REVISION NOTES Based on Title 18, U.S.C., 1940 ed., Sec. 583 (R.S. Sec. 1045). Said section 583 was rephrased and made applicable to all statutes of limitation and is merely declaratory of the generally accepted rule of law. -CROSS- CROSS REFERENCES Absence from district as tolling limitation for prosecution for internal revenue violations, see section 6531 of Title 26, Internal Revenue Code. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 26 section 6531. ------DocID 24755 Document 997 of 1438------ -CITE- 18 USC Sec. 3291 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3291. Nationality, citizenship and passports -STATUTE- No person shall be prosecuted, tried, or punished for violation of any provision of sections 1423 to 1428, inclusive, of chapter 69 and sections 1541 to 1544, inclusive, of chapter 75 of title 18 of the United States Code, or for conspiracy to violate any of the afore-mentioned sections, unless the indictment is found or the information is instituted within ten years after the commission of the offense. -SOURCE- (Added June 30, 1951, ch. 194, Sec. 1, 65 Stat. 107.) ------DocID 24756 Document 998 of 1438------ -CITE- 18 USC Sec. 3292 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3292. Suspension of limitations to permit United States to obtain foreign evidence -STATUTE- (a)(1) Upon application of the United States, filed before return of an indictment, indicating that evidence of an offense is in a foreign country, the district court before which a grand jury is impaneled to investigate the offense shall suspend the running of the statute of limitations for the offense if the court finds by a preponderance of the evidence that an official request has been made for such evidence and that it reasonably appears, or reasonably appeared at the time the request was made, that such evidence is, or was, in such foreign country. (2) The court shall rule upon such application not later than thirty days after the filing of the application. (b) Except as provided in subsection (c) of this section, a period of suspension under this section shall begin on the date on which the official request is made and end on the date on which the foreign court or authority takes final action on the request. (c) The total of all periods of suspension under this section with respect to an offense - (1) shall not exceed three years; and (2) shall not extend a period within which a criminal case must be initiated for more than six months if all foreign authorities take final action before such period would expire without regard to this section. (d) As used in this section, the term 'official request' means a letter rogatory, a request under a treaty or convention, or any other request for evidence made by a court of the United States or an authority of the United States having criminal law enforcement responsibility, to a court or other authority of a foreign country. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1218(a), Oct. 12, 1984, 98 Stat. 2167.) -MISC1- EFFECTIVE DATE Section effective 30 days after Oct. 12, 1984, see section 1220 of Pub. L. 98-473, set out as a note under section 3505 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3161 of this title. ------DocID 24757 Document 999 of 1438------ -CITE- 18 USC Sec. 3293 -EXPCITE- TITLE 18 PART II CHAPTER 213 -HEAD- Sec. 3293. Financial institution offenses -STATUTE- No person shall be prosecuted, tried, or punished for a violation of, or a conspiracy to violate - (1) section 215, 656, 657, 1005, 1006, 1007, 1008, (FOOTNOTE 1) 1014, or 1344; (FOOTNOTE 1) See References in Text note below. (2) section 1341 or 1343, if the offense affects a financial institution; or (3) section 1963, to the extent that the racketeering activity involves a violation of section 1344; unless the indictment is returned or the information is filed within 10 years after the commission of the offense. -SOURCE- (Added Pub. L. 101-73, title IX, Sec. 961(l)(1), Aug. 9, 1989, 103 Stat. 501, and amended Pub. L. 101-647, title XXV, Sec. 2505(a), Nov. 29, 1990, 104 Stat. 4862.) -REFTEXT- REFERENCES IN TEXT Section 1008 of this title, referred to in par. (1), was repealed by Pub. L. 101-73, title IX, Sec. 961(g)(1), Aug. 9, 1989, 103 Stat. 500. -MISC2- AMENDMENTS 1990 - Par. (3). Pub. L. 101-647 added par. (3). EFFECTIVE DATE OF 1990 AMENDMENT Section 2505(b) of Pub. L. 101-647 provided that: 'The amendments made by subsection (a) (amending this section) shall apply to any offense committed before the date of the enactment of this section (Nov. 29, 1990), if the statute of limitations applicable to that offense had not run as of such date.' EFFECT OF THIS SECTION ON OFFENSES FOR WHICH PRIOR PERIOD OF LIMITATIONS HAD NOT RUN Section 961(l)(3) of Pub. L. 101-73 provided that: 'The amendments made by this subsection (enacting this section) shall apply to an offense committed before the effective date of this section (Aug. 9, 1989), if the statute of limitations applicable to that offense under this chapter had not run as of such date.' ------DocID 24758 Document 1000 of 1438------ -CITE- 18 USC CHAPTER 215 -EXPCITE- TITLE 18 PART II CHAPTER 215 -HEAD- CHAPTER 215 - GRAND JURY -MISC1- Sec. 3321. Number of grand jurors; summoning additional jurors. 3322. Disclosure of certain matters occurring before grand jury. (3323 to 3328. Repealed.) AMENDMENTS 1989 - Pub. L. 101-73, title IX, Sec. 964(b), Aug. 9, 1989, 103 Stat. 506, added item 3322 'Disclosure of certain matters occurring before grand jury' and struck out former items 3322 'Number; summoning - Rule', 3323 'Objections and motions - Rule', 3324 'Foreman and deputy; powers and duties; records - Rule', 3325 'Persons present at proceedings - Rule', 3326 'Secrecy of proceedings and disclosure - Rule', 3327 'Indictment; finding and return - Rule', and 3328 'Discharging jury and excusing juror - Rule'. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3334 of this title. ------DocID 24759 Document 1001 of 1438------ -CITE- 18 USC Sec. 3321 -EXPCITE- TITLE 18 PART II CHAPTER 215 -HEAD- Sec. 3321. Number of grand jurors; summoning additional jurors -STATUTE- Every grand jury impaneled before any district court shall consist of not less than sixteen nor more than twenty-three persons. If less than sixteen of the persons summoned attend, they shall be placed on the grand jury, and the court shall order the marshal to summon, either immediately or for a day fixed, from the body of the district, and not from the bystanders, a sufficient number of persons to complete the grand jury. Whenever a challenge to a grand juror is allowed, and there are not in attendance other jurors sufficient to complete the grand jury, the court shall make a like order to the marshal to summon a sufficient number of persons for that purpose. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 829.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 419 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Mar. 3, 1911, ch. 231, Sec. 282, 36 Stat. 1165). The provisions of the first sentence are embodied in rule 6(a) of the Federal Rules of Criminal Procedure, but it has been retained because of its relation to the remainder of the text which is not covered by said rule. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Challenges of grand jurors, see rule 6, Appendix to this title. Discharge and excuse of grand jurors, see rule 6. Summoning grand jurors, see rule 6. CROSS REFERENCES Apportionment of grand jurors within district, see section 1865 of Title 28, Judiciary and Judicial Procedure. Attendance fees of grand jurors, see section 1871 of Title 28. Drawing grand jurors, see section 1864 of Title 28. Exclusion on account of race or color, penalty for, see section 243 of this title. Fee of marshal for serving venire, see section 1921 of Title 28, Judiciary and Judicial Procedure. Fees of grand jurors, see section 1871 of Title 28. Intimidating or influencing grand jurors, see sections 1503 and 1504 of this title. Ohio grand jurors; place of service; authority of judge to change; see sections 115 and 1865 of Title 28, Judiciary and Judicial Procedure. Qualifications and exemptions of jurors, see section 1861 of Title 28. Summons; service and return, see section 1867 of Title 28. Traveling expenses, see section 1871 of Title 28. ------DocID 24760 Document 1002 of 1438------ -CITE- 18 USC Sec. 3322 -EXPCITE- TITLE 18 PART II CHAPTER 215 -HEAD- Sec. 3322. Disclosure of certain matters occurring before grand jury -STATUTE- (a) A person who is privy to grand jury information concerning a banking law violation - (1) received in the course of duty as an attorney for the government; or (2) disclosed under rule 6(e)(3)(A)(ii) of the Federal Rules of Criminal Procedure; may disclose that information to an attorney for the government for use in enforcing section 951 of the Financial Institutions Reform, Recovery and Enforcement Act of 1989 or for use in connection with civil forfeiture under section 981 of title 18, United States Code, of property described in section 981(a)(1)(C) of such title. (b)(1) Upon motion of an attorney for the government, a court may direct disclosure of matters occurring before a grand jury during an investigation of a banking law violation to identified personnel of a financial institution regulatory agency - (A) for use in relation to any matter within the jurisdiction of such regulatory agency; or (B) to assist an attorney for the government to whom matters have been disclosed under subsection (a). (2) A court may issue an order under paragraph (1) upon a finding of a substantial need. (c) A person to whom matter has been disclosed under this section shall not use such matter other than for the purpose for which such disclosure was authorized. (d) As used in this section - (1) the term 'banking law violation' means a violation of, or a conspiracy to violate - (A) section 215, 656, 657, 1005, 1006, 1007, 1014, or 1344; or (B) section 1341 or 1343 affecting a financial institution; (2) the term 'attorney for the government' has the meaning given such term in the Federal Rules of Criminal Procedure; and (3) the term 'grand jury information' means matters occurring before a grand jury other than the deliberations of the grand jury or the vote of any grand juror. -SOURCE- (Added Pub. L. 101-73, title IX, Sec. 964(a), Aug. 9, 1989, 103 Stat. 505.) -REFTEXT- REFERENCES IN TEXT Section 951 of the Financial Institutions Reform, Recovery and Enforcement Act of 1989, referred to in subsec. (a), is classified to section 1833a of Title 12, Banks and Banking. The Federal Rules of Criminal Procedure, referred to in subsecs. (a)(2) and (d)(2), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3322, act June 25, 1948, ch. 645, 62 Stat. 829, which related to the summoning of and number of grand jurors, was repealed by Pub. L. 101-73, title IX, Sec. 964(a), Aug. 9, 1989, 103 Stat. 505. See Rule 6(a) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1345 of this title. ------DocID 24761 Document 1003 of 1438------ -CITE- 18 USC Sec. 3323 to 3328 -EXPCITE- TITLE 18 PART II CHAPTER 215 -HEAD- (Sec. 3323 to 3328. Repealed. Pub. L. 101-73, title IX, Sec. 964(a), Aug. 9, 1989, 103 Stat. 505) -MISC1- Section 3323, act June 25, 1948, ch. 645, 62 Stat. 829, related to challenging the array of grand jurors or individual grand jurors and motions to dismiss. See Rule 6(b) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. Section 3324, act June 25, 1948, ch. 645, 62 Stat. 829, related to the appointment of the grand jury foreman and deputy foreman, oaths, affirmations and indictments, and records of jurors concurring. See Rule 6(c) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. Section 3325, act June 25, 1948, ch. 645, 62 Stat. 829, related to persons who may be present while the grand jury is in session, and exclusion while the jury is deliberating or voting. See Rule 6(d) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. Section 3326, act June 25, 1948, ch. 645, 62 Stat. 829, related to disclosure of proceedings to government attorneys, disclosure by direction of the court or permission of the defendant, and secrecy of the indictment. See Rule 6(e) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. Section 3327, act June 25, 1948, ch. 645, 62 Stat. 830, related to concurrence of 12 or more jurors in the indictment and return of the indictment to the judge in open court. See Rule 6(f) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. Section 3328, act June 25, 1948, ch. 645, 62 Stat. 830, related to discharge of grand jury by court, limitation of service, and excusing jurors for cause. See Rule 6(g) of the Federal Rules of Criminal Procedure, set out in the Appendix to this title. ------DocID 24762 Document 1004 of 1438------ -CITE- 18 USC CHAPTER 216 -EXPCITE- TITLE 18 PART II CHAPTER 216 -HEAD- CHAPTER 216 - SPECIAL GRAND JURY -MISC1- Sec. 3331. Summoning and term. 3332. Powers and duties. 3333. Reports. 3334. General provisions. AMENDMENTS 1970 - Pub. L. 91-452, title I, Sec. 101(a), Oct. 15, 1970, 84 Stat. 923, added chapter 216 and items 3331 to 3334. NATIONAL COMMISSION ON INDIVIDUAL RIGHTS Pub. L. 91-452, title XII, Sec. 1201-1211, Oct. 15, 1970, 84 Stat. 960, 961, established the National Commission on Individual Rights to conduct a comprehensive study and review of Federal laws and practices relating to special grand juries authorized under chapter 216 of this title, dangerous special offender sentencing under section 3575 of this title, wiretapping and electronic surveillance, bail reform and preventive detention, no-knock search warrants, the accumulation of data on individuals by Federal agencies as authorized by law or acquired by executive action, and other practices which in its opinion might infringe upon the individual rights of the people of the United States. The Commission was required to make interim reports at least every two years and a final report to the President and Congress six years after Jan. 1, 1972, and was to cease to exist 60 days after submission of the final report. ------DocID 24763 Document 1005 of 1438------ -CITE- 18 USC Sec. 3331 -EXPCITE- TITLE 18 PART II CHAPTER 216 -HEAD- Sec. 3331. Summoning and term -STATUTE- (a) In addition to such other grand juries as shall be called from time to time, each district court which is located in a judicial district containing more than four million inhabitants or in which the Attorney General, the Deputy Attorney General, the Associate Attorney General, or any designated Assistant Attorney General, certifies in writing to the chief judge of the district that in his judgment a special grand jury is necessary because of criminal activity in the district shall order a special grand jury to be summoned at least once in each period of eighteen months unless another special grand jury is then serving. The grand jury shall serve for a term of eighteen months unless an order for its discharge is entered earlier by the court upon a determination of the grand jury by majority vote that its business has been completed. If, at the end of such term or any extension thereof, the district court determines the business of the grand jury has not been completed, the court may enter an order extending such term for an additional period of six months. No special grand jury term so extended shall exceed thirty-six months, except as provided in subsection (e) of section 3333 of this chapter. (b) If a district court within any judicial circuit fails to extend the term of a special grand jury or enters an order for the discharge of such grand jury before such grand jury determines that it has completed its business, the grand jury, upon the affirmative vote of a majority of its members, may apply to the chief judge of the circuit for an order for the continuance of the term of the grand jury. Upon the making of such an application by the grand jury, the term thereof shall continue until the entry upon such application by the chief judge of the circuit of an appropriate order. No special grand jury term so extended shall exceed thirty-six months, except as provided in subsection (e) of section 3333 of this chapter. -SOURCE- (Added Pub. L. 91-452, title I, Sec. 101(a), Oct. 15, 1970, 84 Stat. 923, and amended Pub. L. 100-690, title VII, Sec. 7020(d), Nov. 18, 1988, 102 Stat. 4396.) -MISC1- AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 inserted ', the Associate Attorney General' after 'Deputy Attorney General'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3334 of this title. ------DocID 24764 Document 1006 of 1438------ -CITE- 18 USC Sec. 3332 -EXPCITE- TITLE 18 PART II CHAPTER 216 -HEAD- Sec. 3332. Powers and duties -STATUTE- (a) It shall be the duty of each such grand jury impaneled within any judicial district to inquire into offenses against the criminal laws of the United States alleged to have been committed within that district. Such alleged offenses may be brought to the attention of the grand jury by the court or by any attorney appearing on behalf of the United States for the presentation of evidence. Any such attorney receiving information concerning such an alleged offense from any other person shall, if requested by such other person, inform the grand jury of such alleged offense, the identity of such other person, and such attorney's action or recommendation. (b) Whenever the district court determines that the volume of business of the special grand jury exceeds the capacity of the grand jury to discharge its obligations, the district court may order an additional special grand jury for that district to be impaneled. -SOURCE- (Added Pub. L. 91-452, title I, Sec. 101(a), Oct. 15, 1970, 84 Stat. 924.) -REFTEXT- REFERENCES IN TEXT The criminal laws of the United States, referred to in subsec. (a), are classified generally to this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3333, 3334 of this title. ------DocID 24765 Document 1007 of 1438------ -CITE- 18 USC Sec. 3333 -EXPCITE- TITLE 18 PART II CHAPTER 216 -HEAD- Sec. 3333. Reports -STATUTE- (a) A special grand jury impaneled by any district court, with the concurrence of a majority of its members, may, upon completion of its original term, or each extension thereof, submit to the court a report - (1) concerning noncriminal misconduct, malfeasance, or misfeasance in office involving organized criminal activity by an appointed public officer or employee as the basis for a recommendation of removal or disciplinary action; or (2) regarding organized crime conditions in the district. (b) The court to which such report is submitted shall examine it and the minutes of the special grand jury and, except as otherwise provided in subsections (c) and (d) of this section, shall make an order accepting and filing such report as a public record only if the court is satisfied that it complies with the provisions of subsection (a) of this section and that - (1) the report is based upon facts revealed in the course of an investigation authorized by subsection (a) of section 3332 and is supported by the preponderance of the evidence; and (2) when the report is submitted pursuant to paragraph (1) of subsection (a) of this section, each person named therein and any reasonable number of witnesses in his behalf as designated by him to the foreman of the grand jury were afforded an opportunity to testify before the grand jury prior to the filing of such report, and when the report is submitted pursuant to paragraph (2) of subsection (a) of this section, it is not critical of an identified person. (c)(1) An order accepting a report pursuant to paragraph (1) of subsection (a) of this section and the report shall be sealed by the court and shall not be filed as a public record or be subject to subpena or otherwise made public (i) until at least thirty-one days after a copy of the order and report are served upon each public officer or employee named therein and an answer has been filed or the time for filing an answer has expired, or (ii) if an appeal is taken, until all rights of review of the public officer or employee named therein have expired or terminated in an order accepting the report. No order accepting a report pursuant to paragraph (1) of subsection (a) of this section shall be entered until thirty days after the delivery of such report to the public officer or body pursuant to paragraph (3) of subsection (c) of this section. The court may issue such orders as it shall deem appropriate to prevent unauthorized publication of a report. Unauthorized publication may be punished as contempt of the court. (2) Such public officer or employee may file with the clerk a verified answer to such a report not later than twenty days after service of the order and report upon him. Upon a showing of good cause, the court may grant such public officer or employee an extension of time within which to file such answer and may authorize such limited publication of the report as may be necessary to prepare such answer. Such an answer shall plainly and concisely state the facts and law constituting the defense of the public officer or employee to the charges in said report, and, except for those parts thereof which the court determines to have been inserted scandalously, prejudiciously, or unnecessarily, such answer shall become an appendix to the report. (3) Upon the expiration of the time set forth in paragraph (1) of subsection (c) of this section, the United States attorney shall deliver a true copy of such report, and the appendix, if any, for appropriate action to each public officer or body having jurisdiction, responsibility, or authority over each public officer or employee named in the report. (d) Upon the submission of a report pursuant to subsection (a) of this section, if the court finds that the filing of such report as a public record may prejudice fair consideration of a pending criminal matter, it shall order such report sealed and such report shall not be subject to subpena or public inspection during the pendency of such criminal matter, except upon order of the court. (e) Whenever the court to which a report is submitted pursuant to paragraph (1) of subsection (a) of this section is not satisfied that the report complies with the provisions of subsection (b) of this section, it may direct that additional testimony be taken before the same grand jury, or it shall make an order sealing such report, and it shall not be filed as a public record or be subject to subpena or otherwise made public until the provisions of subsection (b) of this section are met. A special grand jury term may be extended by the district court beyond thirty-six months in order that such additional testimony may be taken or the provisions of subsection (b) of this section may be met. (f) As used in this section, 'public officer or employee' means any officer or employee of the United States, any State, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any political subdivision, or any department, agency, or instrumentality thereof. -SOURCE- (Added Pub. L. 91-452, title I, Sec. 101(a), Oct. 15, 1970, 84 Stat. 924.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3331, 3334 of this title. ------DocID 24766 Document 1008 of 1438------ -CITE- 18 USC Sec. 3334 -EXPCITE- TITLE 18 PART II CHAPTER 216 -HEAD- Sec. 3334. General provisions -STATUTE- The provisions of chapter 215, title 18, United States Code, and the Federal Rules of Criminal Procedure applicable to regular grand juries shall apply to special grand juries to the extent not inconsistent with sections 3331, 3332, or 3333 of this chapter. -SOURCE- (Added Pub. L. 91-452, title I, Sec. 101(a), Oct. 15, 1970, 84 Stat. 926.) ------DocID 24767 Document 1009 of 1438------ -CITE- 18 USC CHAPTER 217 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- CHAPTER 217 - INDICTMENT AND INFORMATION -MISC1- Sec. 3361. Form and contents - Rule. 3362. Waiver of indictment and prosecution on information - Rule. 3363. Joinder of offenses - Rule. 3364. Joinder of defendants - Rule. 3365. Amendment of information - Rule. 3366. Bill of particulars - Rule. 3367. Dismissal - Rule. ------DocID 24768 Document 1010 of 1438------ -CITE- 18 USC Sec. 3361 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3361. Form and contents - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Contents and form; striking surplusage, Rule 7(a), (c), (d). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24769 Document 1011 of 1438------ -CITE- 18 USC Sec. 3362 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3362. Waiver of indictment and prosecution on information - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Waiver of indictment for offenses not punishable by death, Rule 7(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24770 Document 1012 of 1438------ -CITE- 18 USC Sec. 3363 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3363. Joinder of offenses - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Joinder of two or more offenses in same indictment, Rule 8(a). Trial together of indictments or informations, Rule 13. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24771 Document 1013 of 1438------ -CITE- 18 USC Sec. 3364 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3364. Joinder of defendants - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Joinder of two or more defendants charged in same indictment, Rule 8(b). Relief from prejudicial joinder, Rule 14. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24772 Document 1014 of 1438------ -CITE- 18 USC Sec. 3365 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3365. Amendment of information - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Amendment of information, time and conditions, Rule 7(e). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24773 Document 1015 of 1438------ -CITE- 18 USC Sec. 3366 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3366. Bill of particulars - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Bill of particulars for cause; motion after arraignment; time; amendment, Rule 7(f). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24774 Document 1016 of 1438------ -CITE- 18 USC Sec. 3367 -EXPCITE- TITLE 18 PART II CHAPTER 217 -HEAD- Sec. 3367. Dismissal - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Dismissal filed by Attorney General or United States Attorney, Rule 48. Dismissal on objection to array of grand jury or lack of legal qualification of individual grand juror, Rule 6(b)(2). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830.) ------DocID 24775 Document 1017 of 1438------ -CITE- 18 USC CHAPTER 219 -EXPCITE- TITLE 18 PART II CHAPTER 219 -HEAD- CHAPTER 219 - TRIAL BY UNITED STATES MAGISTRATES -MISC1- Sec. 3401. Misdemeanors; application of probation laws. 3402. Rules of procedure, practice and appeal. AMENDMENTS 1979 - Pub. L. 96-82, Sec. 7(c), Oct. 10, 1979, 93 Stat. 646, substituted 'Misdemeanors' for 'Minor offenses' in item 3401. 1968 - Pub. L. 90-578, title III, Sec. 301(c), 302(c), Oct. 17, 1968, 82 Stat. 1115, 1116, substituted 'TRIAL BY UNITED STATES MAGISTRATES' for 'TRIAL BY COMMISSIONERS' in chapter heading, and substituted 'Minor offenses' for 'Petty offenses' and struck out 'fees' after 'probation laws' in item 3401. ------DocID 24776 Document 1018 of 1438------ -CITE- 18 USC Sec. 3401 -EXPCITE- TITLE 18 PART II CHAPTER 219 -HEAD- Sec. 3401. Misdemeanors; application of probation laws -STATUTE- (a) When specially designated to exercise such jurisdiction by the district court or courts he serves, any United States magistrate shall have jurisdiction to try persons accused of, and sentence persons convicted of, misdemeanors committed within that judicial district. (b) Any person charged with a misdemeanor may elect, however, to be tried before a judge of the district court for the district in which the offense was committed. The magistrate shall carefully explain to the defendant that he has a right to trial, judgment, and sentencing by a judge of the district court and that he may have a right to trial by jury before a district judge or magistrate. The magistrate shall not proceed to try the case unless the defendant, after such explanation, files a written consent to be tried before the magistrate that specifically waives trial, judgment, and sentencing by a judge of the district court. (c) A magistrate who exercises trial jurisdiction under this section, and before whom a person is convicted or pleads either guilty or nolo contendere, may, with the approval of a judge of the district court, direct the probation service of the court to conduct a presentence investigation on that person and render a report to the magistrate prior to the imposition of sentence. (d) The probation laws shall be applicable to persons tried by a magistrate under this section, and such officer shall have power to grant probation and to revoke or reinstate the probation of any person granted probation by him. (e) Proceedings before United States magistrates under this section shall be taken down by a court reporter or recorded by suitable sound recording equipment. For purposes of appeal a copy of the record of such proceedings shall be made available at the expense of the United States to a person who makes affidavit that he is unable to pay or give security therefor, and the expense of such copy shall be paid by the Director of the Administrative Office of the United States Courts. (f) The district court may order that proceedings in any misdemeanor case be conducted before a district judge rather than a United States magistrate upon the court's own motion or, for good cause shown, upon petition by the attorney for the Government. Such petition should note the novelty, importance, or complexity of the case, or other pertinent factors, and be filed in accordance with regulations promulgated by the Attorney General. (g) The magistrate may, in a Class B or C misdemeanor case, or infraction case, involving a juvenile in which consent to trial before a magistrate has been filed under subsection (b) of this section, exercise all powers granted to the district court under chapter 403 of this title. For purposes of this subsection, proceedings under chapter 403 of this title may be instituted against a juvenile by a violation notice or complaint, except that no such case may proceed unless the certification referred to in section 5032 of this title has been filed in open court at the arraignment. No term of imprisonment shall be imposed by the magistrate in any such case. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 830; July 7, 1958, Pub. L. 85-508, Sec. 12(j), 72 Stat. 348; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 302(a), 82 Stat. 1115; Oct. 10, 1979, Pub. L. 96-82, Sec. 7(a), (b), 93 Stat. 645, 646; Pub. L. 98-473, title II, Sec. 223(j), Oct. 12, 1984, 98 Stat. 2029; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7072(a), 102 Stat. 4405.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 576, 576b, 576c, 576d (Oct. 9, 1940, ch. 785, Sec. 1, 3-5, 54 Stat. 1058, 1059). The phrase 'the commissioner shall have power to grant probation' was inserted in paragraph (c) in order to make clear the authority of the commissioner to grant probation without application to the District judge. Four sections were consolidated herein with minor rearrangements and deletion of unnecessary words. AMENDMENTS 1988 - Subsec. (g). Amendment by Pub. L. 100-690 directing that 'and section 4216' be struck out after 'under chapter 402' in subsec. (g), was executed to subsec. (g) applicable to offenses committed prior to Nov. 1, 1987, as the probable intent of Congress, in view of the amendment by section 223(j) of Pub. L. 98-473. See 1984 Amendment notes below. 1984 - Subsecs. (g), (h). Pub. L. 98-473, Sec. 223(j)(1), redesignated subsec. (h) as (g) and struck out former subsec. (g) which related to powers of magistrate in case involving youthful offender. Former subsec. (g), as amended by Pub. L. 100-690, read as follows: 'The magistrate may, in a case involving a youth offender in which consent to trial before a magistrate has been filed under subsection (b) of this section, impose sentence and exercise the other powers granted to the district court under chapter 402 of this title, except that - '(1) the magistrate may not sentence the youth offender to the custody of the Attorney General pursuant to such chapter for a period in excess of 1 year for conviction of a misdemeanor or 6 months for conviction of a petty offense; '(2) such youth offender shall be released conditionally under supervision no later than 3 months before the expiration of the term imposed by the magistrate, and shall be discharged unconditionally on or before the expiration of the maximum sentence imposed; and '(3) the magistrate may not suspend the imposition of sentence and place the youth offender on probation for a period in excess of 1 year for conviction of a misdemeanor or 6 months for conviction of a petty offense.' Pub. L. 98-473, Sec. 223(j)(2), which directed amendment of subsec. (h) by substituting reference to Class B or C misdemeanor case or an infraction case, for reference to petty offense case, was executed to subsec. (g) as the probable intent of Congress in view of redesignation of subsec. (h) as (g) by section 223(j)(1) of Pub. L. 98-473, see above. 1979 - Pub. L. 96-82, Sec. 7(b), substituted 'Misdemeanors' for 'Minor offenses' in section catchline. Subsec. (a). Pub. L. 96-82, Sec. 7(a)(1), substituted 'any United States magistrate shall have jurisdiction to try persons accused of, and sentence persons convicted of, misdemeanors committed' for 'and under such conditions as may be imposed by the terms of the special designation, any United States magistrate shall have jurisdiction to try persons accused of, and sentence persons convicted of, minor offenses committed'. Subsec. (b). Pub. L. 96-82, Sec. 7(a)(2), substituted reference to persons charged with misdemeanors for reference to persons charged with minor offenses, substituted reference to right to trial, judgment, and sentencing for reference to right to trial, and struck out provisions relating to the waiver of the right to a trial by jury. Subsec. (f). Pub. L. 96-82, Sec. 7(a)(3), substituted provisions authorizing the district court to order misdemeanor proceedings to be conducted before a district court judge for provisions defining term 'minor offenses'. Subsecs. (g), (h). Pub. L. 96-82, Sec. 7(a)(4), added subsecs. (g) and (h). 1968 - Pub. L. 90-578 substituted 'Minor offenses' for 'Petty offenses' and struck out provision for 'fees' in section catchline. Subsec. (a). Pub. L. 90-578 provided for trial by a magistrate rather than a commissioner of minor offenses instead of petty offenses, under such conditions as may be imposed by the terms of the special designation, required imposition of sentence after conviction instead of sentencing of person committing the offense, and omitted provision for trial of offense committed in any place over which the Congress has exclusive power to legislate or over which the United States has concurrent jurisdiction. Subsec. (b). Pub. L. 90-578 provided that the person be charged with a minor offense rather than a petty offense, prescribed trial in district court for the district in which the offense was committed, and required an explanation to be given of right to trial before a district court judge with right to jury trial before such judge and that the written consent to trial before the magistrate specifically waive trial before the district court judge and any right to a jury trial. Subsec. (c). Pub. L. 90-578 substituted authorization for magistrate to conduct presentence investigation for prior provisions making probation laws applicable to persons tried by commissioners having power to grant probation, now incorporated in subsec. (d) of this section. Subsec. (d). Pub. L. 90-578 incorporated existing provisions of former subsec. (c) of this section in provisions designated as subsec. (d), substituted 'magistrate' for 'commissioner', authorized revocation or reinstatement of probation by the officer granting the probation, and struck out former provision for receipt of fees provided by law for services as a commissioner. Subsec. (e). Pub. L. 90-578 substituted requirement that proceedings before magistrates be taken down by a court reporter or recorded by sound recording equipment and provision for availability of a copy of the record of such proceedings for appeal purposes to be paid by the Director at Federal expense when a person is unable to pay or give security therefor for prior provisions making the section inapplicable to the District of Columbia and interpreting it as not repealing or limiting existing jurisdiction, power or authority of commissioners appointed in the several national parks. Subsec. (f). Pub. L. 90-578 added subsec. (f). 1958 - Subsec. (e). Pub. L. 85-508 struck out provisions which related to commissioners appointed for Alaska. See section 81A of Title 28, Judiciary and Judicial Procedure, which establishes a United States District Court for the State of Alaska. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1958 AMENDMENT Amendment by Pub. L. 85-508 effective Jan. 3, 1959, on admission of Alaska into the Union pursuant to Proc. No. 3269, Jan. 3, 1959, 24 F.R. 81, 73 Stat. c16, as required by sections 1 and 8(c) of Pub. L. 85-508, see notes set out under section 81A of Title 28, Judiciary and Judicial Procedure, and preceding former section 21 of Title 48, Territories and Insular Possessions. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Proceedings before the United States magistrate judge, see rule 5, Appendix to this title. Proceedings involving misdemeanors and other petty offenses, see rule 58. CROSS REFERENCES Appointment of United States magistrate judges, see section 631 of Title 28, Judiciary and Judicial Procedure. Compensation of magistrate judges, see section 634 of Title 28. Jurisdiction and powers of magistrate judges, see section 636 of Title 28. Probation, see section 3561 et seq. of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 7 section 1011; title 16 sections 460d, 460l-6a, 551, 670j, 1338; title 28 sections 636, 1915; title 43 section 1733. ------DocID 24777 Document 1019 of 1438------ -CITE- 18 USC Sec. 3402 -EXPCITE- TITLE 18 PART II CHAPTER 219 -HEAD- Sec. 3402. Rules of procedure, practice and appeal (FOOTNOTE 1) -STATUTE- (FOOTNOTE 1) Section catchline was not amended to conform to change made in text by Pub. L. 100-702. In all cases of conviction by a United States magistrate an appeal of right shall lie from the judgment of the magistrate to a judge of the district court of the district in which the offense was committed. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 831; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 302(b), 82 Stat. 1116; Nov. 19, 1988, Pub. L. 100-702, title IV, Sec. 404(b)(2), 102 Stat. 4651.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18 U.S.C., 1940 ed., Sec. 576a (Oct. 9, 1940, ch. 685, Sec. 2, 54 Stat. 1059). AMENDMENTS 1988 - Pub. L. 100-702 struck out second par. which read as follows: 'The Supreme Court shall prescribe rules of procedure and practice for the trial of cases before magistrates and for taking and hearing of appeals to the judges of the district courts of the United States.' 1968 - Pub. L. 90-578 provided that the appeal shall be of right, substituted 'a United States magistrate', 'magistrate', and 'magistrates' for 'United States commissioners', 'commissioner', and 'commissioners', respectively, and provided that the appeals be to the judge of the district court and not to the district court and that the rules of the Supreme Court relate to appeals to the judges of the district courts rather than to the district courts. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1988 AMENDMENT Amendment by Pub. L. 100-702 effective Dec. 1, 1988, see section 407 of Pub. L. 100-702, set out as a note under section 2071 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1968 AMENDMENT Amendment by Pub. L. 90-578 effective Oct. 17, 1968, except when a later effective date is applicable, which is the earlier of date when implementation of amendment by appointment of magistrates and assumption of office takes place or third anniversary of enactment of Pub. L. 90-578 on Oct. 17, 1968, see section 403 of Pub. L. 90-578, set out as a note under section 631 of title 28, Judiciary and Judicial Procedure. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Proceedings involving misdemeanors and other petty offenses, see rule 58. ------DocID 24778 Document 1020 of 1438------ -CITE- 18 USC CHAPTER 221 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- CHAPTER 221 - ARRAIGNMENT, PLEAS AND TRIAL -MISC1- Sec. 3431. Term of court; power of court unaffected by expiration - Rule. 3432. Indictment and list of jurors and witnesses for prisoner in capital cases. 3433. Arraignment - Rule. 3434. Presence of defendant - Rule. 3435. Receiver of stolen property triable before or after principal. 3436. Consolidation of indictments or informations - Rule. 3437. Severance - Rule. 3438. Pleas - Rule. 3439. Demurrers and special pleas in bar or abatement abolished; relief on motion - Rule. 3440. Defenses and objections determined on motion - Rule. 3441. Jury; number of jurors; waiver - Rule. 3442. Jurors, examination, preemptory challenges; alternates - Rule. 3443. Instructions to jury - Rule. 3444. Disability of judge - Rule. 3445. Motion for judgment of acquittal - Rule. 3446. New trial - Rule. ------DocID 24779 Document 1021 of 1438------ -CITE- 18 USC Sec. 3431 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3431. Term of court; power of court unaffected by expiration - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Expiration of term without significance in criminal cases, Rule 45(c). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 831.) -REFTEXT- REFERENCES IN TEXT Rule 45(c) of the Federal Rules of Criminal Procedure, referred to in text, was rescinded Feb. 28, 1966, eff. July 1, 1966. ------DocID 24780 Document 1022 of 1438------ -CITE- 18 USC Sec. 3432 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3432. Indictment and list of jurors and witnesses for prisoner in capital cases -STATUTE- A person charged with treason or other capital offense shall at least three entire days before commencement of trial be furnished with a copy of the indictment and a list of the veniremen, and of the witnesses to be produced on the trial for proving the indictment, stating the place of abode of each venireman and witness. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 831.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 562 (R.S. Sec. 1033). Words 'or other capital offense' inserted after 'treason' and 'jurors' substituted for 'jury'. The concluding sentence 'When any person is indicted for any other capital offense, such copy of the indictment and list of the jurors and witnesses shall be delivered to him at least two entire days before the trial' was omitted. The change made by the revisers, permitting an additional day's preparation for trial in homicide, kidnapping, rape, and other capital cases seemed not unreasonable. Words 'shall be delivered to him', at end of section, were omitted as unnecessary. Rule 10 of the Federal Rules of Criminal Procedure requires that the defendant in every case be given a copy of the indictment or information before he is called upon to plead. Thus there is no conflict between the rule and the revised section. Minor changes in phraseology were made. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Copy of indictment or information to defendant before plea, see rule 10, Appendix to this title. CROSS REFERENCES Qualification and drawing of trial jurors, see section 1861 et seq. of Title 28, Judiciary and Judicial Procedure. Witnesses and evidence, see section 3481 et seq. of this title. ------DocID 24781 Document 1023 of 1438------ -CITE- 18 USC Sec. 3433 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3433. Arraignment - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Reading and furnishing copy of indictment to accused, Rule 10. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 831.) ------DocID 9582 Document 1024 of 1438------ -CITE- 7 USC CHAPTER 18 -EXPCITE- TITLE 7 CHAPTER 18 -HEAD- CHAPTER 18 - COOPERATIVE MARKETING -MISC1- Sec. 451. Agricultural products defined. 452. Supervision of division of cooperative marketing. 453. Authority and duties of division. 454. Advisers to counsel with Secretary of Agriculture; expenses and subsistence. 455. Dissemination of crop, market, etc., information by cooperative marketing associations. 456. Rules and regulations; appointment, removal, and compensation of employees; expenditures; authorization of appropriations. 457. Separability. ------DocID 24783 Document 1025 of 1438------ -CITE- 18 USC Sec. 3435 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3435. Receiver of stolen property triable before or after principal -STATUTE- A person charged with receiving or concealing stolen property may be tried either before or after the trial of the principal offender. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 831.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 101, 467 (Mar. 4, 1909, ch. 321, Sec. 48, 288, 35 Stat. 1098, 1145). Other provisions of sections 101 and 467 of title 18, U.S.C., 1940 ed., were incorporated in sections 641 and 662 of this title. Necessary changes were made in phraseology. ------DocID 24784 Document 1026 of 1438------ -CITE- 18 USC Sec. 3436 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3436. Consolidation of indictments or informations - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Two or more indictments or informations triable together, Rule 13. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24785 Document 1027 of 1438------ -CITE- 18 USC Sec. 3437 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3437. Severance - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Relief from prejudicial joinder of defendants or offenses, Rule 14. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24786 Document 1028 of 1438------ -CITE- 18 USC Sec. 3438 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3438. Pleas - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Plea of guilty, not guilty, or nolo contendere; acceptance by court; refusal to plead; corporation failing to appear, Rule 11. Withdrawal of plea of guilty, Rule 32. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24787 Document 1029 of 1438------ -CITE- 18 USC Sec. 3439 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3439. Demurrers and special pleas in bar or abatement abolished; relief on motion - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Motion to dismiss or for appropriate relief substituted for demurrer or dilatory plea or motion to quash, Rule 12. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24788 Document 1030 of 1438------ -CITE- 18 USC Sec. 3440 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3440. Defenses and objections determined on motion - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Defenses or objections which may or must be raised before trial; time; hearing; effect of determination; limitations by law unaffected, Rule 12(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24789 Document 1031 of 1438------ -CITE- 18 USC Sec. 3441 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3441. Jury; number of jurors; waiver - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Jury trial, waiver, twelve jurors or less by written stipulation, trial by court on general or special findings, Rule 23. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24790 Document 1032 of 1438------ -CITE- 18 USC Sec. 3442 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3442. Jurors, examination, peremptory challenges; alternates - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Examination and peremptory challenges of trial jurors; alternate jurors, Rule 24. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24791 Document 1033 of 1438------ -CITE- 18 USC Sec. 3443 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3443. Instructions to jury - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Court's instructions to jury, written requests and copies, objections, Rule 30. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24792 Document 1034 of 1438------ -CITE- 18 USC Sec. 3444 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3444. Disability of judge - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Disability of judge after verdict or finding of guilt, Rule 25. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24793 Document 1035 of 1438------ -CITE- 18 USC Sec. 3445 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3445. Motion for judgment of acquittal - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Motions for directed verdict abolished. Motions for judgment of acquittal adopted; court may reserve decision; renewal, Rule 29. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24794 Document 1036 of 1438------ -CITE- 18 USC Sec. 3446 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3446. New trial - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Granting of new trial, grounds, and motion, Rule 33. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 832.) ------DocID 24795 Document 1037 of 1438------ -CITE- 18 USC CHAPTER 223 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- CHAPTER 223 - WITNESSES AND EVIDENCE -MISC1- Sec. 3481. Competency of accused. 3482. Evidence and witnesses - Rule. 3483. Indigent defendants, process to produce evidence - Rule. 3484. Subpoenas - Rule. 3485. Expert witnesses - Rule. (3486. Repealed.) 3487. Refusal to pay as evidence of embezzlement. 3488. Intoxicating liquor in Indian country as evidence of unlawful introduction. 3489. Discovery and inspection - Rule. 3490. Official record or entry - Rule. 3491. Foreign documents. 3492. Commission to consular officers to authenticate foreign documents. 3493. Deposition to authenticate foreign documents. 3494. Certification of genuineness of foreign document. 3495. Fees and expenses of consuls, counsel, interpreters and witnesses. 3496. Regulations by President as to commissions, fees of witnesses, counsel and interpreters. 3497. Account as evidence of embezzlement. 3498. Depositions - Rule. 3499. Contempt of court by witness - Rule. 3500. Demands for production of statements and reports of witnesses. 3501. Admissibility of confessions. 3502. Admissibility in evidence of eye witness testimony. 3503. Depositions to preserve testimony. 3504. Litigation concerning sources of evidence. 3505. Foreign records of regularly conducted activity. 3506. Service of papers filed in opposition to official request by United States to foreign government for criminal evidence. 3507. Special master at foreign deposition. 3508. Custody and return of foreign witnesses. 3509. Child victims' and child witnesses' rights. (FOOTNOTE 1) (FOOTNOTE 1) Editorially supplied. Section 3509 added by Pub. L. 101-647 without corresponding amendment of chapter analysis. AMENDMENTS 1988 - Pub. L. 100-690, title VI, Sec. 6484(b), Nov. 18, 1988, 102 Stat. 4384, added item 3508. 1984 - Pub. L. 98-473, title II, Sec. 1217(b), Oct. 12, 1984, 98 Stat. 2166, added items 3505, 3506, and 3507. 1970 - Pub. L. 91-452, title II, Sec. 228(b), title VI, Sec. 601(b), title VII, Sec. 702(b), Oct. 15, 1970, 84 Stat. 930, 935, 936, added items 3503 and 3504, and struck out item 3486 'Compelled testimony tending to incriminate witnesses; immunity'. 1968 - Pub. L. 90-351, title II, Sec. 701(b), June 19, 1968, 82 Stat. 211, added items 3501 and 3502. 1957 - Pub. L. 85-269, Sept. 2, 1957, 71 Stat. 596, added item 3500. 1954 - Act Aug. 20, 1954, ch. 769, Sec. 2, 68 Stat. 746, rephrased item 3486. PROTECTED FACILITIES FOR HOUSING GOVERNMENT WITNESSES Pub. L. 91-452, title V, Sec. 501-504, Oct. 15, 1970, 84 Stat. 933, which authorized the Attorney General to provide for the security of Government witnesses and the families of Government witnesses in legal proceedings against any person alleged to have participated in an organized criminal activity, was repealed by Pub. L. 98-473, title II, Sec. 1209(b), Oct. 12, 1984, 98 Stat. 2163, effective Oct. 1, 1984. ------DocID 24796 Document 1038 of 1438------ -CITE- 18 USC Sec. 3481 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3481. Competency of accused -STATUTE- In trial of all persons charged with the commission of offenses against the United States and in all proceedings in courts martial and courts of inquiry in any State, District, Possession or Territory, the person charged shall, at his own request, be a competent witness. His failure to make such request shall not create any presumption against him. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 833.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 632 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, and section 1200, Art. 42(a), of Title 34, Navy. (Mar. 16, 1878, ch. 37, 20 Stat. 30). Section was rewritten without change of substance. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Harmless and plain error, see rule 52, Appendix to this title. Instructions, see rule 30. ------DocID 24797 Document 1039 of 1438------ -CITE- 18 USC Sec. 3482 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3482. Evidence and witnesses - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Competency and privileges of witnesses and admissibility of evidence governed by principles of common law, Rule 26. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 833.) -REFTEXT- REFERENCES IN TEXT Rule 26 of the Federal Rules of Criminal Procedure, referred to in text, was amended in 1972. The subject matter is covered by the Federal Rules of Evidence, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Documents, admissibility of, see Federal Rules of Evidence, Title 28, Appendix, Judiciary and Judicial Procedure. Foreign witnesses, subpoenas and proceedings against disobedient witnesses, see sections 1783 and 1784 of Title 28. ------DocID 24798 Document 1040 of 1438------ -CITE- 18 USC Sec. 3483 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3483. Indigent defendants, process to produce evidence - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Subpoena for indigent defendants, motion, affidavit, costs, Rule 17(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 833.) ------DocID 24799 Document 1041 of 1438------ -CITE- 18 USC Sec. 3484 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3484. Subpoenas - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Form, contents and issuance of subpoena, Rule 17(a). Service in United States, Rule 17(d), (e), (1). Service in foreign country, Rule 17(d), (e,2). Indigent defendants, Rule 17(b). On taking depositions, Rule 17(f). Papers and documents, Rule 17(c). Disobedience of subpoena as contempt of court, Rule 17(g). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 833.) -CROSS- CROSS REFERENCES Subpoenas and proceedings against disobedient foreign witnesses, see sections 1783 and 1784 of Title 28, Judiciary and Judicial Procedure. ------DocID 24800 Document 1042 of 1438------ -CITE- 18 USC Sec. 3485 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3485. Expert witnesses - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Selection and appointment of expert witnesses by court or parties; compensation, Rule 28. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 833.) -REFTEXT- REFERENCES IN TEXT Rule 28 of the Federal Rules of Criminal Procedure, referred to in text, was amended in 1972. The subject matter of this reference is covered by Federal Rules of Evidence, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24801 Document 1043 of 1438------ -CITE- 18 USC Sec. 3486 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- (Sec. 3486. Repealed. Pub. L. 91-452, title II, Sec. 228(a), Oct. 15, 1970, 84 Stat. 930) -MISC1- Section, acts June 25, 1948, ch. 645, 62 Stat. 833; Aug. 20, 1954, ch. 769, Sec. 1, 68 Stat. 745; Aug. 28, 1965, Pub. L. 89-141, Sec. 2, 79 Stat. 581, set forth procedure for granting of immunity to witnesses compelled to testify or produce evidence in course of any Congressional investigation, or case or proceeding before any grand jury or court of the United States, involving interference with or endangering of national security or defense of the United States. See section 6001 et seq. of this title. EFFECTIVE DATE OF REPEAL Repeal by Pub. L. 91-452 effective on sixtieth day following Oct. 15, 1970, and not to affect any immunity to which any individual was entitled under this section by reason of any testimony given before sixtieth day following Oct. 15, 1970, see section 260 of Pub. L. 91-452, set out as an Effective Date; Savings Provision note under section 6001 of this title. ------DocID 24802 Document 1044 of 1438------ -CITE- 18 USC Sec. 3487 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3487. Refusal to pay as evidence of embezzlement -STATUTE- The refusal of any person, whether in or out of office, charged with the safe-keeping, transfer, or disbursement of the public money to pay any draft, order, or warrant, drawn upon him by the General Accounting Office, for any public money in his hands belonging to the United States, no matter in what capacity the same may have been received, or may be held, or to transfer or disburse any such money, promptly, upon the legal requirement of any authorized officer, shall be deemed, upon the trial of any indictment against such person for embezzlement, prima facie evidence of such embezzlement. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 833.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 180 (Mar. 4, 1909, ch. 321, Sec. 94, 35 Stat. 1106; June 10, 1921, ch. 18, Sec. 304, 42 Stat. 24). 'General Accounting Office' was substituted for 'proper accounting officer of the Treasury'. -CROSS- CROSS REFERENCES Account as evidence of embezzlement, see section 3497 of this title. Accounting generally for public money, see section 643 of this title. Embezzlement of public money, see section 641 of this title. ------DocID 24803 Document 1045 of 1438------ -CITE- 18 USC Sec. 3488 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3488. Intoxicating liquor in Indian country as evidence of unlawful introduction -STATUTE- The possession by a person of intoxicating liquors in Indian country where the introduction is prohibited by treaty or Federal statute shall be prima facie evidence of unlawful introduction. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 834.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 245 of title 25, U.S.C., 1940 ed., Indians (May 18, 1916, ch. 125, Sec. 1, 39 Stat. 124). The only change made was the insertion of the word 'Indian' before 'country', to substitute specificity for generality. (See definition of 'Indian country' in section 1151 of this title.) -CROSS- CROSS REFERENCES Application of Indian liquor laws, see section 1161 of this title. Indian country defined, see section 1151 of this title. Possession of intoxicating liquors in Indian country, see section 1156 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 1161 of this title. ------DocID 24804 Document 1046 of 1438------ -CITE- 18 USC Sec. 3489 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3489. Discovery and inspection - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Inspection of documents and papers taken from defendant, Rule 16. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 834.) ------DocID 24805 Document 1047 of 1438------ -CITE- 18 USC Sec. 3490 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3490. Official record or entry - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Proof of official record or entry as in civil actions, Rule 27. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 834.) ------DocID 24806 Document 1048 of 1438------ -CITE- 18 USC Sec. 3491 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3491. Foreign documents -STATUTE- Any book, paper, statement, record, account, writing, or other document, or any portion thereof, of whatever character and in whatever form, as well as any copy thereof equally with the original, which is not in the United States shall, when duly certified as provided in section 3494 of this title, be admissible in evidence in any criminal action or proceeding in any court of the United States if the court shall find, from all the testimony taken with respect to such foreign document pursuant to a commission executed under section 3492 of this title, that such document (or the original thereof in case such document is a copy) satisfies the authentication requirements of the Federal Rules of Evidence, unless in the event that the genuineness of such document is denied, any party to such criminal action or proceeding making such denial shall establish to the satisfaction of the court that such document is not genuine. Nothing contained herein shall be deemed to require authentication under the provisions of section 3494 of this title of any such foreign documents which may otherwise be properly authenticated by law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 834; May 24, 1949, ch. 139, Sec. 52, 63 Stat. 96; Oct. 3, 1964, Pub. L. 88-619, Sec. 2, 78 Stat. 995; Dec. 12, 1975, Pub. L. 94-149, Sec. 3, 89 Stat. 806.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 695a of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 20, 1936, ch. 640, Sec. 2, 49 Stat. 1562.) 1949 ACT This section (section 52) corrects section 3491 of title 18, U.S.C., so that the references therein will be to the correct section numbers in title 28, U.S.C., as revised and enacted in 1948. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in text, are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -MISC2- AMENDMENTS 1975 - Pub. L. 94-149 substituted 'the authentication requirements of the Federal Rules of Evidence' for 'the requirements of section 1732 of Title 28'. 1964 - Pub. L. 88-619 struck out 'and section 1741 of Title 28' after 'section 3494 of this title' in two places. 1949 - Act May 24, 1949, substituted 'section 1741' for 'section 695e' and 'section 1732' for 'section 695' wherever appearing. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Proof of official records, see rule 27, Appendix to this title. CROSS REFERENCES Certification of genuineness of foreign document, see section 3494 of this title. Commission to consular officers to authenticate foreign documents, see section 3492 of this title. Foreign documents of record in the State of Vatican City, see section 4222 of Title 22, Foreign Relations and Intercourse. Foreign documents on record in public offices, see section 1741 of Title 28, Judiciary and Judicial Procedure. Record made in regular course of business, see section 1732 of Title 28. ------DocID 24807 Document 1049 of 1438------ -CITE- 18 USC Sec. 3492 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3492. Commission to consular officers to authenticate foreign documents -STATUTE- (a) The testimony of any witness in a foreign country may be taken either on oral or written interrogatories, or on interrogatories partly oral and partly written, pursuant to a commission issued, as hereinafter provided, for the purpose of determining whether any foreign documents sought to be used in any criminal action or proceeding in any court of the United States are genuine, and whether the authentication requirements of the Federal Rules of Evidence are satisfied with respect to any such document (or the original thereof in case such document is a copy). Application for the issuance of a commission for such purpose may be made to the court in which such action or proceeding is pending by the United States or any other party thereto, after five days' notice in writing by the applicant party, or his attorney, to the opposite party, or his attorney of record, which notice shall state the names and addresses of witnesses whose testimony is to be taken and the time when it is desired to take such testimony. In granting such application the court shall issue a commission for the purpose of taking the testimony sought by the applicant addressed to any consular officer of the United States conveniently located for the purpose. In cases of testimony taken on oral or partly oral interrogatories, the court shall make provisions in the commission for the selection as hereinafter provided of foreign counsel to represent each party (except the United States) to the criminal action or proceeding in which the foreign documents in question are to be used, unless such party has, prior to the issuance of the commission, notified the court that he does not desire the selection of foreign counsel to represent him at the time of taking of such testimony. In cases of testimony taken on written interrogatories, such provision shall be made only upon the request of any such party prior to the issuance of such commission. Selection of foreign counsel shall be made by the party whom such foreign counsel is to represent within ten days prior to the taking of testimony or by the court from which the commission issued, upon the request of such party made within such time. (b) Any consular officer to whom a commission is addressed to take testimony, who is interested in the outcome of the criminal action or proceeding in which the foreign documents in question are to be used or has participated in the prosecution of such action or proceeding, whether by investigations, preparation of evidence, or otherwise, may be disqualified on his own motion or on that of the United States or any other party to such criminal action or proceeding made to the court from which the commission issued at any time prior to the execution thereof. If after notice and hearing, the court grants the motion, it shall instruct the consular officer thus disqualified to send the commission to any other consular officer of the United States named by the court, and such other officer shall execute the commission according to its terms and shall for all purposes be deemed the officer to whom the commission is addressed. (c) The provisions of this section and sections 3493-3496 of this title applicable to consular officers shall be applicable to diplomatic officers pursuant to such regulations as may be prescribed by the President. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 834; May 24, 1949, ch. 139, Sec. 53, 63 Stat. 96; Dec. 12, 1975, Pub. L. 94-149, Sec. 4, 89 Stat. 806.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 695b of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 20, 1936, ch. 640, Sec. 3, 49 Stat. 1562). 1949 ACT This section (section 53) corrects section 3492(a) of title 18, U.S.C., so that the reference in the first sentence thereof will be to the correct section number in title 28, U.S.C., as revised and enacted in 1948. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in subsec. (a), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -MISC2- AMENDMENTS 1975 - Subsec. (a). Pub. L. 94-149 substituted 'the authentication requirements of the Federal Rules of Evidence' for 'the requirements of section 1732 of Title 28'. 1949 - Subsec. (a). Act May 24, 1949, substituted 'section 1732' for 'section 695'. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Proof of official records, see rule 44, Title 28, Appendix, Judiciary and Judicial Procedure. FEDERAL RULES OF CRIMINAL PROCEDURE Proof of official record, see rule 27, Appendix to this title. CROSS REFERENCES Admissibility of foreign document, see section 3491 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3491, 3493, 3494, 3495, 3496 of this title. ------DocID 24808 Document 1050 of 1438------ -CITE- 18 USC Sec. 3493 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3493. Deposition to authenticate foreign documents -STATUTE- The consular officer to whom any commission authorized under section 3492 of this title is addressed shall take testimony in accordance with its terms. Every person whose testimony is taken shall be cautioned and sworn to testify the whole truth and carefully examined. His testimony shall be reduced to writing or typewriting by the consular officer taking the testimony, or by some person under his personal supervision, or by the witness himself, in the presence of the consular officer and by no other person, and shall, after it has been reduced to writing or typewriting, be subscribed by the witness. Every foreign document, with respect to which testimony is taken, shall be annexed to such testimony and subscribed by each witness who appears for the purpose of establishing the genuineness of such document. When counsel for all the parties attend the examination of any witness whose testimony is to be taken on written interrogatories, they may consent that oral interrogatories in addition to those accompanying the commission may be put to the witness. The consular officer taking any testimony shall require an interpreter to be present when his services are needed or are requested by any party or his attorney. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 835.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 695c of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 20, 1936, ch. 640, Sec. 4, 49 Stat. 1563). -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Proof of official records, see rule 27, Appendix to this title. CROSS REFERENCES Commission to consular officers to authenticate foreign documents, see section 3492 of this title. Fees for witnesses and interpreters, see section 3495 of this title. Regulations as to commissions and fees of witnesses, etc., see section 3496 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3492, 3495, 3496 of this title. ------DocID 24809 Document 1051 of 1438------ -CITE- 18 USC Sec. 3494 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3494. Certification of genuineness of foreign document -STATUTE- If the consular officer executing any commission authorized under section 3492 of this title shall be satisfied, upon all the testimony taken, that a foreign document is genuine, he shall certify such document to be genuine under the seal of his office. Such certification shall include a statement that he is not subject to disqualification under the provisions of section 3492 of this title. He shall thereupon transmit, by mail, such foreign documents, together with the record of all testimony taken and the commission which has been executed, to the clerk of the court from which such commission issued, in the manner in which his official dispatches are transmitted to the Government. The clerk receiving any executed commission shall open it and shall make any foreign documents and record of testimony, transmitted with such commission, available for inspection by the parties to the criminal action or proceeding in which such documents are to be used, and said parties shall be furnished copies of such documents free of charge. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 835.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 695d of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 20, 1936, ch. 640, Sec. 5, 49 Stat. 1563). -CROSS- CROSS REFERENCES Fees for witnesses and interpreters, see section 3495 of this title. Regulations as to commissions and fees of witnesses, etc., see section 3496 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3491, 3492, 3495, 3496 of this title. ------DocID 24810 Document 1052 of 1438------ -CITE- 18 USC Sec. 3495 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3495. Fees and expenses of consuls, counsel, interpreters and witnesses -STATUTE- (a) The consular fees prescribed under section 1201 of Title 22, for official services in connection with the taking of testimony under sections 3492-3494 of this title, and the fees of any witness whose testimony is taken shall be paid by the party who applied for the commission pursuant to which such testimony was taken. Every witness under section 3493 of this title shall be entitled to receive, for each day's attendance, fees prescribed under section 3496 of this title. Every foreign counsel selected pursuant to a commission issued on application of the United States, and every interpreter whose services are required by a consular officer under section 3493 of this title, shall be paid by the United States, such compensation, together with such personal and incidental expense upon verified statements filed with the consular officer, as he may allow. Compensation and expenses of foreign counsel selected pursuant to a commission issued on application of any party other than the United States shall be paid by the party whom such counsel represents and shall be allowed in the same manner. (b) Whenever any party makes affidavit, prior to the issuance of a commission for the purpose of taking testimony, that he is not possessed of sufficient means and is actually unable to pay any fees and costs incurred under this section, such fees and costs shall, upon order of the court, be paid in the same manner as fees and costs are paid which are chargeable to the United States. (c) Any appropriation available for the payment of fees and costs in the case of witnesses subpenaed in behalf of the United States in criminal cases shall be available for any fees or costs which the United States is required to pay under this section. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 836; May 24, 1949, ch. 139, Sec. 54, 63 Stat. 96.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on section 695f of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 20, 1936, ch. 640, Sec. 7, 49 Stat. 1564). 1949 ACT This section (section 54) corrects the reference in the first sentence of section 3495(a) of title 18, U.S.C., because the provisions which were formerly set out as section 127 of title 22, U.S.C., are now set out as section 1201 of such title. -REFTEXT- REFERENCES IN TEXT Section 1201 of Title 22, referred to in subsec. (a), was transferred to section 4219 of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1949 - Subsec. (a). Act May 24, 1949, substituted 'section 1201' for 'section 127'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3492, 3496 of this title. ------DocID 24811 Document 1053 of 1438------ -CITE- 18 USC Sec. 3496 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3496. Regulations by President as to commissions, fees of witnesses, counsel and interpreters -STATUTE- The President is authorized to prescribe regulations governing the manner of executing and returning commissions by consular officers under the provisions of sections 3492-3494 of this title and schedules of fees allowable to witnesses, foreign counsel, and interpreters under section 3495 of this title. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 836.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 695g of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (June 20, 1936, ch. 640, Sec. 8, 49 Stat. 1564). -EXEC- EX. ORD. NO. 10307. DELEGATION OF AUTHORITY Ex. Ord. No. 10307, Nov. 23, 1951, 16 F.R. 11907, provided: By virtue of the authority vested in me by the act of August 8, 1950, 64 Stat. 419 (3 U.S.C. Supp. 301-303), I hereby delegate to the Secretary of State (1) the authority vested in the President by section 3496 of title 18 of the United States Code (62 Stat. 836) to prescribe regulations governing the manner of executing and returning commissions by consular officers under the provisions of sections 3492-3494 of the said title, and schedules of fees allowable to witnesses, foreign counsel, and interpreters under section 3495 of the said title, and (2) the authority vested in the President by section 3492(c) of title 18 of the United States Code (62 Stat. 835) to prescribe regulations making the provisions of sections 3492-3496 of the said title applicable to diplomatic officers. Executive Order No. 8298 of December 4, 1939, entitled 'Regulations Governing the Manner of Executing and Returning Commissions by Officers of the Foreign Service in Criminal Cases, and Schedule of Fees and Compensation in Such Cases', is hereby revoked. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3492, 3495 of this title. ------DocID 24812 Document 1054 of 1438------ -CITE- 18 USC Sec. 3497 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3497. Account as evidence of embezzlement -STATUTE- Upon the trial of any indictment against any person for embezzling public money it shall be sufficient evidence, prima facie, for the purpose of showing a balance against such person, to produce a transcript from the books and proceedings of the General Accounting Office. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 836.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 179, 355; section 668 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (R.S. Sec. 887; Mar. 4, 1909, ch. 321, Sec. 93, 225, 35 Stat. 1105, 1133; June 10, 1921, ch. 18, Sec. 304, 42 Stat. 24). This section is a consolidation of section 179 of title 18, U.S.C., 1940 ed., with similar provisions of section 355 of title 18, U.S.C., 1940 ed., and section 668 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, with changes of phraseology only except that 'General Accounting Office' was substituted for 'Treasury Department'. Other provisions of said section 355 of title 18, U.S.C., 1940 ed., are incorporated in section 1711 of this title. Words in second sentence of said section 355 of title 18, U.S.C., 1940 ed., which preceded the semicolon therein and which read 'Any failure to produce or to pay over any such money or property, when required so to do as above provided, shall be taken to be prima facie evidence of such embezzlement' were omitted as surplusage, because such failure to produce or to pay over such money or property constitutes embezzlement. (See sections 653 and 1711 of this title.) -CROSS- CROSS REFERENCES Accounting generally for public money, see section 643 of this title. Admissibility of Government records and papers, see section 1733 of Title 28, Judiciary and Judicial Procedure. Certified transcripts of General Accounting Office admissible in evidence, see section 704 of Title 31, Money and Finance. Embezzlement of public money, see section 641 of this title. Refusal to pay as evidence of embezzlement, see section 3487 of this title. ------DocID 24813 Document 1055 of 1438------ -CITE- 18 USC Sec. 3498 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3498. Depositions - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Time, manner and conditions of taking depositions; costs; notice; use; objections; written interrogatories, Rule 15. Subpoenas on taking depositions, Rule 17(f). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 836.) ------DocID 24814 Document 1056 of 1438------ -CITE- 18 USC Sec. 3499 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3499. Contempt of court by witness - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Disobedience of subpoena without excuse as contempt, Rule 17(g). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 836.) ------DocID 24815 Document 1057 of 1438------ -CITE- 18 USC Sec. 3500 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3500. Demands for production of statements and reports of witnesses -STATUTE- (a) In any criminal prosecution brought by the United States, no statement or report in the possession of the United States which was made by a Government witness or prospective Government witness (other than the defendant) shall be the subject of subpena, discovery, or inspection until said witness has testified on direct examination in the trial of the case. (b) After a witness called by the United States has testified on direct examination, the court shall, on motion of the defendant, order the United States to produce any statement (as hereinafter defined) of the witness in the possession of the United States which relates to the subject matter as to which the witness has testified. If the entire contents of any such statement relate to the subject matter of the testimony of the witness, the court shall order it to be delivered directly to the defendant for his examination and use. (c) If the United States claims that any statement ordered to be produced under this section contains matter which does not relate to the subject matter of the testimony of the witness, the court shall order the United States to deliver such statement for the inspection of the court in camera. Upon such delivery the court shall excise the portions of such statement which do not relate to the subject matter of the testimony of the witness. With such material excised, the court shall then direct delivery of such statement to the defendant for his use. If, pursuant to such procedure, any portion of such statement is withheld from the defendant and the defendant objects to such withholding, and the trial is continued to an adjudication of the guilt of the defendant, the entire text of such statement shall be preserved by the United States and, in the event the defendant appeals, shall be made available to the appellate court for the purpose of determining the correctness of the ruling of the trial judge. Whenever any statement is delivered to a defendant pursuant to this section, the court in its discretion, upon application of said defendant, may recess proceedings in the trial for such time as it may determine to be reasonably required for the examination of such statement by said defendant and his preparation for its use in the trial. (d) If the United States elects not to comply with an order of the court under subsection (b) or (c) hereof to deliver to the defendant any such statement, or such portion thereof as the court may direct, the court shall strike from the record the testimony of the witness, and the trial shall proceed unless the court in its discretion shall determine that the interests of justice require that a mistrial be declared. (e) The term 'statement', as used in subsections (b), (c), and (d) of this section in relation to any witness called by the United States, means - (1) a written statement made by said witness and signed or otherwise adopted or approved by him; (2) a stenographic, mechanical, electrical, or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement made by said witness and recorded contemporaneously with the making of such oral statement; or (3) a statement, however taken or recorded, or a transcription thereof, if any, made by said witness to a grand jury. -SOURCE- (Added Pub. L. 85-269, Sept. 2, 1957, 71 Stat. 595, and amended Pub. L. 91-452, title I, Sec. 102, Oct. 15, 1970, 84 Stat. 926.) -MISC1- AMENDMENTS 1970 - Subsec. (a). Pub. L. 91-452, Sec. 102(a), struck out 'to an agent of the Government' after '(other than the defendant)'. Subsec. (d). Pub. L. 91-452, Sec. 102(b), substituted 'subsection' for 'paragraph'. Subsec. (e). Pub. L. 91-452, Sec. 102(c), (d), struck out 'or' after 'by him;' in par. (1), struck out 'to an agent of the Government' after 'said witness' in par. (2), and added par. (3). -CROSS- CANAL ZONE Applicability of section to Canal Zone, see section 14 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 14 of this title; title 26 section 6103. ------DocID 24816 Document 1058 of 1438------ -CITE- 18 USC Sec. 3501 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3501. Admissibility of confessions -STATUTE- (a) In any criminal prosecution brought by the United States or by the District of Columbia, a confession, as defined in subsection (e) hereof, shall be admissible in evidence if it is voluntarily given. Before such confession is received in evidence, the trial judge shall, out of the presence of the jury, determine any issue as to voluntariness. If the trial judge determines that the confession was voluntarily made it shall be admitted in evidence and the trial judge shall permit the jury to hear relevant evidence on the issue of voluntariness and shall instruct the jury to give such weight to the confession as the jury feels it deserves under all the circumstances. (b) The trial judge in determining the issue of voluntariness shall take into consideration all the circumstances surrounding the giving of the confession, including (1) the time elapsing between arrest and arraignment of the defendant making the confession, if it was made after arrest and before arraignment, (2) whether such defendant knew the nature of the offense with which he was charged or of which he was suspected at the time of making the confession, (3) whether or not such defendant was advised or knew that he was not required to make any statement and that any such statement could be used against him, (4) whether or not such defendant had been advised prior to questioning of his right to the assistance of counsel; and (5) whether or not such defendant was without the assistance of counsel when questioned and when giving such confession. The presence or absence of any of the above-mentioned factors to be taken into consideration by the judge need not be conclusive on the issue of voluntariness of the confession. (c) In any criminal prosecution by the United States or by the District of Columbia, a confession made or given by a person who is a defendant therein, while such person was under arrest or other detention in the custody of any law-enforcement officer or law-enforcement agency, shall not be inadmissible solely because of delay in bringing such person before a magistrate or other officer empowered to commit persons charged with offenses against the laws of the United States or of the District of Columbia if such confession is found by the trial judge to have been made voluntarily and if the weight to be given the confession is left to the jury and if such confession was made or given by such person within six hours immediately following his arrest or other detention: Provided, That the time limitation contained in this subsection shall not apply in any case in which the delay in bringing such person before such magistrate or other officer beyond such six-hour period is found by the trial judge to be reasonable considering the means of transportation and the distance to be traveled to the nearest available such magistrate or other officer. (d) Nothing contained in this section shall bar the admission in evidence of any confession made or given voluntarily by any person to any other person without interrogation by anyone, or at any time at which the person who made or gave such confession was not under arrest or other detention. (e) As used in this section, the term 'confession' means any confession of guilt of any criminal offense or any self-incriminating statement made or given orally or in writing. -SOURCE- (Added Pub. L. 90-351, title II, Sec. 701(a), June 19, 1968, 82 Stat. 210, and amended Pub. L. 90-578, title III, Sec. 301(a)(3), Oct. 17, 1968, 82 Stat. 1115.) -MISC1- AMENDMENTS 1968 - Subsec. (c). Pub. L. 90-578 substituted 'magistrate' for 'commissioner' wherever appearing. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24817 Document 1059 of 1438------ -CITE- 18 USC Sec. 3502 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3502. Admissibility in evidence of eye witness testimony -STATUTE- The testimony of a witness that he saw the accused commit or participate in the commission of the crime for which the accused is being tried shall be admissible in evidence in a criminal prosecution in any trial court ordained and established under article III of the Constitution of the United States. -SOURCE- (Added Pub. L. 90-351, title II, Sec. 701(a), June 19, 1968, 82 Stat. 211.) ------DocID 24818 Document 1060 of 1438------ -CITE- 18 USC Sec. 3503 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3503. Depositions to preserve testimony -STATUTE- (a) Whenever due to exceptional circumstances it is in the interest of justice that the testimony of a prospective witness of a party be taken and preserved, the court at any time after the filing of an indictment or information may upon motion of such party and notice to the parties order that the testimony of such witness be taken by deposition and that any designated book, paper, document, record, recording, or other material not privileged be produced at the same time and place. If a witness is committed for failure to give bail to appear to testify at a trial or hearing, the court on written motion of the witness and upon notice to the parties may direct that his deposition be taken. After the deposition has been subscribed the court may discharge the witness. A motion by the Government to obtain an order under this section shall contain certification by the Attorney General or his designee that the legal proceeding is against a person who is believed to have participated in an organized criminal activity. (b) The party at whose instance a deposition is to be taken shall give to every party reasonable written notice of the time and place for taking the deposition. The notice shall state the name and address of each person to be examined. On motion of a party upon whom the notice is served, the court for cause shown may extend or shorten the time or change the place for taking the deposition. The officer having custody of a defendant shall be notified of the time and place set for the examination, and shall produce him at the examination and keep him in the presence of the witness during the examination. A defendant not in custody shall have the right to be present at the examination, but his failure, absent good cause shown, to appear after notice and tender of expenses shall constitute a waiver of that right and of any objection to the taking and use of the deposition based upon that right. (c) If a defendant is without counsel, the court shall advise him of his rights and assign counsel to represent him unless the defendant elects to proceed without counsel or is able to obtain counsel of his own choice. Whenever a deposition is taken at the instance of the Government, or whenever a deposition is taken at the instance of a defendant who appears to be unable to bear the expense of the taking of the deposition, the court may direct that the expenses of travel and subsistence of the defendant and his attorney for attendance at the examination shall be paid by the Government. In such event the marshal shall make payment accordingly. (d) A deposition shall be taken and filed in the manner provided in civil actions, provided that (1) in no event shall a deposition be taken of a party defendant without his consent, and (2) the scope of examination and cross-examination shall be such as would be allowed in the trial itself. On request or waiver by the defendant the court may direct that a deposition be taken on written interrogatories in the manner provided in civil actions. Such request shall constitute a waiver of any objection to the taking and use of the deposition based upon its being so taken. (e) The Government shall make available to the defendant for his examination and use at the taking of the deposition any statement of the witness being deposed which is in the possession of the Government and which the Government would be required to make available to the defendant if the witness were testifying at the trial. (f) At the trial or upon any hearing, a part or all of a deposition, so far as otherwise admissible under the rules of evidence, may be used if it appears: That the witness is dead; or that the witness is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or that the witness is unable to attend or testify because of sickness or infirmity; or that the witness refuses in the trial or hearing to testify concerning the subject of the deposition or part offered; or that the party offering the deposition has been unable to procure the attendance of the witness by subpena. Any deposition may also be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness. If only a part of a deposition is offered in evidence by a party, an adverse party may require him to offer all of it which is relevant to the part offered and any party may offer other parts. (g) Objections to receiving in evidence a deposition or part thereof may be made as provided in civil actions. -SOURCE- (Added Pub. L. 91-452, title VI, Sec. 601(a), Oct. 15, 1970, 84 Stat. 934.) ------DocID 24819 Document 1061 of 1438------ -CITE- 18 USC Sec. 3504 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3504. Litigation concerning sources of evidence -STATUTE- (a) In any trial, hearing, or other proceeding in or before any court, grand jury, department, officer, agency, regulatory body, or other authority of the United States - (1) upon a claim by a party aggrieved that evidence is inadmissible because it is the primary product of an unlawful act or because it was obtained by the exploitation of an unlawful act, the opponent of the claim shall affirm or deny the occurrence of the alleged unlawful act; (2) disclosure of information for a determination if evidence is inadmissible because it is the primary product of an unlawful act occurring prior to June 19, 1968, or because it was obtained by the exploitation of an unlawful act occurring prior to June 19, 1968, shall not be required unless such information may be relevant to a pending claim of such inadmissibility; and (3) no claim shall be considered that evidence of an event is inadmissible on the ground that such evidence was obtained by the exploitation of an unlawful act occurring prior to June 19, 1968, if such event occurred more than five years after such allegedly unlawful act. (b) As used in this section 'unlawful act' means any act the use of any electronic, mechanical, or other device (as defined in section 2510(5) of this title) in violation of the Constitution or laws of the United States or any regulation or standard promulgated pursuant thereto. -SOURCE- (Added Pub. L. 91-452, title VII, Sec. 702(a), Oct. 15, 1970, 84 Stat. 935.) -MISC1- CONGRESSIONAL STATEMENT OF FINDINGS Section 701 of title VII of Pub. L. 91-452 provided that: 'The Congress finds that claims that evidence offered in proceedings was obtained by the exploitation of unlawful acts, and is therefore inadmissible in evidence, (1) often cannot reliably be determined when such claims concern evidence of events occurring years after the allegedly unlawful act, and (2) when the allegedly unlawful act has occurred more than five years prior to the event in question, there is virtually no likelihood that the evidence offered to prove the event has been obtained by the exploitation of that allegedly unlawful act.' APPLICABILITY TO PROCEEDINGS Section 703 of title VII of Pub. L. 91-452 provided that: 'This title (enacting this section and provisions set as notes under this section) shall apply to all proceedings, regardless of when commenced, occurring after the date of its enactment (Oct. 15, 1970). Paragraph (3) of subsection (a) of section 3504, chapter 223, title 18, United States Code, shall not apply to any proceeding in which all information to be relied upon to establish inadmissibility was possessed by the party making such claim and adduced in such proceeding prior to such enactment.' ------DocID 24820 Document 1062 of 1438------ -CITE- 18 USC Sec. 3505 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3505. Foreign records of regularly conducted activity -STATUTE- (a)(1) In a criminal proceeding in a court of the United States, a foreign record of regularly conducted activity, or a copy of such record, shall not be excluded as evidence by the hearsay rule if a foreign certification attests that - (A) such record was made, at or near the time of the occurrence of the matters set forth, by (or from information transmitted by) a person with knowledge of those matters; (B) such record was kept in the course of a regularly conducted business activity; (C) the business activity made such a record as a regular practice; and (D) if such record is not the original, such record is a duplicate of the original; unless the source of information or the method or circumstances of preparation indicate lack of trustworthiness. (2) A foreign certification under this section shall authenticate such record or duplicate. (b) At the arraignment or as soon after the arraignment as practicable, a party intending to offer in evidence under this section a foreign record of regularly conducted activity shall provide written notice of that intention to each other party. A motion opposing admission in evidence of such record shall be made by the opposing party and determined by the court before trial. Failure by a party to file such motion before trial shall constitute a waiver of objection to such record or duplicate, but the court for cause shown may grant relief from the waiver. (c) As used in this section, the term - (1) 'foreign record of regularly conducted activity' means a memorandum, report, record, or data compilation, in any form, of acts, events, conditions, opinions, or diagnoses, maintained in a foreign country; (2) 'foreign certification' means a written declaration made and signed in a foreign country by the custodian of a foreign record of regularly conducted activity or another qualified person that, if falsely made, would subject the maker to criminal penalty under the laws of that country; and (3) 'business' includes business, institution, association, profession, occupation, and calling of every kind, whether or not conducted for profit. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1217(a), Oct. 12, 1984, 98 Stat. 2165.) -MISC1- EFFECTIVE DATE Section 1220 of part K (Sec. 1217-1220) of chapter XII of title II of Pub. L. 98-473 provided that: 'This part and the amendments made by this part (enacting this section and sections 3292, 3506, and 3507 of this title and amending section 3161 of this title) shall take effect thirty days after the date of the enactment of this Act (Oct. 12, 1984).' ------DocID 24821 Document 1063 of 1438------ -CITE- 18 USC Sec. 3506 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3506. Service of papers filed in opposition to official request by United States to foreign government for criminal evidence -STATUTE- (a) Except as provided in subsection (b) of this section, any national or resident of the United States who submits, or causes to be submitted, a pleading or other document to a court or other authority in a foreign country in opposition to an official request for evidence of an offense shall serve such pleading or other document on the Attorney General at the time such pleading or other document is submitted. (b) Any person who is a party to a criminal proceeding in a court of the United States who submits, or causes to be submitted, a pleading or other document to a court or other authority in a foreign country in opposition to an official request for evidence of an offense that is a subject of such proceeding shall serve such pleading or other document on the appropriate attorney for the Government, pursuant to the Federal Rules of Criminal Procedure, at the time such pleading or other document is submitted. (c) As used in this section, the term 'official request' means a letter rogatory, a request under a treaty or convention, or any other request for evidence made by a court of the United States or an authority of the United States having criminal law enforcement responsibility, to a court or other authority of a foreign country. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1217(a), Oct. 12, 1984, 98 Stat. 2166.) -MISC1- EFFECTIVE DATE Section effective 30 days after Oct. 12, 1984, see section 1220 of Pub. L. 98-473, set out as a note under section 3505 of this title. ------DocID 24822 Document 1064 of 1438------ -CITE- 18 USC Sec. 3507 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3507. Special master at foreign deposition -STATUTE- Upon application of a party to a criminal case, a United States district court before which the case is pending may, to the extent permitted by a foreign country, appoint a special master to carry out at a deposition taken in that country such duties as the court may direct, including presiding at the deposition or serving as an advisor on questions of United States law. Notwithstanding any other provision of law, a special master appointed under this section shall not decide questions of privilege under foreign law. The refusal of a court to appoint a special master under this section, or of the foreign country to permit a special master appointed under this section to carry out a duty at a deposition in that country, shall not affect the admissibility in evidence of a deposition taken under the provisions of the Federal Rules of Criminal Procedure. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1217(a), Oct. 12, 1984, 98 Stat. 2166.) -MISC1- EFFECTIVE DATE Section effective 30 days after Oct. 12, 1984, see section 1220 of Pub. L. 98-473, set out as a note under section 3505 of this title. ------DocID 24823 Document 1065 of 1438------ -CITE- 18 USC Sec. 3508 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3508. Custody and return of foreign witnesses -STATUTE- (a) When the testimony of a person who is serving a sentence, is in pretrial detention, or is otherwise being held in custody, in a foreign country, is needed in a State or Federal criminal proceeding, the Attorney General shall, when he deems it appropriate in the exercise of his discretion, have the authority to request the temporary transfer of that person to the United States for the purposes of giving such testimony, to transport such person to the United States in custody, to maintain the custody of such person while he is in the United States, and to return such person to the foreign country. (b) Where the transfer to the United States of a person in custody for the purposes of giving testimony is provided for by treaty or convention, by this section, or both, that person shall be returned to the foreign country from which he is transferred. In no event shall the return of such person require any request for extradition or extradition proceedings, or proceedings under the immigration laws. (c) Where there is a treaty or convention between the United States and the foreign country in which the witness is being held in custody which provides for the transfer, custody and return of such witnesses, the terms and conditions of that treaty shall apply. Where there is no such treaty or convention, the Attorney General may exercise the authority described in paragraph (a) if both the foreign country and the witness give their consent. -SOURCE- (Added Pub. L. 100-690, title VI, Sec. 6484(a), Nov. 18, 1988, 102 Stat. 4384.) -REFTEXT- REFERENCES IN TEXT The immigration laws, referred to in subsec. (b), are classified generally to chapter 12 (Sec. 1101 et seq.) of Title 8, Aliens and Nationality. See also section 1101(a)(17) of Title 8. ------DocID 24824 Document 1066 of 1438------ -CITE- 18 USC Sec. 3509 -EXPCITE- TITLE 18 PART II CHAPTER 223 -HEAD- Sec. 3509. Child victims' and child witnesses' rights -STATUTE- (a) Definitions. - For purposes of this section - (1) the term 'adult attendant' means an adult described in subsection (i) who accompanies a child throughout the judicial process for the purpose of providing emotional support; (2) the term 'child' means a person who is under the age of 18, who is or is alleged to be - (A) a victim of a crime of physical abuse, sexual abuse, or exploitation; or (B) a witness to a crime committed against another person; (3) the term 'child abuse' means the physical or mental injury, sexual abuse or exploitation, or negligent treatment of a child; (4) the term 'physical injury' includes lacerations, fractured bones, burns, internal injuries, severe bruising or serious bodily harm; (5) the term 'mental injury' means harm to a child's psychological or intellectual functioning which may be exhibited by severe anxiety, depression, withdrawal or outward aggressive behavior, or a combination of those behaviors, which may be demonstrated by a change in behavior, emotional response, or cognition; (6) the term 'exploitation' means child pornography or child prostitution; (FOOTNOTE 1) (FOOTNOTE 1) So in original. Pars. (6) and (11) are identical. (7) the term 'multidisciplinary child abuse team' means a professional unit composed of representatives from health, social service, law enforcement, and legal service agencies to coordinate the assistance needed to handle cases of child abuse; (8) the term 'sexual abuse' includes the employment, use, persuasion, inducement, enticement, or coercion of a child to engage in, or assist another person to engage in, sexually explicit conduct or the rape, molestation, prostitution, or other form of sexual exploitation of children, or incest with children; (9) the term 'sexually explicit conduct' means actual or simulated - (A) sexual intercourse, including sexual contact in the manner of genital-genital, oral-genital, anal-genital, or oral-anal contact, whether between persons of the same or of opposite sex; sexual contact means the intentional touching, either directly or through clothing, of the genitalia, anus, groin, breast, inner thigh, or buttocks of any person with an intent to abuse, humiliate, harass, degrade, or arouse or gratify sexual desire of any person; (B) bestiality; (C) masturbation; (D) lascivious exhibition of the genitals or pubic area of a person or animal; or (E) sadistic or masochistic abuse; (10) the term 'sex crime' means an act of sexual abuse that is a criminal act; (11) the term 'exploitation' means child pornography or child prostitution; (FOOTNOTE 1) (12) the term 'negligent treatment' means the failure to provide, for reasons other than poverty, adequate food, clothing, shelter, or medical care so as to seriously endanger the physical health of the child; and (13) the term 'child abuse' does not include discipline administered by a parent or legal guardian to his or her child provided it is reasonable in manner and moderate in degree and otherwise does not constitute cruelty. (b) Alternatives to Live In-Court Testimony. - (1) Child's live testimony by 2-way closed circuit television. - (A) In a proceeding involving an alleged offense against a child, the attorney for the government, (FOOTNOTE 2) the child's attorney, or a guardian ad litem appointed under subdivision (FOOTNOTE 3) (h) may apply for an order that the child's testimony be taken in a room outside the courtroom and be televised by 2-way closed circuit television. The person seeking such an order shall apply for such an order at least 5 days before the trial date, unless the court finds on the record that the need for such an order was not reasonably foreseeable. (FOOTNOTE 2) So in original. Probably should be capitalized. (FOOTNOTE 3) So in original. Probably should be 'subsection'. (B) The court may order that the testimony of the child be taken by closed-circuit television as provided in subparagraph (A) if the court finds that the child is unable to testify in open court in the presence of the defendant, for any of the following reasons: (i) The child is unable to testify because of fear. (ii) There is a substantial likelihood, established by expert testimony, that the child would suffer emotional trauma from testifying. (iii) The child suffers a mental or other infirmity. (iv) Conduct by defendant or defense counsel causes the child to be unable to continue testifying. (C) The court shall support a ruling on the child's inability to testify with findings on the record. In determining whether the impact on an individual child of one or more of the factors described in subparagraph (B) is so substantial as to justify an order under subparagraph (A), the court may question the minor in chambers, or at some other comfortable place other than the courtroom, on the record for a reasonable period of time with the child attendant, the prosecutor, the child's attorney, the guardian ad litem, and the defense counsel present. (D) If the court orders the taking of testimony by television, the attorney for the government (FOOTNOTE 4) and the attorney for the defendant not including an attorney pro se for a party shall be present in a room outside the courtroom with the child and the child shall be subjected to direct and cross-examination. The only other persons who may be permitted in the room with the child during the child's testimony are - (FOOTNOTE 4) So in original. Probably should be capitalized. (i) the child's attorney or guardian ad litem appointed under subdivision (FOOTNOTE 5) (h); (FOOTNOTE 5) So in original. Probably should be 'subsection'. (ii) persons necessary to operate the closed-circuit television equipment; (iii) a judicial officer, appointed by the court; and (iv) other persons whose presence is determined by the court to be necessary to the welfare and well-being of the child, including an adult attendant. The child's testimony shall be transmitted by closed circuit television into the courtroom for viewing and hearing by the defendant, jury, judge, and public. The defendant shall be provided with the means of private, contemporaneous communication with the defendant's attorney during the testimony. The closed circuit television transmission shall relay into the room in which the child is testifying the defendant's image, and the voice of the judge. (2) Videotaped deposition of child. - (A) In a proceeding involving an alleged offense against a child, the attorney for the government, (FOOTNOTE 4) the child's attorney, the child's parent or legal guardian, or the guardian ad litem appointed under subdivision (FOOTNOTE 5) (h) may apply for an order that a deposition be taken of the child's testimony and that the deposition be recorded and preserved on videotape. (B)(i) Upon timely receipt of an application described in subparagraph (A), the court shall make a preliminary finding regarding whether at the time of trial the child is likely to be unable to testify in open court in the physical presence of the defendant, jury, judge, and public for any of the following reasons: (I) The child will be unable to testify because of fear. (II) There is a substantial likelihood, established by expert testimony, that the child would suffer emotional trauma from testifying in open court. (III) The child suffers a mental or other infirmity. (IV) Conduct by defendant or defense counsel causes the child to be unable to continue testifying. (ii) If the court finds that the child is likely to be unable to testify in open court for any of the reasons stated in clause (i), the court shall order that the child's deposition be taken and preserved by videotape. (iii) The trial judge shall preside at the videotape deposition of a child and shall rule on all questions as if at trial. The only other persons who may be permitted to be present at the proceeding are - (I) the attorney for the Government; (II) the attorney for the defendant; (III) the child's attorney or guardian ad litem appointed under subdivision (FOOTNOTE 5) (h); (IV) persons necessary to operate the videotape equipment; (V) subject to clause (iv), the defendant; and (VI) other persons whose presence is determined by the court to be necessary to the welfare and well-being of the child. The defendant shall be afforded the rights applicable to defendants during trial, including the right to an attorney, the right to be confronted with the witness against the defendant, and the right to cross-examine the child. (iv) If the preliminary finding of inability under clause (i) is based on evidence that the child is unable to testify in the physical presence of the defendant, the court may order that the defendant, including a defendant represented pro se, be excluded from the room in which the deposition is conducted. If the court orders that the defendant be excluded from the deposition room, the court shall order that 2-way closed circuit television equipment relay the defendant's image into the room in which the child is testifying, and the child's testimony into the room in which the defendant is viewing the proceeding, and that the defendant be provided with a means of private, contemporaneous communication with the defendant's attorney during the deposition. (v) Handling of videotape. - The complete record of the examination of the child, including the image and voices of all persons who in any way participate in the examination, shall be made and preserved on video tape in addition to being stenographically recorded. The videotape shall be transmitted to the clerk of the court in which the action is pending and shall be made available for viewing to the prosecuting attorney, the defendant, and the defendant's attorney during ordinary business hours. (C) If at the time of trial the court finds that the child is unable to testify as for a reason described in subparagraph (B)(i), the court may admit into evidence the child's videotaped deposition in lieu of the child's testifying at the trial. The court shall support a ruling under this subparagraph with findings on the record. (D) Upon timely receipt of notice that new evidence has been discovered after the original videotaping and before or during trial, the court, for good cause shown, may order an additional videotaped deposition. The testimony of the child shall be restricted to the matters specified by the court as the basis for granting the order. (E) In connection with the taking of a videotaped deposition under this paragraph, the court may enter a protective order for the purpose of protecting the privacy of the child. (F) The videotape of a deposition taken under this paragraph shall be destroyed 5 years after the date on which the trial court entered its judgment, but not before a final judgment is entered on appeal including Supreme Court review. The videotape shall become part of the court record and be kept by the court until it is destroyed. (c) Competency Examinations. - (1) Effect of federal rules of evidence. - Nothing in this subdivision (FOOTNOTE 6) shall be construed to abrogate rule 601 of the Federal Rules of Evidence. (FOOTNOTE 6) So in original. Probably should be 'subsection'. (2) Presumption. - A child is presumed to be competent. (3) Requirement of written motion. - A competency examination regarding a child witness may be conducted by the court only upon written motion and offer of proof of incompetency by a party. (4) Requirement of compelling reasons. - A competency examination regarding a child may be conducted only if the court determines, on the record, that compelling reasons exist. A child's age alone is not a compelling reason. (5) Persons permitted to be present. - The only persons who may be permitted to be present at a competency examination are - (A) the judge; (B) the attorney for the government; (FOOTNOTE 7) (FOOTNOTE 7) So in original. Probably should be capitalized. (C) the attorney for the defendant; (D) a court reporter; and (E) persons whose presence, in the opinion of the court, is necessary to the welfare and well-being of the child, including the child's attorney, guardian ad litem, or adult attendant. (6) Not before jury. - A competency examination regarding a child witness shall be conducted out of the sight and hearing of a jury. (7) Direct examination of child. - Examination of a child related to competency shall normally be conducted by the court on the basis of questions submitted by the attorney for the Government and the attorney for the defendant including a party acting as an attorney pro se. The court may permit an attorney but not a party acting as an attorney pro se to examine a child directly on competency if the court is satisfied that the child will not suffer emotional trauma as a result of the examination. (8) Appropriate questions. - The questions asked at the competency examination of a child shall be appropriate to the age and developmental level of the child, shall not be related to the issues at trial, and shall focus on determining the child's ability to understand and answer simple questions. (9) Psychological and psychiatric examinations. - Psychological and psychiatric examinations to assess the competency of a child witness shall not be ordered without a showing of compelling need. (d) Privacy Protection. - (1) Confidentiality of information. - (A) A person acting in a capacity described in subparagraph (B) in connection with a criminal proceeding shall - (i) keep all documents that disclose the name or any other information concerning a child in a secure place to which no person who does not have reason to know their contents has access; and (ii) disclose documents described in clause (i) or the information in them that concerns a child only to persons who, by reason of their participation in the proceeding, have reason to know such information. (B) Subparagraph (A) applies to - (i) all employees of the Government connected with the case, including employees of the Department of Justice, any law enforcement agency involved in the case, and any person hired by the government (FOOTNOTE 7) to provide assistance in the proceeding; (ii) employees of the court; (iii) the defendant and employees of the defendant, including the attorney for the defendant and persons hired by the defendant or the attorney for the defendant to provide assistance in the proceeding; and (iv) members of the jury. (2) Filing under seal. - All papers to be filed in court that disclose the name of or any other information concerning a child shall be filed under seal without necessity of obtaining a court order. The person who makes the filing shall submit to the clerk of the court - (A) the complete paper to be kept under seal; and (B) the paper with the portions of it that disclose the name of or other information concerning a child redacted, to be placed in the public record. (3) Protective orders. - (A) On motion by any person the court may issue an order protecting a child from public disclosure of the name of or any other information concerning the child in the course of the proceedings, if the court determines that there is a significant possibility that such disclosure would be detrimental to the child. (B) A protective order issued under subparagraph (A) may - (i) provide that the testimony of a child witness, and the testimony of any other witness, when the attorney who calls the witness has reason to anticipate that the name of or any other information concerning a child may be divulged in the testimony, be taken in a closed courtroom; and (ii) provide for any other measures that may be necessary to protect the privacy of the child. (4) Disclosure of information. - This subdivision (FOOTNOTE 8) does not prohibit disclosure of the name of or other information concerning a child to the defendant, the attorney for the defendant, a multidisciplinary child abuse team, a guardian ad litem, or an adult attendant, or to anyone to whom, in the opinion of the court, disclosure is necessary to the welfare and well-being of the child. (FOOTNOTE 8) So in original. Probably should be 'subsection'. (e) Closing the Courtroom. - When a child testifies the court may order the exclusion from the courtroom of all persons, including members of the press, who do not have a direct interest in the case. Such an order may be made if the court determines on the record that requiring the child to testify in open court would cause substantial psychological harm to the child or would result in the child's inability to effectively communicate. Such an order shall be narrowly tailored to serve the government's (FOOTNOTE 9) specific compelling interest. (FOOTNOTE 9) So in original. Probably should be capitalized. (f) Victim Impact Statement. - In preparing the presentence report pursuant to rule 32(c) of the Federal Rules of Criminal Procedure, the probation officer shall request information from the multidisciplinary child abuse team and other appropriate sources to determine the impact of the offense on the child victim and any other children who may have been affected. A guardian ad litem appointed under subdivision (FOOTNOTE 8) (h) shall make every effort to obtain and report information that accurately expresses the child's and the family's views concerning the child's victimization. A guardian ad litem shall use forms that permit the child to express the child's views concerning the personal consequences of the child's victimization, at a level and in a form of communication commensurate with the child's age and ability. (g) Use of Multidisciplinary Child Abuse Teams. - (1) In general. - A multidisciplinary child abuse team shall be used when it is feasible to do so. The court shall work with State and local governments that have established multidisciplinary child abuse teams designed to assist child victims and child witnesses, and the court and the attorney for the government (FOOTNOTE 9) shall consult with the multidisciplinary child abuse team as appropriate. (2) Role of multidisciplinary child abuse teams. - The role of the multidisciplinary child abuse team shall be to provide for a child services that the members of the team in their professional roles are capable of providing, including - (A) medical diagnoses and evaluation services, including provision or interpretation of x-rays, laboratory tests, and related services, as needed, and documentation of findings; (B) telephone consultation services in emergencies and in other situations; (C) medical evaluations related to abuse or neglect; (D) psychological and psychiatric diagnoses and evaluation services for the child, parent or parents, guardian or guardians, or other caregivers, or any other individual involved in a child victim or child witness case; (E) expert medical, psychological, and related professional testimony; (F) case service coordination and assistance, including the location of services available from public and private agencies in the community; and (G) training services for judges, litigators, court officers and others that are involved in child victim and child witness cases, in handling child victims and child witnesses. (h) Guardian Ad Litem. - (1) In general. - The court may appoint a guardian ad litem for a child who was a victim of, or a witness to, a crime involving abuse or exploitation to protect the best interests of the child. In making the appointment, the court shall consider a prospective guardian's background in, and familiarity with, the judicial process, social service programs, and child abuse issues. The guardian ad litem shall not be a person who is or may be a witness in a proceeding involving the child for whom the guardian is appointed. (2) Duties of guardian ad litem. - A guardian ad litem may attend all the depositions, hearings, and trial proceedings in which a child participates, and make recommendations to the court concerning the welfare of the child. The guardian ad litem may have access to all reports, evaluations and records, except attorney's work product, necessary to effectively advocate for the child. (The extent of access to grand jury materials is limited to the access routinely provided to victims and their representatives.) A guardian ad litem shall marshal and coordinate the delivery of resources and special services to the child. A guardian ad litem shall not be compelled to testify in any court action or proceeding concerning any information or opinion received from the child in the course of serving as a guardian ad litem. (3) Immunities. - A guardian ad litem shall be presumed to be acting in good faith and shall be immune from civil and criminal liability for complying with the guardian's lawful duties described in subpart (FOOTNOTE 01) (2). (FOOTNOTE 01) So in original. Probably should be 'paragraph'. (i) Adult Attendant. - A child testifying at or attending a judicial proceeding shall have the right to be accompanied by an adult attendant to provide emotional support to the child. The court, at its discretion, may allow the adult attendant to remain in close physical proximity to or in contact with the child while the child testifies. The court may allow the adult attendant to hold the child's hand or allow the child to sit on the adult attendant's lap throughout the course of the proceeding. An adult attendant shall not provide the child with an answer to any question directed to the child during the course of the child's testimony or otherwise prompt the child. The image of the child attendant, for the time the child is testifying or being deposed, shall be recorded on videotape. (j) Speedy Trial. - In a proceeding in which a child is called to give testimony, on motion by the attorney for the Government or a guardian ad litem, or on its own motion, the court may designate the case as being of special public importance. In cases so designated, the court shall, consistent with these rules, expedite the proceeding and ensure that it takes precedence over any other. The court shall ensure a speedy trial in order to minimize the length of time the child must endure the stress of involvement with the criminal process. When deciding whether to grant a continuance, the court shall take into consideration the age of the child and the potential adverse impact the delay may have on the child's well-being. The court shall make written findings of fact and conclusions of law when granting a continuance in cases involving a child. (k) Extension of Child Statute of Limitations. - No statute of limitation that would otherwise preclude prosecution for an offense involving the sexual or physical abuse of a child under the age of 18 years shall preclude such prosecution before the child reaches the age of 25 years. If, at any time that a cause of action for recovery of compensation for damage or injury to the person of a child exists, a criminal action is pending which arises out of the same occurrence and in which the child is the victim, the civil action shall be stayed until the end of all phases of the criminal action and any mention of the civil action during the criminal proceeding is prohibited. As used in this subsection, a criminal action is pending until its final adjudication in the trial court. (l) Testimonial Aids. - The court may permit a child to use anatomical dolls, puppets, drawings, mannequins, or any other demonstrative device the court deems appropriate for the purpose of assisting a child in testifying. -SOURCE- (Added Pub. L. 101-647, title II, Sec. 225(a), Nov. 29, 1990, 104 Stat. 4798.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in subsec. (c)(1), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. The Federal Rules of Criminal Procedure, referred to in subsec. (f), are set out in the Appendix to this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 403 of this title. ------DocID 24825 Document 1067 of 1438------ -CITE- 18 USC CHAPTER 224 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- CHAPTER 224 - PROTECTION OF WITNESSES -MISC1- Sec. 3521. Witness relocation and protection. 3522. Probationers and parolees. 3523. Civil judgments. 3524. Child custody arrangements. 3525. Victims Compensation Fund. 3526. Cooperation of other Federal agencies and State governments; reimbursement of expenses. 3527. Additional authority of Attorney General. 3528. Definition. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3581, Nov. 29, 1990, 104 Stat. 4929, substituted 'State governments; reimbursement of expenses' for 'State governments' in item 3526. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 1028, 1029, 3076 of this title. ------DocID 24826 Document 1068 of 1438------ -CITE- 18 USC Sec. 3521 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3521. Witness relocation and protection -STATUTE- (a)(1) The Attorney General may provide for the relocation and other protection of a witness or a potential witness for the Federal Government or for a State government in an official proceeding concerning an organized criminal activity or other serious offense, if the Attorney General determines that an offense involving a crime of violence directed at the witness with respect to that proceeding, an offense set forth in chapter 73 of this title directed at the witness, or a State offense that is similar in nature to either such offense, is likely to be committed. The Attorney General may also provide for the relocation and other protection of the immediate family of, or a person otherwise closely associated with, such witness or potential witness if the family or person may also be endangered on account of the participation of the witness in the judicial proceeding. (2) The Attorney General shall issue guidelines defining the types of cases for which the exercise of the authority of the Attorney General contained in paragraph (1) would be appropriate. (3) The United States and its officers and employees shall not be subject to any civil liability on account of any decision to provide or not to provide protection under this chapter. (b)(1) In connection with the protection under this chapter of a witness, a potential witness, or an immediate family member or close associate of a witness or potential witness, the Attorney General shall take such action as the Attorney General determines to be necessary to protect the person involved from bodily injury and otherwise to assure the health, safety, and welfare of that person, including the psychological well-being and social adjustment of that person, for as long as, in the judgment of the Attorney General, the danger to that person exists. The Attorney General may, by regulation - (A) provide suitable documents to enable the person to establish a new identity or otherwise protect the person; (B) provide housing for the person; (C) provide for the transportation of household furniture and other personal property to a new residence of the person; (D) provide to the person a payment to meet basic living expenses, in a sum established in accordance with regulations issued by the Attorney General, for such times as the Attorney General determines to be warranted; (E) assist the person in obtaining employment; (F) provide other services necessary to assist the person in becoming self-sustaining; (G) disclose or refuse to disclose the identity or location of the person relocated or protected, or any other matter concerning the person or the program after weighing the danger such a disclosure would pose to the person, the detriment it would cause to the general effectiveness of the program, and the benefit it would afford to the public or to the person seeking the disclosure, except that the Attorney General shall, upon the request of State or local law enforcement officials or pursuant to a court order, without undue delay, disclose to such officials the identity, location, criminal records, and fingerprints relating to the person relocated or protected when the Attorney General knows or the request indicates that the person is under investigation for or has been arrested for or charged with an offense that is punishable by more than one year in prison or that is a crime of violence; and (H) exempt procurement for services, materials, and supplies, and the renovation and construction of safe sites within existing buildings from other provisions of law as may be required to maintain the security of protective witnesses and the integrity of the Witness Security Program. The Attorney General shall establish an accurate, efficient, and effective system of records concerning the criminal history of persons provided protection under this chapter in order to provide the information described in subparagraph (G). (2) Deductions shall be made from any payment made to a person pursuant to paragraph (1)(D) to satisfy obligations of that person for family support payments pursuant to a State court order. (3) Any person who, without the authorization of the Attorney General, knowingly discloses any information received from the Attorney General under paragraph (1)(G) shall be fined $5,000 or imprisoned five years, or both. (c) Before providing protection to any person under this chapter, the Attorney General shall, to the extent practicable, obtain information relating to the suitability of the person for inclusion in the program, including the criminal history, if any, and a psychological evaluation of, the person. The Attorney General shall also make a written assessment in each case of the seriousness of the investigation or case in which the person's information or testimony has been or will be provided and the possible risk of danger to other persons and property in the community where the person is to be relocated and shall determine whether the need for that person's testimony outweighs the risk of danger to the public. In assessing whether a person should be provided protection under this chapter, the Attorney General shall consider the person's criminal record, alternatives to providing protection under this chapter, the possibility of securing similar testimony from other sources, the need for protecting the person, the relative importance of the person's testimony, results of psychological examinations, whether providing such protection will substantially infringe upon the relationship between a child who would be relocated in connection with such protection and that child's parent who would not be so relocated, and such other factors as the Attorney General considers appropriate. The Attorney General shall not provide protection to any person under this chapter if the risk of danger to the public, including the potential harm to innocent victims, outweighs the need for that person's testimony. This subsection shall not be construed to authorize the disclosure of the written assessment made pursuant to this subsection. (d)(1) Before providing protection to any person under this chapter, the Attorney General shall enter into a memorandum of understanding with that person. Each such memorandum of understanding shall set forth the responsibilities of that person, including - (A) the agreement of the person, if a witness or potential witness, to testify in and provide information to all appropriate law enforcement officials concerning all appropriate proceedings; (B) the agreement of the person not to commit any crime; (C) the agreement of the person to take all necessary steps to avoid detection by others of the facts concerning the protection provided to that person under this chapter; (D) the agreement of the person to comply with legal obligations and civil judgments against that person; (E) the agreement of the person to cooperate with all reasonable requests of officers and employees of the Government who are providing protection under this chapter; (F) the agreement of the person to designate another person to act as agent for the service of process; (G) the agreement of the person to make a sworn statement of all outstanding legal obligations, including obligations concerning child custody and visitation; (H) the agreement of the person to disclose any probation or parole responsibilities, and if the person is on probation or parole under State law, to consent to Federal supervision in accordance with section 3522 of this title; and (I) the agreement of the person to regularly inform the appropriate program official of the activities and current address of such person. Each such memorandum of understanding shall also set forth the protection which the Attorney General has determined will be provided to the person under this chapter, and the procedures to be followed in the case of a breach of the memorandum of understanding, as such procedures are established by the Attorney General. Such procedures shall include a procedure for filing and resolution of grievances of persons provided protection under this chapter regarding the administration of the program. This procedure shall include the opportunity for resolution of a grievance by a person who was not involved in the case. (2) The Attorney General shall enter into a separate memorandum of understanding pursuant to this subsection with each person protected under this chapter who is eighteen years of age or older. The memorandum of understanding shall be signed by the Attorney General and the person protected. (3) The Attorney General may delegate the responsibility initially to authorize protection under this chapter only to the Deputy Attorney General, to the Associate Attorney General, to the Assistant Attorney General in charge of the Criminal Division of the Department of Justice, to the Assistant Attorney General in charge of the Civil Rights Division of the Department of Justice (insofar as the delegation relates to a criminal civil rights case), and to one other officer or employee of the Department of Justice. (e) If the Attorney General determines that harm to a person for whom protection may be provided under section 3521 of this title is imminent or that failure to provide immediate protection would otherwise seriously jeopardize an ongoing investigation, the Attorney General may provide temporary protection to such person under this chapter before making the written assessment and determination required by subsection (c) of this section or entering into the memorandum of understanding required by subsection (d) of this section. In such a case the Attorney General shall make such assessment and determination and enter into such memorandum of understanding without undue delay after the protection is initiated. (f) The Attorney General may terminate the protection provided under this chapter to any person who substantially breaches the memorandum of understanding entered into between the Attorney General and that person pursuant to subsection (d), or who provides false information concerning the memorandum of understanding or the circumstances pursuant to which the person was provided protection under this chapter, including information with respect to the nature and circumstances concerning child custody and visitation. Before terminating such protection, the Attorney General shall send notice to the person involved of the termination of the protection provided under this chapter and the reasons for the termination. The decision of the Attorney General to terminate such protection shall not be subject to judicial review. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2153, and amended Pub. L. 101-647, title XXXV, Sec. 3582, Nov. 29, 1990, 104 Stat. 4929.) -MISC1- AMENDMENTS 1990 - Subsec. (b)(1). Pub. L. 101-647, Sec. 3582(1), inserted '(G)' after 'subparagraph' in last sentence. Subsec. (d)(3). Pub. L. 101-647, Sec. 3582(2), inserted 'the' before 'Civil Rights Division'. EFFECTIVE DATE Section 1210 of subpart A (Sec. 1207-1210) of part F of chapter XII of title II of Pub. L. 98-473 provided that: 'This subpart and the amendments made by this subpart (see Short Title note below) shall take effect on October 1, 1984.' SHORT TITLE Section 1207 of subpart A (Sec. 1207-1210) of part F of chapter XII of title II of Pub. L. 98-473 provided that: 'This subpart (enacting this chapter, repealing provisions set out as a note preceding section 3481 of this title, and enacting provisions set out as a note under this section) may be cited as the 'Witness Security Reform Act of 1984'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 2516, 3522 of this title. ------DocID 24827 Document 1069 of 1438------ -CITE- 18 USC Sec. 3522 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3522. Probationers and parolees -STATUTE- (a) A probation officer may, upon the request of the Attorney General, supervise any person provided protection under this chapter who is on probation or parole under State law, if the State involved consents to such supervision. Any person so supervised shall be under Federal jurisdiction during the period of supervision and shall, during that period be subject to all laws of the United States which pertain to probationers or parolees, as the case may be. (b) The failure by any person provided protection under this chapter who is supervised under subsection (a) to comply with the memorandum of understanding entered into by that person pursuant to section 3521(d) of this title shall be grounds for the revocation of probation or parole, as the case may be. (c) The United States Parole Commission and the Chairman of the Commission shall have the same powers and duties with respect to a probationer or parolee transferred from State supervision pursuant to this section as they have with respect to an offender convicted in a court of the United States and paroled under chapter 311 (FOOTNOTE 1) of this title. The provisions of sections 4201 through 4204, 4205(a), (e), and (h), 4206 through 4215, and 4218 (FOOTNOTE 1) of this title shall apply following a revocation of probation or parole under this section. (FOOTNOTE 1) See References in Text note below. (d) If a person provided protection under this chapter who is on probation or parole and is supervised under subsection (a) of this section has been ordered by the State court which imposed sentence on the person to pay a sum of money to the victim of the offense involved for damage caused by the offense, that penalty or award of damages may be enforced as though it were a civil judgment rendered by a United States district court. Proceedings to collect the moneys ordered to be paid may be instituted by the Attorney General in any United States district court. Moneys recovered pursuant to such proceedings shall be distributed to the victim. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2157, and amended Pub. L. 99-646, Sec. 75, Nov. 10, 1986, 100 Stat. 3618; Pub. L. 100-690, title VII, Sec. 7072(b), Nov. 18, 1988, 102 Stat. 4405.) -REFTEXT- REFERENCES IN TEXT Chapter 311 of this title, referred to in subsec. (c), which consisted of sections 4201 to 4218 of this title, was repealed effective Nov. 1, 1987, by Pub. L. 98-473, title II, Sec. 218(a)(5), 235(a)(1), (b)(1), Oct. 12, 1984, 98 Stat. 2027, 2031, 2032, subject to remaining effective for five years after Nov. 1, 1987, in certain circumstances. -MISC2- AMENDMENTS 1988 - Subsec. (c). Pub. L. 100-690 substituted '4215' for '4216'. 1986 - Subsec. (a). Pub. L. 99-646 substituted 'probationers or parolees, as the case may be' for 'parolees'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3521 of this title. ------DocID 24828 Document 1070 of 1438------ -CITE- 18 USC Sec. 3523 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3523. Civil judgments -STATUTE- (a) If a person provided protection under this chapter is named as a defendant in a civil cause of action arising prior to or during the period in which the protection is provided, process in the civil proceeding may be served upon that person or an agent designated by that person for that purpose. The Attorney General shall make reasonable efforts to serve a copy of the process upon the person protected at the person's last known address. The Attorney General shall notify the plaintiff in the action whether such process has been served. If a judgment in such action is entered against that person the Attorney General shall determine whether the person has made reasonable efforts to comply with the judgment. The Attorney General shall take appropriate steps to urge the person to comply with the judgment. If the Attorney General determines that the person has not made reasonable efforts to comply with the judgment, the Attorney General may, after considering the danger to the person and upon the request of the person holding the judgment disclose the identity and location of the person to the plaintiff entitled to recovery pursuant to the judgment. Any such disclosure of the identity and location of the person shall be made upon the express condition that further disclosure by the plaintiff of such identity or location may be made only if essential to the plaintiff's efforts to recover under the judgment, and only to such additional persons as is necessary to effect the recovery. Any such disclosure or nondisclosure by the Attorney General shall not subject the United States and its officers or employees to any civil liability. (b)(1) Any person who holds a judgment entered by a Federal or State court in his or her favor against a person provided protection under this chapter may, upon a decision by the Attorney General to deny disclosure of the current identity and location of such protected person, bring an action against the protected person in the United States district court in the district where the person holding the judgment (hereinafter in this subsection referred to as the 'petitioner') resides. Such action shall be brought within one hundred and twenty days after the petitioner requested the Attorney General to disclose the identity and location of the protected person. The complaint in such action shall contain statements that the petitioner holds a valid judgment of a Federal or State court against a person provided protection under this chapter and that the petitioner sought to enforce the judgment by requesting the Attorney General to disclose the identity and location of the protected person. (2) The petitioner in an action described in paragraph (1) shall notify the Attorney General of the action at the same time the action is brought. The Attorney General shall appear in the action and shall affirm or deny the statements in the complaint that the person against whom the judgment is allegedly held is provided protection under this chapter and that the petitioner requested the Attorney General to disclose the identity and location of the protected person for the purpose of enforcing the judgment. (3) Upon a determination (A) that the petitioner holds a judgment entered by a Federal or State court and (B) that the Attorney General has declined to disclose to the petitioner the current identity and location of the protected person against whom the judgment was entered, the court shall appoint a guardian to act on behalf of the petitioner to enforce the judgment. The clerk of the court shall forthwith furnish the guardian with a copy of the order of appointment. The Attorney General shall disclose to the guardian the current identity and location of the protected person and any other information necessary to enable the guardian to carry out his or her duties under this subsection. (4) It is the duty of the guardian to proceed with all reasonable diligence and dispatch to enforce the rights of the petitioner under the judgment. The guardian shall, however, endeavor to carry out such enforcement duties in a manner that maximizes, to the extent practicable, the safety and security of the protected person. In no event shall the guardian disclose the new identity or location of the protected person without the permission of the Attorney General, except that such disclosure may be made to a Federal or State court in order to enforce the judgment. Any good faith disclosure made by the guardian in the performance of his or her duties under this subsection shall not create any civil liability against the United States or any of its officers or employees. (5) Upon appointment, the guardian shall have the power to perform any act with respect to the judgment which the petitioner could perform, including the initiation of judicial enforcement actions in any Federal or State court or the assignment of such enforcement actions to a third party under applicable Federal or State law. The Federal Rules of Civil Procedure shall apply in any action brought under this subsection to enforce a Federal or State court judgment. (6) The costs of any action brought under this subsection with respect to a judgment, including any enforcement action described in paragraph (5), and the compensation to be allowed to a guardian appointed in any such action shall be fixed by the court and shall be apportioned among the parties as follows: the petitioner shall be assessed in the amount the petitioner would have paid to collect on the judgment in an action not arising under the provisions of this subsection; the protected person shall be assessed the costs which are normally charged to debtors in similar actions and any other costs which are incurred as a result of an action brought under this subsection. In the event that the costs and compensation to the guardian are not met by the petitioner or by the protected person, the court may, in its discretion, enter judgment against the United States for costs and fees reasonably incurred as a result of the action brought under this subsection. (7) No officer or employee of the Department of Justice shall in any way impede the efforts of a guardian appointed under this subsection to enforce the judgment with respect to which the guardian was appointed. (c) The provisions of this section shall not apply to a court order to which section 3524 of this title applies. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2157.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Civil Procedure, referred to in subsec. (b)(5), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24829 Document 1071 of 1438------ -CITE- 18 USC Sec. 3524 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3524. Child custody arrangements -STATUTE- (a) The Attorney General may not relocate any child in connection with protection provided to a person under this chapter if it appears that a person other than that protected person has legal custody of that child. (b) Before protection is provided under this chapter to any person (1) who is a parent of a child of whom that person has custody, and (2) who has obligations to another parent of that child with respect to custody or visitation of that child under a court order, the Attorney General shall obtain and examine a copy of such order for the purpose of assuring that compliance with the order can be achieved. If compliance with a visitation order cannot be achieved, the Attorney General may provide protection under this chapter to the person only if the parent being relocated initiates legal action to modify the existing court order under subsection (e)(1) of this section. The parent being relocated must agree in writing before being provided protection to abide by any ensuing court orders issued as a result of an action to modify. (c) With respect to any person provided protection under this chapter (1) who is the parent of a child who is relocated in connection with such protection and (2) who has obligations to another parent of that child with respect to custody or visitation of that child under a State court order, the Attorney General shall, as soon as practicable after the person and child are so relocated, notify in writing the child's parent who is not so relocated that the child has been provided protection under this chapter. The notification shall also include statements that the rights of the parent not so relocated to visitation or custody, or both, under the court order shall not be infringed by the relocation of the child and the Department of Justice responsibility with respect thereto. The Department of Justice will pay all reasonable costs of transportation and security incurred in insuring that visitation can occur at a secure location as designated by the United States Marshals Service, but in no event shall it be obligated to pay such costs for visitation in excess of thirty days a year, or twelve in number a year. Additional visitation may be paid for, in the discretion of the Attorney General, by the Department of Justice in extraordinary circumstances. In the event that the unrelocated parent pays visitation costs, the Department of Justice may, in the discretion of the Attorney General, extend security arrangements associated with such visitation. (d)(1) With respect to any person provided protection under this chapter (A) who is the parent of a child who is relocated in connection with such protection and (B) who has obligations to another parent of that child with respect to custody or visitation of that child under a court order, an action to modify that court order may be brought by any party to the court order in the District Court for the District of Columbia or in the district court for the district in which the child's parent resides who has not been relocated in connection with such protection. (2) With respect to actions brought under paragraph (1), the district courts shall establish a procedure to provide a reasonable opportunity for the parties to the court order to mediate their dispute with respect to the order. The court shall provide a mediator for this purpose. If the dispute is mediated, the court shall issue an order in accordance with the resolution of the dispute. (3) If, within sixty days after an action is brought under paragraph (1) to modify a court order, the dispute has not been mediated, any party to the court order may request arbitration of the dispute. In the case of such a request, the court shall appoint a master to act as arbitrator, who shall be experienced in domestic relations matters. Rule 53 of the Federal Rules of Civil Procedure shall apply to masters appointed under this paragraph. The court and the master shall, in determining the dispute, give substantial deference to the need for maintaining parent-child relationships, and any order issued by the court shall be in the best interests of the child. In actions to modify a court order brought under this subsection, the court and the master shall apply the law of the State in which the court order was issued or, in the case of the modification of a court order issued by a district court under this section, the law of the State in which the parent resides who was not relocated in connection with the protection provided under this chapter. The costs to the Government of carrying out a court order may be considered in an action brought under this subsection to modify that court order but shall not outweigh the relative interests of the parties themselves and the child. (4) Until a court order is modified under this subsection, all parties to that court order shall comply with their obligations under that court order subject to the limitations set forth in subsection (c) of this section. (5) With respect to any person provided protection under this chapter who is the parent of a child who is relocated in connection with such protection, the parent not relocated in connection with such protection may bring an action, in the District Court for the District of Columbia or in the district court for the district in which that parent resides, for violation by that protected person of a court order with respect to custody or visitation of that child. If the court finds that such a violation has occurred, the court may hold in contempt the protected person. Once held in contempt, the protected person shall have a maximum of sixty days, in the discretion of the Attorney General, to comply with the court order. If the protected person fails to comply with the order within the time specified by the Attorney General, the Attorney General shall disclose the new identity and address of the protected person to the other parent and terminate any financial assistance to the protected person unless otherwise directed by the court. (6) The United States shall be required by the court to pay litigation costs, including reasonable attorneys' fees, incurred by a parent who prevails in enforcing a custody or visitation order; but shall retain the right to recover such costs from the protected person. (e)(1) In any case in which the Attorney General determines that, as a result of the relocation of a person and a child of whom that person is a parent in connection with protection provided under this chapter, the implementation of a court order with respect to custody or visitation of that child would be substantially impossible, the Attorney General may bring, on behalf of the person provided protection under this chapter, an action to modify the court order. Such action may be brought in the district court for the district in which the parent resides who would not be or was not relocated in connection with the protection provided under this chapter. In an action brought under this paragraph, if the Attorney General establishes, by clear and convincing evidence, that implementation of the court order involved would be substantially impossible, the court may modify the court order but shall, subject to appropriate security considerations, provide an alternative as substantially equivalent to the original rights of the nonrelocating parent as feasible under the circumstances. (2) With respect to any State court order in effect to which this section applies, and with respect to any district court order in effect which is issued under this section, if the parent who is not relocated in connection with protection provided under this chapter intentionally violates a reasonable security requirement imposed by the Attorney General with respect to the implementation of that court order, the Attorney General may bring an action in the district court for the district in which that parent resides to modify the court order. The court may modify the court order if the court finds such an intentional violation. (3) The procedures for mediation and arbitration provided under subsection (d) of this section shall not apply to actions for modification brought under this subsection. (f) In any case in which a person provided protection under this chapter is the parent of a child of whom that person has custody and has obligations to another parent of that child concerning custody and visitation of that child which are not imposed by court order, that person, or the parent not relocated in connection with such protection, may bring an action in the district court of the district in which that parent not relocated resides to obtain an order providing for custody or visitation, or both, of that child. In any such action, all the provisions of subsection (d) of this section shall apply. (g) In any case in which an action under this section involves court orders from different States with respect to custody or visitation of the same child, the court shall resolve any conflicts by applying the rules of conflict of laws of the State in which the court is sitting. (h)(1) Subject to paragraph (2), the costs of any action described in subsection (d), (e), or (f) of this section shall be paid by the United States. (2) The Attorney General shall insure that any State court order in effect to which this section applies and any district court order in effect which is issued under this section are carried out. The Department of Justice shall pay all costs and fees described in subsections (c) and (d) of this section. (i) As used in this section, the term 'parent' includes any person who stands in the place of a parent by law. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2159.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Civil Procedure, referred to in subsec. (d)(3), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3523 of this title. ------DocID 24830 Document 1072 of 1438------ -CITE- 18 USC Sec. 3525 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3525. Victims Compensation Fund -STATUTE- (a) The Attorney General may pay restitution to, or in the case of death, compensation for the death of any victim of a crime that causes or threatens death or serious bodily injury and that is committed by any person during a period in which that person is provided protection under this chapter. (b) Not later than four months after the end of each fiscal year, the Attorney General shall transmit to the Congress a detailed report on payments made under this section for such year. (c) There are authorized to be appropriated for the fiscal year 1985 and for each fiscal year thereafter, $1,000,000 for payments under this section. (d) The Attorney General shall establish guidelines and procedures for making payments under this section. The payments to victims under this section shall be made for the types of expenses provided for in section 3579(b) (FOOTNOTE 1) of this title, except that in the case of the death of the victim, an amount not to exceed $50,000 may be paid to the victim's estate. No payment may be made under this section to a victim unless the victim has sought restitution and compensation provided under Federal or State law or by civil action. Such payments may be made only to the extent the victim, or the victim's estate, has not otherwise received restitution and compensation, including insurance payments, for the crime involved. Payments may be made under this section to victims of crimes occurring on or after the date of the enactment of this chapter. (FOOTNOTE 1) In the case of a crime occurring before the date of the enactment of this chapter, (FOOTNOTE 1) a payment may be made under this section only in the case of the death of the victim, and then only in an amount not exceeding $25,000, and such a payment may be made notwithstanding the requirements of the third sentence of this subsection. (FOOTNOTE 1) See References in Text note below. (e) Nothing in this section shall be construed to create a cause of action against the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2162.) -REFTEXT- REFERENCES IN TEXT Section 3579(b) of this title, referred to in subsec. (d), was renumbered section 3663(b) of this title by Pub. L. 98-473, title II, Sec. 212(a)(1), Oct. 12, 1984, 98 Stat. 1987. The date of the enactment of this chapter, referred to in subsec. (d), is the date of enactment of Pub. L. 98-473, which was approved Oct. 12, 1984. -MISC2- RESTITUTION TO ESTATE OF VICTIMS KILLED BEFORE OCTOBER 12, 1984; LIMITATION Pub. L. 99-180, title II, Sec. 200, Dec. 13, 1985, 99 Stat. 1142, provided: 'That restitution of not to exceed $25,000 shall be paid to the estate of victims killed before October 12, 1984 as a result of crimes committed by persons who have been enrolled in the Federal witness protection program, if such crimes were committed within two years after protection was terminated, notwithstanding any limitations contained in part (a) of section 3525 of title 18 of the United States Code.' SIMILAR PROVISIONS Similar provisions were contained in the following prior appropriation act: Pub. L. 99-88, title I, Sec. 100, Aug. 15, 1985, 99 Stat. 303. ------DocID 24831 Document 1073 of 1438------ -CITE- 18 USC Sec. 3526 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3526. Cooperation of other Federal agencies and State governments; reimbursement of expenses -STATUTE- (a) Each Federal agency shall cooperate with the Attorney General in carrying out the provisions of this chapter and may provide, on a reimbursable basis, such personnel and services as the Attorney General may request in carrying out those provisions. (b) In any case in which a State government requests the Attorney General to provide protection to any person under this chapter - (1) the Attorney General may enter into an agreement with that State government in which that government agrees to reimburse the United States for expenses incurred in providing protection to that person under this chapter; and (2) the Attorney General shall enter into an agreement with that State government in which that government agrees to cooperate with the Attorney General in carrying out the provisions of this chapter with respect to all persons. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2162.) ------DocID 24832 Document 1074 of 1438------ -CITE- 18 USC Sec. 3527 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3527. Additional authority of Attorney General -STATUTE- The Attorney General may enter into such contracts or other agreements as may be necessary to carry out this chapter. Any such contract or agreement which would result in the United States being obligated to make outlays may be entered into only to the extent and in such amount as may be provided in advance in an appropriation Act. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2163.) ------DocID 24833 Document 1075 of 1438------ -CITE- 18 USC Sec. 3528 -EXPCITE- TITLE 18 PART II CHAPTER 224 -HEAD- Sec. 3528. Definition -STATUTE- For purposes of this chapter, the term 'State' means each of the several States, the District of Columbia, the Commonwealth of Puerto Rico, and any territory or possession of the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1208, Oct. 12, 1984, 98 Stat. 2163.) ------DocID 24834 Document 1076 of 1438------ -CITE- 18 USC CHAPTER 225 -EXPCITE- TITLE 18 PART II CHAPTER 225 -HEAD- CHAPTER 225 - VERDICT -MISC1- Sec. 3531. Return; several defendants; conviction of less offense; poll of jury - Rule. 3532. Setting aside verdict of guilty; judgment notwithstanding verdict - Rule. ------DocID 24835 Document 1077 of 1438------ -CITE- 18 USC Sec. 3531 -EXPCITE- TITLE 18 PART II CHAPTER 225 -HEAD- Sec. 3531. Return; several defendants; conviction of less offense; poll of jury - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Verdict to be unanimous; return; several defendants; disagreement; conviction of less offense; poll of jury, Rule 31. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 837.) ------DocID 24836 Document 1078 of 1438------ -CITE- 18 USC Sec. 3532 -EXPCITE- TITLE 18 PART II CHAPTER 225 -HEAD- Sec. 3532. Setting aside verdict of guilty; judgment notwithstanding verdict - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Setting aside verdict of guilty on motion for judgment of acquittal, entering of such judgment, or ordering new trial; absence of verdict, Rule 29(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 837.) ------DocID 24837 Document 1079 of 1438------ -CITE- 18 USC CHAPTER 227 -EXPCITE- TITLE 18 PART II CHAPTER 227 -HEAD- CHAPTER 227 - SENTENCES (FOOTNOTE 1) -MISC1- (FOOTNOTE 1) A prior chapter 227 'SENTENCE, JUDGMENT, AND EXECUTION' (Sec. 3561 to 3580) was repealed, effective Nov. 1, 1987. For applicability to offenses committed before such date, see chapter 227, set out as a note following this chapter. Subchapter Sec. (FOOTNOTE 2) (FOOTNOTE 2) Editorially supplied. A. General Provisions 3551 B. Probation 3561 C. Fines 3571 D. Imprisonment 3581 -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 3673, 3742 of this title. ------DocID 24838 Document 1080 of 1438------ -CITE- 18 USC SUBCHAPTER A -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- SUBCHAPTER A - GENERAL PROVISIONS -MISC1- Sec. 3551. Authorized sentences. 3552. Presentence reports. 3553. Imposition of a sentence. 3554. Order of criminal forfeiture. 3555. Order of notice to victims. 3556. Order of restitution. 3557. Review of a sentence. 3558. Implementation of a sentence. 3559. Sentencing classification of offenses. SUBCHAPTER A - GENERAL PROVISIONS -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in section 3565 of this title. ------DocID 24839 Document 1081 of 1438------ -CITE- 18 USC Sec. 3551 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3551. Authorized sentences -STATUTE- (a) In General. - Except as otherwise specifically provided, a defendant who has been found guilty of an offense described in any Federal statute, including sections 13 and 1153 of this title, other than an Act of Congress applicable exclusively in the District of Columbia or the Uniform Code of Military Justice, shall be sentenced in accordance with the provisions of this chapter so as to achieve the purposes set forth in subparagraphs (A) through (D) of section 3553(a)(2) to the extent that they are applicable in light of all the circumstances of the case. (b) Individuals. - An individual found guilty of an offense shall be sentenced, in accordance with the provisions of section 3553, to - (1) a term of probation as authorized by subchapter B; (2) a fine as authorized by subchapter C; or (3) a term of imprisonment as authorized by subchapter D. A sentence to pay a fine may be imposed in addition to any other sentence. A sanction authorized by section 3554, 3555, or 3556 may be imposed in addition to the sentence required by this subsection. (c) Organizations. - An organization found guilty of an offense shall be sentenced, in accordance with the provisions of section 3553, to - (1) a term of probation as authorized by subchapter B; or (2) a fine as authorized by subchapter C. A sentence to pay a fine may be imposed in addition to a sentence to probation. A sanction authorized by section 3554, 3555, or 3556 may be imposed in addition to the sentence required by this subsection. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1988, and amended Pub. L. 101-647, title XVI, Sec. 1602, Nov. 29, 1990, 104 Stat. 4843.) -REFTEXT- REFERENCES IN TEXT Acts of Congress applicable exclusively in the District of Columbia, referred to in subsec. (a), are classified generally to the District of Columbia Code. The Uniform Code of Military Justice, referred to in subsec. (a), is classified generally to chapter 47 (Sec. 801 et seq.) of Title 10, Armed Forces. -MISC2- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 inserted 'including sections 13 and 1153 of this title,' after 'any Federal statute,'. EFFECTIVE DATE; SAVINGS PROVISION Section 235 of chapter II (Sec. 211-239) of title II of Pub. L. 98-473, as amended by Pub. L. 99-217, Sec. 2, 4, Dec. 26, 1985, 99 Stat. 1728; Pub. L. 99-646, Sec. 35, Nov. 10, 1986, 100 Stat. 3599; Pub. L. 100-182, Sec. 2, Dec. 7, 1987, 101 Stat. 1266, provided that: '(a)(1) This chapter (see Tables for classification) shall take effect on the first day of the first calendar month beginning 36 months after the date of enactment (Oct. 12, 1984) and shall apply only to offenses committed after the taking effect of this chapter, except that - '(A) the repeal of chapter 402 of title 18, United States Code, shall take effect on the date of enactment (Oct. 12, 1984); '(B)(i) chapter 58 of title 28, United States Code, shall take effect on the date of enactment of this Act (Oct. 12, 1984) or October 1, 1983, whichever occurs later, and the United States Sentencing Commission shall submit the initial sentencing guidelines promulgated under section 994(a)(1) of title 28 to the Congress within 30 months of the effective date of such chapter 58; and '(ii) the sentencing guidelines promulgated pursuant to section 994(a)(1) shall not go into effect until - '(I) the United States Sentencing Commission has submitted the initial set of sentencing guidelines to the Congress pursuant to subparagraph (B)(i), along with a report stating the reasons for the Commission's recommendations; '(II) the General Accounting Office has undertaken a study of the guidelines, and their potential impact in comparison with the operation of the existing sentencing and parole release system, and has, within one hundred and fifty days of submission of the guidelines, reported to the Congress the results of its study; and '(III) the day after the Congress has had six months after the date described in subclause (I) in which to examine the guidelines and consider the reports; and '(IV) section 212(a)(2) (enacting chapters 227 and 229 of this title and repealing former chapters 227, 229, and 231 of this title) takes effect, in the case of the initial sentencing guidelines so promulgated. '(2) For the purposes of section 992(a) of title 28, the terms of the first members of the United States Sentencing Commission shall not begin to run until the sentencing guidelines go into effect pursuant to paragraph (1)(B)(ii). '(b)(1) The following provisions of law in effect on the day before the effective date of this Act shall remain in effect for five years after the effective date as to an individual who committed an offense or an act of juvenile delinquency before the effective date and as to a term of imprisonment during the period described in subsection (a)(1)(B): '(A) Chapter 311 of title 18, United States Code. '(B) Chapter 309 of title 18, United States Code. '(C) Sections 4251 through 4255 of title 18, United States Code. '(D) Sections 5041 and 5042 of title 18, United States Code. '(E) Sections 5017 through 5020 of title 18, United States Code, as to a sentence imposed before the date of enactment (Oct. 12, 1984). '(F) The maximum term of imprisonment in effect on the effective date for an offense committed before the effective date. '(G) Any other law relating to a violation of a condition of release or to arrest authority with regard to a person who violates a condition of release. '(2) Notwithstanding the provisions of section 4202 of title 18, United States Code, as in effect on the day before the effective date of this Act, the term of office of a Commissioner who is in office on the effective date is extended to the end of the five-year period after the effective date of this Act. '(3) The United States Parole Commission shall set a release date, for an individual who will be in its jurisdiction the day before the expiration of five years after the effective date of this Act, pursuant to section 4206 of title 18, United States Code. A release date set pursuant to this paragraph shall be set early enough to permit consideration of an appeal of the release date, in accordance with Parole Commission procedures, before the expiration of five years following the effective date of this Act. '(4) Notwithstanding the other provisions of this subsection, all laws in effect on the day before the effective date of this Act pertaining to an individual who is - '(A) released pursuant to a provision listed in paragraph (1); and '(B)(i) subject to supervision on the day before the expiration of the five-year period following the effective date of this Act; or '(ii) released on a date set pursuant to paragraph (3); including laws pertaining to terms and conditions of release, revocation of release, provision of counsel, and payment of transportation costs, shall remain in effect as to the individual until the expiration of his sentence, except that the district court shall determine, in accord with the Federal Rules of Criminal Procedure, whether release should be revoked or the conditions of release amended for violation of a condition of release. '(5) Notwithstanding the provisions of section 991 of title 28, United States Code, and sections 4351 and 5002 of title 18, United States Code, the Chairman of the United States Parole Commission or his designee shall be a member of the National Institute of Corrections, and the Chairman of the United States Parole Commission shall be a member of the Advisory Corrections Council and a nonvoting member of the United States Sentencing Commission, ex officio, until the expiration of the five-year period following the effective date of this Act. Notwithstanding the provisions of section 4351 of title 18, during the five-year period the National Institute of Corrections shall have seventeen members, including seven ex officio members. Notwithstanding the provisions of section 991 of title 28, during the five-year period the United States Sentencing Commission shall consist of nine members, including two ex officio, nonvoting members.' (Pub. L. 101-650, title III, Sec. 316, Dec. 1, 1990, 104 Stat. 5115, provided that: 'For the purposes of section 235(b) of Public Law 98-473 (set out above) as it relates to chapter 311 of title 18, United States Code, and the United States Parole Commission, each reference in such section to 'five years' or a 'five-year period' shall be deemed a reference to 'ten years' or a 'ten-year period', respectively.') SHORT TITLE OF 1987 AMENDMENT Pub. L. 100-182, Sec. 1, Dec. 7, 1987, 101 Stat. 1266, provided that: 'This Act (amending sections 3006A, 3553, 3561, 3563, 3564, 3583, 3663, 3672, 3742, and 4106 of this title, section 994 of Title 28, Judiciary and Judicial Procedure, and sections 504 and 1111 of Title 29, Labor, enacting provisions set out as notes under sections 3006A and 3553 of this title, rule 35 of the Federal Rules of Criminal Procedure, set out in the Appendix to this title, and section 994 of Title 28, and amending provisions set out as a note under this section) may be cited as the 'Sentencing Act of 1987'.' SHORT TITLE OF 1985 AMENDMENT Pub. L. 99-217, Sec. 1, Dec. 26, 1985, 99 Stat. 1728, provided that: 'This Act (amending section 994 of Title 28, Judiciary and Judicial Procedure, and provisions set out as a note under this section) may be cited as the 'Sentencing Reform Amendments Act of 1985'.' SHORT TITLE Section 211 of chapter II (Sec. 211-239) of title II of Pub. L. 98-473 provided that: 'This chapter (see Tables for classification) may be cited as the 'Sentencing Reform Act of 1984'.' SENTENCING OF NONVIOLENT AND NONSERIOUS OFFENDERS; SENSE OF CONGRESS Section 239 of Pub. L. 98-473 provided that: 'Since, due to an impending crisis in prison overcrowding, available Federal prison space must be treated as a scarce resource in the sentencing of criminal defendants; 'Since, sentencing decisions should be designed to ensure that prison resources are, first and foremost, reserved for those violent and serious criminal offenders who pose the most dangerous threat to society; 'Since, in cases of nonviolent and nonserious offenders, the interests of society as a whole as well as individual victims of crime can continue to be served through the imposition of alternative sentences, such as restitution and community service; 'Since, in the two years preceding the enactment of sentencing guidelines, Federal sentencing practice should ensure that scarce prison resources are available to house violent and serious criminal offenders by the increased use of restitution, community service, and other alternative sentences in cases of nonviolent and nonserious offenders: Now, therefore, be it 'Declared, That it is the sense of the Senate that in the two years preceding the enactment of the sentencing guidelines, Federal judges, in determining the particular sentence to be imposed, consider - '(1) the nature and circumstances of the offense and the history and characteristics of the defendant; '(2) the general appropriateness of imposing a sentence other than imprisonment in cases in which the defendant has not been convicted of a crime of violence or otherwise serious offense; and '(3) the general appropriateness of imposing a sentence of imprisonment in cases in which the defendant has been convicted of a crime of violence or otherwise serious offense.' -SECREF- ACT REFERRED TO IN OTHER SECTIONS The Sentencing Reform Act of 1984 is referred to in title 16 section 460ddd. SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3554, 3555, 3557, 3558 of this title. ------DocID 24840 Document 1082 of 1438------ -CITE- 18 USC Sec. 3552 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3552. Presentence reports -STATUTE- (a) Presentence Investigation and Report by Probation Officer. - A United States probation officer shall make a presentence investigation of a defendant that is required pursuant to the provisions of Rule 32(c) of the Federal Rules of Criminal Procedure, and shall, before the imposition of sentence, report the results of the investigation to the court. (b) Presentence Study and Report by Bureau of Prisons. - If the court, before or after its receipt of a report specified in subsection (a) or (c), desires more information than is otherwise available to it as a basis for determining the sentence to be imposed on a defendant found guilty of a misdemeanor or felony, it may order a study of the defendant. The study shall be conducted in the local community by qualified consultants unless the sentencing judge finds that there is a compelling reason for the study to be done by the Bureau of Prisons or there are no adequate professional resources available in the local community to perform the study. The period of the study shall be no more than sixty days. The order shall specify the additional information that the court needs before determining the sentence to be imposed. Such an order shall be treated for administrative purposes as a provisional sentence of imprisonment for the maximum term authorized by section 3581(b) for the offense committed. The study shall inquire into such matters as are specified by the court and any other matters that the Bureau of Prisons or the professional consultants believe are pertinent to the factors set forth in section 3553(a). The period of the study may, in the discretion of the court, be extended for an additional period of not more than sixty days. By the expiration of the period of the study, or by the expiration of any extension granted by the court, the United States marshal shall, if the defendant is in custody, return the defendant to the court for final sentencing. The Bureau of Prisons or the professional consultants shall provide the court with a written report of the pertinent results of the study and make to the court whatever recommendations the Bureau or the consultants believe will be helpful to a proper resolution of the case. The report shall include recommendations of the Bureau or the consultants concerning the guidelines and policy statements, promulgated by the Sentencing Commission pursuant to 28 U.S.C. 994(a), that they believe are applicable to the defendant's case. After receiving the report and the recommendations, the court shall proceed finally to sentence the defendant in accordance with the sentencing alternatives and procedures available under this chapter. (c) Presentence Examination and Report by Psychiatric or Psychological Examiners. - If the court, before or after its receipt of a report specified in subsection (a) or (b) desires more information than is otherwise available to it as a basis for determining the mental condition of the defendant, the court may order the same psychiatric or psychological examination and report thereon as may be ordered under section 4244(b) of this title. (d) Disclosure of Presentence Reports. - The court shall assure that a report filed pursuant to this section is disclosed to the defendant, the counsel for the defendant, and the attorney for the Government at least ten days prior to the date set for sentencing, unless this minimum period is waived by the defendant. The court shall provide a copy of the presentence report to the attorney for the Government to use in collecting an assessment, criminal fine, forfeiture or restitution imposed. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1988, and amended Pub. L. 99-646, Sec. 7(a), Nov. 10, 1986, 100 Stat. 3593; Pub. L. 101-647, title XXXVI, Sec. 3625, Nov. 29, 1990, 104 Stat. 4965.) -MISC1- AMENDMENTS 1990 - Subsec. (d). Pub. L. 101-647 inserted at end 'The court shall provide a copy of the presentence report to the attorney for the Government to use in collecting an assessment, criminal fine, forfeiture or restitution imposed.' 1986 - Subsec. (b). Pub. L. 99-646, Sec. 7(a)(1), (2), substituted 'study shall be' for 'study shall take' and inserted ', if the defendant is in custody,' after 'United States marshal shall'. Subsec. (c). Pub. L. 99-646, Sec. 7(a)(3), substituted 'the court may order the same psychiatric or psychological examination and report thereon as may be ordered under section 4244(b) of this title' for 'it may order that the defendant undergo a psychiatric or psychological examination and that the court be provided with a written report of the results of the examination pursuant to the provisions of section 4247'. EFFECTIVE DATE OF 1990 AMENDMENT Amendment by Pub. L. 101-647 effective 180 days after Nov. 29, 1990, see section 3631 of Pub. L. 101-647, set out as an Effective Date note under section 3001 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1986 AMENDMENT Section 7(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 3552 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3672, 4106A of this title. ------DocID 24841 Document 1083 of 1438------ -CITE- 18 USC Sec. 3553 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3553. Imposition of a sentence -STATUTE- (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 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; (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 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. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1989, and amended Pub. L. 99-570, title I, Sec. 1007(a), Oct. 27, 1986, 100 Stat. 3207-7; Pub. L. 99-646, Sec. 8(a), 9(a), 80(a), 81(a), Nov. 10, 1986, 100 Stat. 3593, 3619; Pub. L. 100-182, Sec. 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.) -MISC1- AMENDMENTS 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 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.' -SECREF- 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. ------DocID 24842 Document 1084 of 1438------ -CITE- 18 USC Sec. 3554 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3554. Order of criminal forfeiture -STATUTE- The court, in imposing a sentence on a defendant who has been found guilty of an offense described in section 1962 of this title or in title II or III of the Comprehensive Drug Abuse Prevention and Control Act of 1970 shall order, in addition to the sentence that is imposed pursuant to the provisions of section 3551, that the defendant forfeit property to the United States in accordance with the provisions of section 1963 of this title or section 413 of the Comprehensive Drug Abuse and Control Act of 1970. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1990.) -REFTEXT- REFERENCES IN TEXT The Comprehensive Drug Abuse Prevention and Control Act of 1970, referred to in text, is Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1236, as amended. Title II of this Act, known as the Controlled Substances Act, is classified principally to subchapter I (Sec. 801 et seq.) of chapter 13 of Title 21, Food and Drugs. Title III of this Act, known as the Controlled Substances Import and Export Act, is classified principally to subchapter II (Sec. 951 et seq.) of chapter 13 of Title 21. Section 413 of this Act is classified to section 853 of Title 21. For complete classification of this Act to the Code, see Short Title note set out under sections 801 and 951 of Title 21 and Tables. -MISC2- 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3551 of this title; title 28 section 994. ------DocID 24843 Document 1085 of 1438------ -CITE- 18 USC Sec. 3555 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3555. Order of notice to victims -STATUTE- The court, in imposing a sentence on a defendant who has been found guilty of an offense involving fraud or other intentionally deceptive practices, may order, in addition to the sentence that is imposed pursuant to the provisions of section 3551, that the defendant give reasonable notice and explanation of the conviction, in such form as the court may approve, to the victims of the offense. The notice may be ordered to be given by mail, by advertising in designated areas or through designated media, or by other appropriate means. In determining whether to require the defendant to give such notice, the court shall consider the factors set forth in section 3553(a) to the extent that they are applicable and shall consider the cost involved in giving the notice as it relates to the loss caused by the offense, and shall not require the defendant to bear the costs of notice in excess of $20,000. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1991.) -MISC1- 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3551, 3553, 3563 of this title; title 28 section 994. ------DocID 24844 Document 1086 of 1438------ -CITE- 18 USC Sec. 3556 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3556. Order of restitution -STATUTE- The court, in imposing a sentence on a defendant who has been found guilty of an offense may order restitution in accordance with sections 3663 and 3664. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1991, and amended Pub. L. 99-646, Sec. 20(b), Nov. 10, 1986, 100 Stat. 3596.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-646 substituted 'may order restitution in accordance with sections 3663 and 3664' for 'under this title, or an offense under section 902(h), (i), (j), or (n) of the Federal Aviation Act of 1958 (49 U.S.C. 1472), may order, in addition to the sentence that is imposed pursuant to the provisions of section 3551, that the defendant make restitution to any victim of the offense in accordance with the provisions of sections 3663 and 3664'. EFFECTIVE DATE OF 1986 AMENDMENT Section 20(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 212(a)(2) of the Sentencing Reform Act of 1984 (section 212(a)(2) of Pub. L. 98-473, effective 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3551, 3612, 5037 of this title; title 28 section 994. ------DocID 24845 Document 1087 of 1438------ -CITE- 18 USC Sec. 3557 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3557. Review of a sentence -STATUTE- The review of a sentence imposed pursuant to section 3551 is governed by the provisions of section 3742. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1991.) -MISC1- 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. ------DocID 24846 Document 1088 of 1438------ -CITE- 18 USC Sec. 3558 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3558. Implementation of a sentence -STATUTE- The implementation of a sentence imposed pursuant to section 3551 is governed by the provisions of chapter 229. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1991.) -MISC1- 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. ------DocID 24847 Document 1089 of 1438------ -CITE- 18 USC Sec. 3559 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER A -HEAD- Sec. 3559. Sentencing classification of offenses -STATUTE- (a) Classification. - An offense that is not specifically classified by a letter grade in the section defining it, is classified if the maximum term of imprisonment authorized is - (1) life imprisonment, or if the maximum penalty is death, as a Class A felony; (2) twenty-five years or more, as a Class B felony; (3) less than twenty-five years but ten or more years, as a Class C felony; (4) less than ten years but five or more years, as a Class D felony; (5) less than five years but more than one year, as a Class E felony; (6) one year or less but more than six months, as a Class A misdemeanor; (7) six months or less but more than thirty days, as a Class B misdemeanor; (8) thirty days or less but more than five days, as a Class C misdemeanor; or (9) five days or less, or if no imprisonment is authorized, as an infraction. (b) Effect of Classification. - An offense classified under subsection (a) carries all the incidents assigned to the applicable letter designation, except that the maximum term of imprisonment is the term authorized by the law describing the offense. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1991, and amended Pub. L. 100-185, Sec. 5, Dec. 11, 1987, 101 Stat. 1279; Pub. L. 100-690, title VII, Sec. 7041, Nov. 18, 1988, 102 Stat. 4399.) -MISC1- AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690, Sec. 7041(a)(1), substituted 'classified if the maximum term of imprisonment authorized is - ' for 'classified - '(1) if the maximum term of imprisonment authorized is - '. Subsec. (a)(1) to (9). Pub. L. 100-690, Sec. 7041(a)(2), (b), redesignated subpars. (A) to (I) as pars. (1) to (9), respectively, and substituted 'twenty-five' for 'twenty' in pars. (2) and (3). 1987 - Subsec. (b). Pub. L. 100-185 substituted ', except that the maximum term of imprisonment is the term authorized by the law describing the offense.' for 'except that: '(1) the maximum fine that may be imposed is the fine authorized by the statute describing the offense, or by this chapter, whichever is the greater; and '(2) the maximum term of imprisonment is the term authorized by the statute describing the offense.' 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 49 App. section 1472. ------DocID 24848 Document 1090 of 1438------ -CITE- 18 USC SUBCHAPTER B -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- SUBCHAPTER B - PROBATION -MISC1- Sec. 3561. Sentence of probation. 3562. Imposition of a sentence of probation. 3563. Conditions of probation. 3564. Running of a term of probation. 3565. Revocation of probation. 3566. Implementation of a sentence of probation. SUBCHAPTER B - PROBATION -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in sections 3551, 3601, 3605 of this title. ------DocID 24849 Document 1091 of 1438------ -CITE- 18 USC Sec. 3561 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- Sec. 3561. Sentence of probation -STATUTE- (a) In General. - A defendant who has been found guilty of an offense may be sentenced to a term of probation unless - (1) the offense is a Class A or Class B felony and the defendant is an individual; (2) the offense is an offense for which probation has been expressly precluded; or (3) the defendant is sentenced at the same time to a term of imprisonment for the same or a different offense. (b) Authorized Terms. - The authorized terms of probation are - (1) for a felony, not less than one nor more than five years; (2) for a misdemeanor, not more than five years; and (3) for an infraction, not more than one year. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1992, and amended Pub. L. 99-646, Sec. 10(a), Nov. 10, 1986, 100 Stat. 3593; Pub. L. 100-182, Sec. 7, Dec. 7, 1987, 101 Stat. 1267.) -MISC1- PRIOR PROVISIONS A prior section 3561, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1987 - Subsec. (a)(1). Pub. L. 100-182 inserted 'and the defendant is an individual' after 'Class B felony'. 1986 - Subsec. (a). Pub. L. 99-646 struck out at end 'The liability of a defendant for any unexecuted fine or other punishment imposed as to which probation is granted shall be fully discharged by the fulfillment of the terms and conditions of probation.' 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 AMENDMENT Section 10(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the date of the taking effect of such section 3561(a) (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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 5037 of this title. ------DocID 24850 Document 1092 of 1438------ -CITE- 18 USC Sec. 3562 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- Sec. 3562. Imposition of a sentence of probation -STATUTE- (a) Factors To Be Considered in Imposing a Term of Probation. - The court, in determining whether to impose a term of probation, and, if a term of probation is to be imposed, in determining the length of the term and the conditions of probation, shall consider the factors set forth in section 3553(a) to the extent that they are applicable. (b) Effect of Finality of Judgment. - Notwithstanding the fact that a sentence of probation can subsequently be - (1) modified or revoked pursuant to the provisions of section 3564 or 3565; (2) corrected pursuant to the provisions of rule 35 of the Federal Rules of Criminal Procedure and section 3742; or (3) appealed and modified, if outside the guideline range, pursuant to the provisions of section 3742; a judgment of conviction that includes such a sentence constitutes a final judgment for all other purposes. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1992, and amended Pub. L. 101-647, title XXXV, Sec. 3583, Nov. 29, 1990, 104 Stat. 4930.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (b)(2), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3562, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (b)(2). Pub. L. 101-647 inserted 'of the Federal Rules of Criminal Procedure' after 'rule 35'. 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. ------DocID 24851 Document 1093 of 1438------ -CITE- 18 USC Sec. 3563 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- Sec. 3563. Conditions of probation -STATUTE- (a) Mandatory Conditions. - The court shall provide, as an explicit condition of a sentence of probation - (1) for a felony, a misdemeanor, or an infraction, that the defendant not commit another Federal, State, or local crime during the term of probation; (2) for a felony, that the defendant also abide by at least one condition set forth in subsection (b)(2), (b)(3), or (b)(13), unless the court finds on the record that extraordinary circumstances exist that would make such a condition plainly unreasonable, in which event the court shall impose one or more of the other conditions set forth under subsection (b); and (3) for a felony, a misdemeanor, or an infraction, that the defendant not possess illegal controlled substances. If the court has imposed and ordered execution of a fine and placed the defendant on probation, payment of the fine or adherence to the court-established installment schedule shall be a condition of the probation. (b) Discretionary Conditions. - The court may provide, as further conditions of a sentence of probation, to the extent that such conditions are reasonably related to the factors set forth in section 3553(a)(1) and (a)(2) and to the extent that such conditions involve only such deprivations of liberty or property as are reasonably necessary for the purposes indicated in section 3553(a)(2), that the defendant - (1) support his dependents and meet other family responsibilities; (2) pay a fine imposed pursuant to the provisions of subchapter C; (3) make restitution to a victim of the offense under sections 3663 and 3664 (but not subject to the limitations of section 3663(a)); (4) give to the victims of the offense the notice ordered pursuant to the provisions of section 3555; (5) work conscientiously at suitable employment or pursue conscientiously a course of study or vocational training that will equip him for suitable employment; (6) refrain, in the case of an individual, from engaging in a specified occupation, business, or profession bearing a reasonably direct relationship to the conduct constituting the offense, or engage in such a specified occupation, business, or profession only to a stated degree or under stated circumstances; (7) refrain from frequenting specified kinds of places or from associating unnecessarily with specified persons; (8) refrain from excessive use of alcohol, or any use of a narcotic drug or other controlled substance, as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802), without a prescription by a licensed medical practitioner; (9) refrain from possessing a firearm, destructive device, or other dangerous weapon; (10) undergo available medical, psychiatric, or psychological treatment, including treatment for drug or alcohol dependency, as specified by the court, and remain in a specified institution if required for that purpose; (11) remain in the custody of the Bureau of Prisons during nights, weekends, or other intervals of time, totaling no more than the lesser of one year or the term of imprisonment authorized for the offense, during the first year of the term of probation; (12) reside at, or participate in the program of, a community corrections facility (including a facility maintained or under contract to the Bureau of Prisons) for all or part of the term of probation; (13) work in community service as directed by the court; (14) reside in a specified place or area, or refrain from residing in a specified place or area; (15) remain within the jurisdiction of the court, unless granted permission to leave by the court or a probation officer; (16) report to a probation officer as directed by the court or the probation officer; (17) permit a probation officer to visit him at his home or elsewhere as specified by the court; (18) answer inquiries by a probation officer and notify the probation officer promptly of any change in address or employment; (19) notify the probation officer promptly if arrested or questioned by a law enforcement officer; (20) remain at his place of residence during nonworking hours and, if the court finds it appropriate, that compliance with this condition be monitored by telephonic or electronic signaling devices, except that a condition under this paragraph may be imposed only as an alternative to incarceration; or (21) satisfy such other conditions as the court may impose. (c) Modifications of Conditions. - The court may modify, reduce, or enlarge the conditions of a sentence of probation at any time prior to the expiration or termination of the term of probation, pursuant to the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation and the provisions applicable to the initial setting of the conditions of probation. (d) Written Statement of Conditions. - The court shall direct that the probation officer provide the defendant with a written statement that sets forth all the conditions to which the sentence is subject, and that is sufficiently clear and specific to serve as a guide for the defendant's conduct and for such supervision as is required. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1993, and amended Pub. L. 99-646, Sec. 11(a), 12(a), Nov. 10, 1986, 100 Stat. 3594; Pub. L. 100-182, Sec. 10, 18, Dec. 7, 1987, 101 Stat. 1267, 1270; Pub. L. 100-690, title VII, Sec. 7086, 7110, 7303(a)(1), 7305(a), Nov. 18, 1988, 102 Stat. 4408, 4419, 4464, 4465; Pub. L. 101-647, title XXXV, Sec. 3584, Nov. 29, 1990, 104 Stat. 4930.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (c), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3563, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 3584(1), substituted 'defendant' for 'defendent' in last sentence. Subsec. (b)(3). Pub. L. 101-647, Sec. 3584(2), substituted 'under sections 3663 and 3664' for 'pursuant to the provisions of section 3663 and 3664' and 'section 3663(a)' for '3663(a)'. 1988 - Subsec. (a)(2). Pub. L. 100-690, Sec. 7086, inserted ', unless the court finds on the record that extraordinary circumstances exist that would make such a condition plainly unreasonable, in which event the court shall impose one or more of the other conditions set forth under subsection (b)'. Subsec. (a)(3). Pub. L. 100-690, Sec. 7303(a)(1), added par. (3). Subsec. (b)(3). Pub. L. 100-690, Sec. 7110, substituted '3663 and 3664 (but not subject to the limitations of 3663(a))' for '3556'. Subsec. (b)(20), (21). Pub. L. 100-690, Sec. 7305(a), added par. (20) and redesignated former par. (20) as (21). 1987 - Subsec. (b)(12). Pub. L. 100-182, Sec. 18, inserted '(including a facility maintained or under contract to the Bureau of Prisons)' after 'facility'. Subsec. (c). Pub. L. 100-182, Sec. 10, struck out comma after 'The court may' and substituted 'the modification of probation and' for 'revocation or modification of probation'. 1986 - Subsec. (b)(11). Pub. L. 99-646, Sec. 11(a), struck out 'in section 3581(b)' after 'the offense'. Subsec. (c). Pub. L. 99-646, Sec. 12(a), struck out ', after a hearing' after 'court may' and inserted 'the provisions of the Federal Rules of Criminal Procedure relating to revocation or modification of probation' after 'pursuant to'. EFFECTIVE DATE OF 1988 AMENDMENT Section 7303(d) of Pub. L. 100-690 provided that: 'The amendments made by this section (amending this section and sections 3565, 3583, 4209, and 4214 of this title) shall apply with respect to persons whose probation, supervised release, or parole begins after December 31, 1988.' 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 AMENDMENT Section 11(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the date of the taking effect of such section 3563(b)(11) (Nov. 1, 1987).' Section 12(c)(1) of Pub. L. 99-646 provided that: 'The amendments made by subsection (a) (amending this section) shall take effect on the date of the taking effect of such section 3563(c) (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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3565, 3583, 3742, 5037 of this title; title 28 section 994. ------DocID 24852 Document 1094 of 1438------ -CITE- 18 USC Sec. 3564 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- Sec. 3564. Running of a term of probation -STATUTE- (a) Commencement. - A term of probation commences on the day that the sentence of probation is imposed, unless otherwise ordered by the court. (b) Concurrence With Other Sentences. - Multiple terms of probation, whether imposed at the same time or at different times, run concurrently with each other. A term of probation runs concurrently with any Federal, State, or local term of probation, supervised release, or parole for another offense to which the defendant is subject or becomes subject during the term of probation. A term of probation does not run while the defendant is imprisoned in connection with a conviction for a Federal, State, or local crime unless the imprisonment is for a period of less than thirty consecutive days. (c) Early Termination. - The court, after considering the factors set forth in section 3553(a) to the extent that they are applicable, may, pursuant to the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation, terminate a term of probation previously ordered and discharge the defendant at any time in the case of a misdemeanor or an infraction or at any time after the expiration of one year of probation in the case of a felony, if it is satisfied that such action is warranted by the conduct of the defendant and the interest of justice. (d) Extension. - The court may, after a hearing, extend a term of probation, if less than the maximum authorized term was previously imposed, at any time prior to the expiration or termination of the term of probation, pursuant to the provisions applicable to the initial setting of the term of probation. (e) Subject to Revocation. - A sentence of probation remains conditional and subject to revocation until its expiration or termination. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1994, and amended Pub. L. 99-646, Sec. 13(a), Nov. 10, 1986, 100 Stat. 3594; Pub. L. 100-182, Sec. 11, Dec. 7, 1987, 101 Stat. 1268.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (c), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3564, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1987 - Subsec. (c). Pub. L. 100-182 inserted ', pursuant to the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation,' after 'may'. 1986 - Subsec. (b). Pub. L. 99-646 substituted provision that the term of probation does not run while the defendant is imprisoned in connection with a conviction for a Federal, State, or local crime unless the imprisonment is for a period of less than thirty consecutive days, for provision that the term of probation does not run during any period in which the defendant is imprisoned for a period of at least thirty consecutive days in connection with a conviction for a Federal, State, or local crime. 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 AMENDMENT Section 13(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 such section 3564 (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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3562, 5037 of this title; title 28 section 994. ------DocID 24853 Document 1095 of 1438------ -CITE- 18 USC Sec. 3565 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- Sec. 3565. Revocation of probation -STATUTE- (a) Continuation or Revocation. - If the defendant violates a condition of probation at any time prior to the expiration or termination of the term of probation, the court may, after a hearing pursuant to Rule 32.1 of the Federal Rules of Criminal Procedure, and after considering the factors set forth in section 3553(a) to the extent that they are applicable - (1) continue him on probation, with or without extending the term or modifying or enlarging the conditions; or (2) revoke the sentence of probation and impose any other sentence that was available under subchapter A at the time of the initial sentencing. Notwithstanding any other provision of this section, if a defendant is found by the court to be in possession of a controlled substance, thereby violating the condition imposed by section 3563(a)(3), the court shall revoke the sentence of probation and sentence the defendant to not less than one-third of the original sentence. (b) Mandatory Revocation for Possession of a Firearm. - If the defendant is in actual possession of a firearm, as that term is defined in section 921 of this title, at any time prior to the expiration or termination of the term of probation, the court shall, after a hearing pursuant to Rule 32.1 of the Federal Rules of Criminal Procedure, revoke the sentence of probation and impose any other sentence that was available under subchapter A at the time of the initial sentencing. (c) Delayed Revocation. - The power of the court to revoke a sentence of probation for violation of a condition of probation, and to impose another sentence, extends beyond the expiration of the term of probation for any period reasonably necessary for the adjudication of matters arising before its expiration if, prior to its expiration, a warrant or summons has been issued on the basis of an allegation of such a violation. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1995, and amended Pub. L. 100-690, title VI, Sec. 6214, title VII, Sec. 7303(a)(2), Nov. 18, 1988, 102 Stat. 4361, 4464; Pub. L. 101-647, title XXXV, Sec. 3585, Nov. 29, 1990, 104 Stat. 4930.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsecs. (a) and (b), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3565, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (a)(1). Pub. L. 101-647 substituted 'or modifying' for 'of modifying'. 1988 - Subsec. (a). Pub. L. 100-690, Sec. 7303(a)(2), inserted at end 'Notwithstanding any other provision of this section, if a defendant is found by the court to be in possession of a controlled substance, thereby violating the condition imposed by section 3563(a)(3), the court shall revoke the sentence of probation and sentence the defendant to not less than one-third of the original sentence.' Subsecs. (b), (c). Pub. L. 100-690, Sec. 6214, added subsec. (b) and redesignated former subsec. (b) as (c). EFFECTIVE DATE OF 1988 AMENDMENT Amendment by section 7303(a)(2) of Pub. L. 100-690 applicable with respect to persons whose probation, supervised release, or parole begins after Dec. 31, 1988, see section 7303(d) of Pub. L. 100-690, set out as a note under section 3563 of this title. 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3562, 3607, 5037 of this title; title 28 section 994. ------DocID 24854 Document 1096 of 1438------ -CITE- 18 USC Sec. 3566 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER B -HEAD- Sec. 3566. Implementation of a sentence of probation -STATUTE- The implementation of a sentence of probation is governed by the provisions of subchapter A of chapter 229. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1995.) -MISC1- PRIOR PROVISIONS Prior sections 3566 to 3570, applicable to offenses committed prior to Nov. 1, 1987, are contained in chapter 227 set out as a note following this chapter. 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. ------DocID 24855 Document 1097 of 1438------ -CITE- 18 USC SUBCHAPTER C -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER C -HEAD- SUBCHAPTER C - FINES -MISC1- Sec. 3571. Sentence of fine. 3572. Imposition of a sentence of fine and related matters. 3573. Petition of the Government for modification or remission. 3574. Implementation of a sentence of fine. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3586(1), Nov. 29, 1990, 104 Stat. 4930, which directed the insertion of 'and related matters' after 'fines' in item 3572, was executed by making the insertion after 'fine' to reflect the probable intent of Congress. Pub. L. 101-647, title XXXV, Sec. 3586(2), Nov. 29, 1990, 104 Stat. 4930, substituted 'remission' for 'revision' in item 3573. 1987 - Pub. L. 100-185, Sec. 8(b), Dec. 11, 1987, 101 Stat. 1282, substituted 'Petition of the Government for modification or revision' for 'Modification or remission of fine' in item 3573. SUBCHAPTER C - FINES -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in sections 3551, 3563, 3613 of this title. ------DocID 24856 Document 1098 of 1438------ -CITE- 18 USC Sec. 3571 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER C -HEAD- Sec. 3571. Sentence of fine -STATUTE- (a) In General. - A defendant who has been found guilty of an offense may be sentenced to pay a fine. (b) Fines for Individuals. - Except as provided in subsection (e) of this section, an individual who has been found guilty of an offense may be fined not more than the greatest of - (1) the amount specified in the law setting forth the offense; (2) the applicable amount under subsection (d) of this section; (3) for a felony, not more than $250,000; (4) for a misdemeanor resulting in death, not more than $250,000; (5) for a Class A misdemeanor that does not result in death, not more than $100,000; (6) for a Class B or C misdemeanor that does not result in death, not more than $5,000; or (7) for an infraction, not more than $5,000. (c) Fines for Organizations. - Except as provided in subsection (e) of this section, an organization that has been found guilty of an offense may be fined not more than the greatest of - (1) the amount specified in the law setting forth the offense; (2) the applicable amount under subsection (d) of this section; (3) for a felony, not more than $500,000; (4) for a misdemeanor resulting in death, not more than $500,000; (5) for a Class A misdemeanor that does not result in death, not more than $200,000; (6) for a Class B or C misdemeanor that does not result in death, not more than $10,000; and (7) for an infraction, not more than $10,000. (d) Alternative Fine Based on Gain or Loss. - If any person derives pecuniary gain from the offense, or if the offense results in pecuniary loss to a person other than the defendant, the defendant may be fined not more than the greater of twice the gross gain or twice the gross loss, unless imposition of a fine under this subsection would unduly complicate or prolong the sentencing process. (e) Special Rule for Lower Fine Specified in Substantive Provision. - If a law setting forth an offense specifies no fine or a fine that is lower than the fine otherwise applicable under this section and such law, by specific reference, exempts the offense from the applicability of the fine otherwise applicable under this section, the defendant may not be fined more than the amount specified in the law setting forth the offense. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1995, and amended Pub. L. 100-185, Sec. 6, Dec. 11, 1987, 101 Stat. 1280.) -MISC1- PRIOR PROVISIONS A prior section 3571, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1987 - Pub. L. 100-185 amended section generally, revising and restating as subsecs. (a) to (e) provisions formerly contained in subsecs. (a) and (b). 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 19, 1031 of this title; title 42 section 2273. ------DocID 24857 Document 1099 of 1438------ -CITE- 18 USC Sec. 3572 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER C -HEAD- Sec. 3572. Imposition of a sentence of fine and related matters -STATUTE- (a) Factors To Be Considered. - In determining whether to impose a fine, and the amount, time for payment, and method of payment of a fine, the court shall consider, in addition to the factors set forth in section 3553(a) - (1) the defendant's income, earning capacity, and financial resources; (2) the burden that the fine will impose upon the defendant, any person who is financially dependent on the defendant, or any other person (including a government) that would be responsible for the welfare of any person financially dependent on the defendant, relative to the burden that alternative punishments would impose; (3) any pecuniary loss inflicted upon others as a result of the offense; (4) whether restitution is ordered or made and the amount of such restitution; (5) the need to deprive the defendant of illegally obtained gains from the offense; (6) whether the defendant can pass on to consumers or other persons the expense of the fine; and (7) if the defendant is an organization, the size of the organization and any measure taken by the organization to discipline any officer, director, employee, or agent of the organization responsible for the offense and to prevent a recurrence of such an offense. (b) Fine Not to Impair Ability to Make Restitution. - If, as a result of a conviction, the defendant has the obligation to make restitution to a victim of the offense, the court shall impose a fine or other monetary penalty only to the extent that such fine or penalty will not impair the ability of the defendant to make restitution. (c) Effect of Finality of Judgment. - Notwithstanding the fact that a sentence to pay a fine can subsequently be - (1) modified or remitted under section 3573; (2) corrected under rule 35 of the Federal Rules of Criminal Procedure and section 3742; or (3) appealed and modified under section 3742; a judgment that includes such a sentence is a final judgment for all other purposes. (d) Time, Method of Payment, and Related Items. - A person sentenced to pay a fine or other monetary penalty shall make such payment immediately, unless, in the interest of justice, the court provides for payment on a date certain or in installments. If the court provides for payment in installments, the installments shall be in equal monthly payments over the period provided by the court, unless the court establishes another schedule. If the judgment permits other than immediate payment, the period provided for shall not exceed five years, excluding any period served by the defendant as imprisonment for the offense. (e) Alternative Sentence Precluded. - At the time a defendant is sentenced to pay a fine, the court may not impose an alternative sentence to be carried out if the fine is not paid. (f) Responsibility for Payment of Monetary Obligation Relating to Organization. - If a sentence includes a fine, special assessment, or other monetary obligation (including interest) with respect to an organization, each individual authorized to make disbursements for the organization has a duty to pay the obligation from assets of the organization. If such an obligation is imposed on a director, officer, shareholder, employee, or agent of an organization, payments may not be made, directly or indirectly, from assets of the organization, unless the court finds that such payment is expressly permissible under applicable State law. (g) Security for Stayed Fine. - If a sentence imposing a fine is stayed, the court shall, absent exceptional circumstances (as determined by the court) - (1) require the defendant to deposit, in the registry of the district court, any amount of the fine that is due; (2) require the defendant to provide a bond or other security to ensure payment of the fine; or (3) restrain the defendant from transferring or dissipating assets. (h) Delinquency. - A fine is delinquent if a payment is more than 30 days late. (i) Default. - A fine is in default if a payment is delinquent for more than 90 days. When a fine is in default, the entire amount of the fine is due within 30 days after notification of the default, notwithstanding any installment schedule. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1995, and amended Pub. L. 100-185, Sec. 7, Dec. 11, 1987, 101 Stat. 1280; Pub. L. 101-647, title XXXV, Sec. 3587, Nov. 29, 1990, 104 Stat. 4930.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (c)(2), are set out in the Appendix to this title. -MISC2- PRIOR PROVISIONS A prior section 3572, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (c)(2). Pub. L. 101-647 inserted 'of the Federal Rules of Criminal Procedure' after 'rule 35'. 1987 - Pub. L. 100-185 inserted 'and related matters' in section catchline and amended text generally, revising and restating as subsecs. (a) to (i) provisions formerly contained in subsecs. (a) to (j). 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1031, 3612 of this title; title 28 section 994. ------DocID 24858 Document 1100 of 1438------ -CITE- 18 USC Sec. 3573 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER C -HEAD- Sec. 3573. Petition of the Government for modification or remission -STATUTE- Upon petition of the Government showing that reasonable efforts to collect a fine or assessment are not likely to be effective, the court may, in the interest of justice - (1) remit all or part of the unpaid portion of the fine or special assessment, including interest and penalties; (2) defer payment of the fine or special assessment to a date certain or pursuant to an installment schedule; or (3) extend a date certain or an installment schedule previously ordered. A petition under this subsection shall be filed in the court in which sentence was originally imposed, unless the court transfers jurisdiction to another court. This section shall apply to all fines and assessments irrespective of the date of imposition. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1997, and amended Pub. L. 100-185, Sec. 8(a), Dec. 11, 1987, 101 Stat. 1282; Pub. L. 100-690, title VII, Sec. 7082(a), Nov. 18, 1988, 102 Stat. 4407.) -MISC1- PRIOR PROVISIONS A prior section 3573, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. AMENDMENTS 1988 - Pub. L. 100-690 inserted at end 'This section shall apply to all fines and assessments irrespective of the date of imposition.' 1987 - Pub. L. 100-185 substituted 'Petition of the Government for modification or remission' for 'Modification or remission of fine' in section catchline and amended text generally, revising and restating as a single paragraph with three numbered clauses provisions formerly contained in subsecs. (a) and (b). 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3572 of this title; title 28 section 994. ------DocID 24859 Document 1101 of 1438------ -CITE- 18 USC Sec. 3574 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER C -HEAD- Sec. 3574. Implementation of a sentence of fine -STATUTE- The implementation of a sentence to pay a fine is governed by the provisions of subchapter B of chapter 229. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1997.) -MISC1- PRIOR PROVISIONS A prior section 3574, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 227 set out as a note following this chapter. Prior sections 3575 to 3580, applicable to offenses committed prior to Nov. 1, 1987, are contained in chapter 227 set out as a note following this chapter. Sections 3577 to 3580 were renumbered sections 3661 to 3664, respectively, of chapter 232 of this title, effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such renumbering. 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. ------DocID 24860 Document 1102 of 1438------ -CITE- 18 USC SUBCHAPTER D -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- SUBCHAPTER D - IMPRISONMENT -MISC1- Sec. 3581. Sentence of imprisonment. 3582. Imposition of a sentence of imprisonment. 3583. Inclusion of a term of supervised release after imprisonment. 3584. Multiple sentences of imprisonment. 3585. Calculation of a term of imprisonment. 3586. Implementation of a sentence of imprisonment. SUBCHAPTER D - IMPRISONMENT -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in sections 3551, 3605, 3621 of this title. ------DocID 24861 Document 1103 of 1438------ -CITE- 18 USC Sec. 3581 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- Sec. 3581. Sentence of imprisonment -STATUTE- (a) In General. - A defendant who has been found guilty of an offense may be sentenced to a term of imprisonment. (b) Authorized Terms. - The authorized terms of imprisonment are - (1) for a Class A felony, the duration of the defendant's life or any period of time; (2) for a Class B felony, not more than twenty-five years; (3) for a Class C felony, not more than twelve years; (4) for a Class D felony, not more than six years; (5) for a Class E felony, not more than three years; (6) for a Class A misdemeanor, not more than one year; (7) for a Class B misdemeanor, not more than six months; (8) for a Class C misdemeanor, not more than thirty days; and (9) for an infraction, not more than five days. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1998.) -MISC1- 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3552, 5037 of this title; title 16 section 460n-8; title 28 section 2901. ------DocID 24862 Document 1104 of 1438------ -CITE- 18 USC Sec. 3582 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- Sec. 3582. Imposition of a sentence of imprisonment -STATUTE- (a) Factors To Be Considered in Imposing a Term of Imprisonment. - The court, in determining whether to impose a term of imprisonment, and, if a term of imprisonment is to be imposed, in determining the length of the term, shall consider the factors set forth in section 3553(a) to the extent that they are applicable, recognizing that imprisonment is not an appropriate means of promoting correction and rehabilitation. In determining whether to make a recommendation concerning the type of prison facility appropriate for the defendant, the court shall consider any pertinent policy statements issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(2). (b) Effect of Finality of Judgment. - Notwithstanding the fact that a sentence to imprisonment can subsequently be - (1) modified pursuant to the provisions of subsection (c); (2) corrected pursuant to the provisions of rule 35 of the Federal Rules of Criminal Procedure and section 3742; or (3) appealed and modified, if outside the guideline range, pursuant to the provisions of section 3742; a judgment of conviction that includes such a sentence constitutes a final judgment for all other purposes. (c) Modification of an Imposed Term of Imprisonment. - The court may not modify a term of imprisonment once it has been imposed except that - (1) in any case - (A) the court, upon motion of the Director of the Bureau of Prisons, may reduce the term of imprisonment, after considering the factors set forth in section 3553(a) to the extent that they are applicable, if it finds that extraordinary and compelling reasons warrant such a reduction and that such a reduction is consistent with applicable policy statements issued by the Sentencing Commission; and (B) the court may modify an imposed term of imprisonment to the extent otherwise expressly permitted by statute or by Rule 35 of the Federal Rules of Criminal Procedure; and (2) in the case of a defendant who has been sentenced to a term of imprisonment based on a sentencing range that has subsequently been lowered by the Sentencing Commission pursuant to 28 U.S.C. 994(o), upon motion of the defendant or the Director of the Bureau of Prisons, or on its own motion, the court may reduce the term of imprisonment, after considering the factors set forth in section 3553(a) to the extent that they are applicable, if such a reduction is consistent with applicable policy statements issued by the Sentencing Commission. (d) Inclusion of an Order To Limit Criminal Association of Organized Crime and Drug Offenders. - The court, in imposing a sentence to a term of imprisonment upon a defendant convicted of a felony set forth in chapter 95 (racketeering) or 96 (racketeer influenced and corrupt organizations) of this title or in the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 801 et seq.), or at any time thereafter upon motion by the Director of the Bureau of Prisons or a United States attorney, may include as a part of the sentence an order that requires that the defendant not associate or communicate with a specified person, other than his attorney, upon a showing of probable cause to believe that association or communication with such person is for the purpose of enabling the defendant to control, manage, direct, finance, or otherwise participate in an illegal enterprise. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1998, and amended Pub. L. 100-690, title VII, Sec. 7107, Nov. 18, 1988, 102 Stat. 4418; Pub. L. 101-647, title XXXV, Sec. 3588, Nov. 29, 1990, 104 Stat. 4930.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (b)(2), are set out in the Appendix to this title. The Comprehensive Drug Abuse Prevention and Control Act of 1970, referred to in subsec. (d), is Pub. L. 91-513, Oct. 27, 1970, 84 Stat. 1236, as amended, which is classified principally to chapter 13 (Sec. 801 et seq.) of Title 21, Food and Drugs. For complete classification of this Act to the Code, see Short Title note set out under section 801 of Title 21 and Tables. -MISC2- AMENDMENTS 1990 - Subsec. (b)(2). Pub. L. 101-647 inserted 'of the Federal Rules of Criminal Procedure' after 'rule 35'. 1988 - Subsec. (c)(2). Pub. L. 100-690 substituted '994(o)' for '994(n)'. 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 28 section 994. ------DocID 24863 Document 1105 of 1438------ -CITE- 18 USC Sec. 3583 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- Sec. 3583. Inclusion of a term of supervised release after imprisonment -STATUTE- (a) In General. - The court, in imposing a sentence to a term of imprisonment for a felony or a misdemeanor, may include as a part of the sentence a requirement that the defendant be placed on a term of supervised release after imprisonment, except that the court shall include as a part of the sentence a requirement that the defendant be placed on a term of supervised release if such a term is required by statute. (b) Authorized Terms of Supervised Release. - Except as otherwise provided, the authorized terms of supervised release are - (1) for a Class A or Class B felony, not more than five years; (2) for a Class C or Class D felony, not more than three years; and (3) for a Class E felony, or for a misdemeanor (other than a petty offense), not more than one year. (c) Factors To Be Considered in Including a Term of Supervised Release. - The court, in determining whether to include a term of supervised release, and, if a term of supervised release is to be included, in determining the length of the term and the conditions of supervised release, shall consider the factors set forth in section 3553(a)(1), (a)(2)(B), (a)(2)(C), (a)(2)(D), (a)(4), (a)(5), and (a)(6). (d) Conditions of Supervised Release. - The court shall order, as an explicit condition of supervised release, that the defendant not commit another Federal, State, or local crime during the term of supervision and that the defendant not possess illegal controlled substances. The court may order, as a further condition of supervised release, to the extent that such condition - (1) is reasonably related to the factors set forth in section 3553(a)(1), (a)(2)(B), (a)(2)(C), and (a)(2)(D); (2) involves no greater deprivation of liberty than is reasonably necessary for the purposes set forth in section 3553(a)(2)(B), (a)(2)(C), and (a)(2)(D); and (3) is consistent with any pertinent policy statements issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a); any condition set forth as a discretionary condition of probation in section 3563(b)(1) through (b)(10) and (b)(12) through (b)(20), and any other condition it considers to be appropriate. If an alien defendant is subject to deportation, the court may provide, as a condition of supervised release, that he be deported and remain outside the United States, and may order that he be delivered to a duly authorized immigration official for such deportation. (e) Modification of Conditions or Revocation. - The court may, after considering the factors set forth in section 3553(a)(1), (a)(2)(B), (a)(2)(C), (a)(2)(D), (a)(4), (a)(5), and (a)(6) - (1) terminate a term of supervised release and discharge the person released at any time after the expiration of one year of supervised release, pursuant to the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation, if it is satisfied that such action is warranted by the conduct of the person released and the interest of justice; (2) extend a term of supervised release if less than the maximum authorized term was previously imposed, and may modify, reduce, or enlarge the conditions of supervised release, at any time prior to the expiration or termination of the term of supervised release, pursuant to the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation and the provisions applicable to the initial setting of the terms and conditions of post-release supervision; (3) revoke a term of supervised release, and require the person to serve in prison all or part of the term of supervised release without credit for time previously served on postrelease supervision, if it finds by a preponderance of the evidence that the person violated a condition of supervised release, pursuant to the provisions of the Federal Rules of Criminal Procedure that are applicable to probation revocation and to the provisions of applicable policy statements issued by the Sentencing Commission, except that a person whose term is revoked under this paragraph may not be required to serve more than 3 years in prison if the offense for which the person was convicted was a Class B felony, or more than 2 years in prison if the offense was a Class C or D felony; or (4) order the person to remain at his place of residence during nonworking hours and, if the court so directs, to have compliance monitored by telephone or electronic signaling devices, except that an order under this paragraph may be imposed only as an alternative to incarceration. (f) Written Statement of Conditions. - The court shall direct that the probation officer provide the defendant with a written statement that sets forth all the conditions to which the term of supervised release is subject, and that is sufficiently clear and specific to serve as a guide for the defendant's conduct and for such supervision as is required. (g) Possession of Controlled Substances. - If the defendant is found by the court to be in the possession of a controlled substance, the court shall terminate the term of supervised release and require the defendant to serve in prison not less than one-third of the term of supervised release. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1999, and amended Pub. L. 99-570, title I, Sec. 1006(a)(1)-(3), Oct. 27, 1986, 100 Stat. 3207-6; Pub. L. 99-646, Sec. 14(a), Nov. 10, 1986, 100 Stat. 3594; Pub. L. 100-182, Sec. 8, 9, 12, 25, Dec. 7, 1987, 101 Stat. 1267, 1268, 1272; Pub. L. 100-690, title VII, Sec. 7108, 7303(b), 7305(b), Nov. 18, 1988, 102 Stat. 4418, 4464, 4465; Pub. L. 101-647, title XXXV, Sec. 3589, Nov. 29, 1990, 104 Stat. 4930.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (e)(1), (2), (3), are set out in the Appendix to this title. -MISC2- AMENDMENTS 1990 - Subsec. (d)(2). Pub. L. 101-647, Sec. 3589(1), inserted a comma after '3553(a)(2)(B)'. Subsec. (e)(2) to (5). Pub. L. 101-647, Sec. 3589(2)(A)-(C), struck out 'or' at end of par. (2), substituted '; or' for period at end of par. (3), and redesignated par. (5) as (4). 1988 - Subsec. (d). Pub. L. 100-690, Sec. 7303(b)(1), inserted 'and that the defendant not possess illegal controlled substances' before period at end of first sentence. Pub. L. 100-690, Sec. 7305(b)(1), substituted '(b)(20)' for '(b)(19)' in concluding provisions. Subsec. (d)(1). Pub. L. 100-690, Sec. 7108(a)(1), inserted '(a)(2)(C),' after '(a)(2)(B),'. Subsec. (d)(2). Pub. L. 100-690, Sec. 7108(a)(2), which directed that '(a)(2)(C),' be inserted after '(a)(2)(B),', was executed by inserting '(a)(2)(C),' after '(a)(2)(B)' as the probable intent of Congress, because no comma appeared after '(a)(2)(B)'. Subsec. (e). Pub. L. 100-690, Sec. 7108(b)(1), inserted '(a)(2)(C),' after '(a)(2)(B),' in introductory provisions. Subsec. (e)(2). Pub. L. 100-690, Sec. 7108(b)(2), inserted 'or' after 'supervision;'. Subsec. (e)(3). Pub. L. 100-690, Sec. 7305(b)(2)(A), which directed amendment of par. (3) by striking 'or' at the end could not be executed because of the intervening amendment by Pub. L. 100-690, Sec. 7108(b)(3), (4). See below. Pub. L. 100-690, Sec. 7108(b)(3), (4), redesignated par. (4) as (3) and struck out former par. (3) which read as follows: 'treat a violation of a condition of a term of supervised release as contempt of court pursuant to section 401(3) of this title; or'. Subsec. (e)(4). Pub. L. 100-690, Sec. 7305(b)(2)(B), which directed amendment of par. (4) by striking the period at the end and inserting '; or' could not be executed because subsec. (e) did not contain a par. (4) after the intervening amendment by Pub. L. 100-690, Sec. 7108(b)(4). See below. Pub. L. 100-690, Sec. 7108(b)(4), redesignated par. (4) as (3). Subsec. (e)(5). Pub. L. 100-690, Sec. 7305(b)(2)(C), added par. (5). Subsec. (g). Pub. L. 100-690, Sec. 7303(b)(2), added subsec. (g). 1987 - Subsec. (b)(1). Pub. L. 100-182, Sec. 8(1), substituted 'five years' for 'three years'. Subsec. (b)(2). Pub. L. 100-182, Sec. 8(2), substituted 'three years' for 'two years'. Subsec. (b)(3). Pub. L. 100-182, Sec. 8(3), inserted '(other than a petty offense)' after 'misdemeanor'. Subsec. (c). Pub. L. 100-182, Sec. 9, inserted '(a)(2)(C),'. Subsec. (e)(1). Pub. L. 100-182, Sec. 12(1), inserted 'pursuant to the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation,'. Subsec. (e)(2). Pub. L. 100-182, Sec. 12(2), struck out 'after a hearing,' before 'extend a term' and inserted 'the provisions of the Federal Rules of Criminal Procedure relating to the modification of probation and' after 'pursuant to'. Subsec. (e)(4). Pub. L. 100-182, Sec. 25, inserted ', except that a person whose term is revoked under this paragraph may not be required to serve more than 3 years in prison if the offense for which the person was convicted was a Class B felony, or more than 2 years in prison if the offense was a Class C or D felony' before 'Commission' at end. 1986 - Subsec. (a). Pub. L. 99-570, Sec. 1006(a)(1), inserted ', except that the court shall include as a part of the sentence a requirement that the defendant be placed on a term of supervised release if such a term is required by statute'. Subsec. (b). Pub. L. 99-570, Sec. 1006(a)(2), substituted 'Except as otherwise provided, the' for 'The'. Subsec. (e). Pub. L. 99-570, Sec. 1006(a)(3)(A), and Pub. L. 99-646, Sec. 14(a)(1), amended section catchline identically, substituting 'conditions or revocation' for 'term or conditions'. Subsec. (e)(1). Pub. L. 99-646, Sec. 14(a)(2), struck out 'previously ordered' before 'and discharge'. Subsec. (e)(4). Pub. L. 99-570, Sec. 224(a)(3)(B)-(D), added par. (4). EFFECTIVE DATE OF 1988 AMENDMENT Amendment by section 7303(b) of Pub. L. 100-690 applicable with respect to persons whose probation, supervised release, or parole begins after Dec. 31, 1988, see section 7303(d) of Pub. L. 100-690, set out as a note under section 3563 of this title. 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 14(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 3583 of title 18, United States Code (Nov. 1, 1987).' Section 1006(a)(4) of Pub. L. 99-570 provided that: 'The amendments made by this subsection (amending this section) shall take effect on the date of the taking effect of section 3583 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3601, 3663, 4101 of this title; title 28 section 994. ------DocID 24864 Document 1106 of 1438------ -CITE- 18 USC Sec. 3584 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- Sec. 3584. Multiple sentences of imprisonment -STATUTE- (a) Imposition of Concurrent or Consecutive Terms. - If multiple terms of imprisonment are imposed on a defendant at the same time, or if a term of imprisonment is imposed on a defendant who is already subject to an undischarged term of imprisonment, the terms may run concurrently or consecutively, except that the terms may not run consecutively for an attempt and for another offense that was the sole objective of the attempt. Multiple terms of imprisonment imposed at the same time run concurrently unless the court orders or the statute mandates that the terms are to run consecutively. Multiple terms of imprisonment imposed at different times run consecutively unless the court orders that the terms are to run concurrently. (b) Factors To Be Considered in Imposing Concurrent or Consecutive Terms. - The court, in determining whether the terms imposed are to be ordered to run concurrently or consecutively, shall consider, as to each offense for which a term of imprisonment is being imposed, the factors set forth in section 3553(a). (c) Treatment of Multiple Sentence as an Aggregate. - Multiple terms of imprisonment ordered to run consecutively or concurrently shall be treated for administrative purposes as a single, aggregate term of imprisonment. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2000.) -MISC1- 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. ------DocID 24865 Document 1107 of 1438------ -CITE- 18 USC Sec. 3585 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- Sec. 3585. Calculation of a term of imprisonment -STATUTE- (a) Commencement of Sentence. - A sentence to a term of imprisonment commences on the date the defendant is received in custody awaiting transportation to, or arrives voluntarily to commence service of sentence at, the official detention facility at which the sentence is to be served. (b) Credit for Prior Custody. - A defendant shall be given credit toward the service of a term of imprisonment for any time he has spent in official detention prior to the date the sentence commences - (1) as a result of the offense for which the sentence was imposed; or (2) as a result of any other charge for which the defendant was arrested after the commission of the offense for which the sentence was imposed; that has not been credited against another sentence. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2001.) -MISC1- 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. ------DocID 24866 Document 1108 of 1438------ -CITE- 18 USC Sec. 3586 -EXPCITE- TITLE 18 PART II CHAPTER 227 SUBCHAPTER D -HEAD- Sec. 3586. Implementation of a sentence of imprisonment -STATUTE- The implementation of a sentence of imprisonment is governed by the provisions of subchapter C of chapter 229 and, if the sentence includes a term of supervised release, by the provisions of subchapter A of chapter 229. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2001.) -MISC1- 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. ------DocID 24867 Document 1109 of 1438------ -CITE- 18 USC (CHAPTER 227 -EXPCITE- TITLE 18 PART II (CHAPTER 227 -HEAD- (CHAPTER 227 - REPEALED) (FOOTNOTE 1) -MISC1- (FOOTNOTE 1) Another chapter 227 'SENTENCES' (Sec. 3551 to 3586) became effective Nov. 1, 1987, and is set out preceding this chapter. ------DocID 24868 Document 1110 of 1438------ -CITE- 18 USC Sec. 3561 to 3580 -EXPCITE- TITLE 18 PART II (CHAPTER 227 -HEAD- (Sec. 3561 to 3580. Repealed or Renumbered. Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 1987) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Pub. L. 98-473, title II, Sec. 212(a)(1), (2), 235(a)(1), Oct. 12, 1984, 98 Stat. 1987, 2031, as amended, enacted a new chapter 227 (Sec. 3551 to 3586) and repealed this chapter 227 (except sections 3577 to 3580 which were renumbered sections 3661 to 3664, respectively), effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. New chapter 227 is set out preceding this chapter. Section 235 of Pub. L. 98-473, as amended, relating to effective dates, is set out as an Effective Date note under section 3551 of this title. Prior to repeal, the provisions of this chapter read as follows: Sec. 3561. Judgment form and entry - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Judgment to be signed by judge and entered by clerk, Rule 32(b). (June 25, 1948, ch. 645, 62 Stat. 837.) Sec. 3562. Sentence - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Imposition of sentence; commitment; bail; presentence investigation and report, Rule 32(a, c). (June 25, 1948, ch. 645, 62 Stat. 837.) Sec. 3563. Corruption of blood or forfeiture of estate No conviction or judgment shall work corruption of blood or any forfeiture of estate. (June 25, 1948, ch. 645, 62 Stat. 837.) Sec. 3564. Pillory and whipping The punishment of whipping and of standing in the pillory shall not be inflicted. (June 25, 1948, ch. 645, 62 Stat. 837.) Sec. 3565. Collection and payment of fines and penalties (a)(1) Except as provided in paragraph (2) of this subsection, in all criminal cases in which judgment or sentence is rendered, imposing the payment of a fine or penalty, whether alone or with any other kind of punishment, such judgment, so far as the fine or penalty is concerned, may be enforced by execution against the property of the defendant in like manner as judgments in civil cases. If the court finds by a preponderance of the information relied upon in imposing sentence that the defendant has the present ability to pay a fine or penalty, the judgment may direct imprisonment until the fine or penalty is paid, and the issue of execution on the judgment shall not discharge the defendant from imprisonment until the amount of the judgment is paid. (2) A judgment imposing the payment of a fine or penalty shall, upon the filing of notice of lien in the manner in which a notice of tax lien would be filed under section 6323(f) of the Internal Revenue Code of 1986, be a lien in favor of the United States upon all property and rights of property belonging to the defendant, except with respect to properties or transactions specified in subsections (b), (c) or (d) of section 6323 of the Internal Revenue Code of 1986 for which a notice of tax lien properly filed on the same date would not be valid and except with respect to property that would be exempt from levy for taxes under section 6334(a) of the Code. Such lien shall be valid against any subsequent purchaser, holder of a security interest, mechanic's lienor or judgment creditor. A writ of execution may be issued with respect to any property or rights to property subject to such lien. (3) Such lien is valid against property referred to in paragraph (2) of this subsection if, but for such paragraph, applicable law would permit enforcement of the lien. (4) The effect of any execution, whether by attachment, garnishment, levy or other means, on salary, wages or other income payable to or receivable by a defendant shall be continuous from the date such execution is first made until the liability for the fine or penalty to which the execution relates is satisfied, the liability ceases to exist or becomes unenforceable, or the execution is released. Salaries, wages and other income shall be exempt from execution only to the extent of the exemptions from levy for taxes provided in section 6334(d) of the Internal Revenue Code of 1986. (5) For the purposes of any State or local law providing for the filing of a notice of a tax lien, a notice of lien for a judgment imposing the payment of a fine or penalty shall be considered a notice of lien for taxes payable to the United States. If such notice is not accepted for filing, the registration, recording, docketing, or indexing, of the judgment imposing payment of a fine or penalty in accordance with section 1962 of title 28, United States Code shall be considered for all purposes as the filing prescribed by this subsection. (b)(1) A judgment imposing the payment of a fine or penalty shall - (A) provide for immediate payment unless, in the interest of justice, the court specifies payment on a date certain or in installments; (B) include the name and address of the defendant, the docket number of the case, the amount of the fine, and the schedule of payments (if other than immediate payment is specified); and (C) if other than immediate payment is specified, require the defendant to notify the appropriate United States Attorney of any change in the name or address of the defendant. (2) If the judgment specifies other than immediate payment of a fine or penalty, the period provided for payment shall not exceed five years, excluding any period served by the defendant as imprisonment for the offense. The defendant shall pay interest on any amount payment of which is deferred under this paragraph. The interest shall be computed on the unpaid balance at the rate of 1.5 percent per month for each full calendar month for which such amount is unpaid. (3) If the judgment specifies other than immediate payment of a fine or penalty, and the defendant does not pay an amount due, at the discretion of the Attorney General, the entire unpaid balance shall be payable immediately. (c)(1) The defendant shall pay interest on any amount of a fine or penalty (other than a penalty under paragraph (2) of this subsection) that is past due. The interest shall be computed on the unpaid balance at the rate of 1.5 percent per month. (2) If an amount owed by a defendant as a fine or penalty is past due for more than 90 days, the defendant shall pay, in addition to any amount otherwise payable, a penalty equal to 25 percent of the amount past due. (d)(1) Except as provided in paragraph (2) of this subsection, the defendant shall pay to the Attorney General any amount due as a fine or penalty. (2) The Attorney General and the Director of the Administrative Office of the United States Courts may jointly provide by regulation that fines and penalties for specified categories of offenses shall be paid to the clerk of the court. (e) If a fine or penalty exceeds $500, the clerk of the court shall furnish to the Attorney General a certified copy of the judgment. (f) If a fine or penalty is imposed on an organization, it is the duty of each individual authorized to make disbursements for the organization to make payment from assets of the organization. If a fine or penalty is imposed on a director, officer, employee, or agent of an organization, payment shall not be made, directly or indirectly, from assets of the organization, unless the court finds that such payment is expressly permissible under applicable State law. (g) When a fine or penalty is satisfied as provided by law, the Attorney General shall file with the court a notice of satisfaction of judgment if the defendant makes a written request to the Attorney General for such filing, or if the amount of the fine or penalty exceeds $500. Upon request of the defendant, the clerk shall furnish to the defendant a certified copy of the notice. (h) The obligation to pay a fine or penalty ceases upon the death of the defendant or the expiration of twenty years after the date of the entry of the judgment, whichever occurs earlier. The defendant and the Attorney General may agree in writing to extend such twenty-year period. (June 25, 1948, ch. 645, 62 Stat. 837; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 235(a)(1), 238(g)(1), (i), 98 Stat. 2031, 2039; Oct. 30, 1984, Pub. L. 98-596, Sec. 2, 12(a)(7)(A), (9), (b), 98 Stat. 3134, 3139, 3140; Oct. 22, 1986, Pub. L. 99-514, Sec. 2, 100 Stat. 2095.) -COD- CODIFICATION Pub. L. 98-473, Sec. 235(a)(1), 238(g)(1), (i), and Pub. L. 98-596, Sec. 12(a)(7)(A), (9), (b), affected this section as follows: Section 238(g)(1) of Pub. L. 98-473 repealed this section effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(7)(A) of Pub. L. 98-596 reenacted section 3565 to read as it had before repeal by Pub. L. 98-473, applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. The cumulative effect of the amendments resulted in no change in this section. Sec. 3566. Execution of death sentence The manner of inflicting the punishment of death shall be that prescribed by the laws of the place within which the sentence is imposed. The United States marshal charged with the execution of the sentence may use available local facilities and the services of an appropriate local official or employ some other person for such purpose, and pay the cost thereof in an amount approved by the Attorney General. If the laws of the place within which sentence is imposed make no provision for the infliction of the penalty of death, then the court shall designate some other place in which such sentence shall be executed in the manner prescribed by the laws thereof. (June 25, 1948, ch. 645, 62 Stat. 837.) Sec. 3567. Death sentence may prescribe dissection The court before which any person is convicted of murder in the first degree, or rape, may, in its discretion, add to the judgment of death, that the body of the offender be delivered to a surgeon for dissection; and the marshal who executes such judgment shall deliver the body, after execution, to such surgeon as the court may direct; and such surgeon, or some person appointed by him, shall receive and take away the body at the time of execution. (June 25, 1948, ch. 645, 62 Stat. 838.) Sec. 3568. Effective date of sentence; credit for time in custody prior to the imposition of sentence The sentence of imprisonment of any person convicted of an offense shall commence to run from the date on which such person is received at the penitentiary, reformatory, or jail for service of such sentence. The Attorney General shall give any such person credit toward service of his sentence for any days spent in custody in connection with the offense or acts for which sentence was imposed. As used in this section, the term 'offense' means any criminal offense, other than an offense triable by court-martial, military commission, provost court, or other military tribunal, which is in violation of an Act of Congress and is triable in any court established by Act of Congress. If any such person shall be committed to a jail or other place of detention to await transportation to the place at which his sentence is to be served, his sentence shall commence to run from the date on which he is received at such jail or other place of detention. No sentence shall prescribe any other method of computing the term. (June 25, 1948, ch. 645, 62 Stat. 838; Sept. 2, 1960, Pub. L. 86-691, Sec. 1(a), 74 Stat. 738; June 22, 1966, Pub. L. 89-465, Sec. 4, 80 Stat. 217.) Sec. 3569. Discharge of indigent prisoner When a poor convict, sentenced for violation of any law of the United States by any court established by enactment of Congress, to be imprisoned and pay a fine, or fine and costs, or to pay a fine, or fine and costs, has been confined in prison, solely for the nonpayment of such fine, or fine and costs, such convict may make application in writing to the nearest United States magistrate in the district where he is imprisoned setting forth his inability to pay such fine, or fine and costs, and after notice to the district attorney of the United States, who may appear, offer evidence, and be heard, the magistrate shall proceed to hear and determine the matter. If on examination it shall appear to him that such convict is unable to pay such fine, or fine and costs, and that he has not any property exceeding $20 in value, except such as is by law exempt from being taken on execution for debt, the magistrate shall administer to him the following oath: 'I do solemnly swear that I have not any property, real or personal, exceeding $20, except such as is by law exempt from being taken on civil process for debt; and that I have no property in any way conveyed or concealed, or in any way disposed of, for my future use or benefit. So help me God.' Upon taking such oath such convict shall be discharged; and the magistrate shall file with the institution in which the convict is confined, a certificate setting forth the facts. In case the convict is found by the magistrate to possess property valued at an amount in excess of said exemption, nevertheless, if the Attorney General finds that the retention by such convict of all of such property is reasonably necessary for his support or that of his family, such convict shall be released without further imprisonment solely for the nonpayment of such fine, or fine and costs; or if he finds that the retention by such convict of any part of such property is reasonably necessary for his support or that of his family, such convict shall be released without further imprisonment solely for nonpayment of such fine or fine and costs upon payment on account of his fine and costs, of that portion of his property in excess of the amount found to be reasonably necessary for his support or that of his family. (June 25, 1948, ch. 645, 62 Stat. 838; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(1), (3), 82 Stat. 1115; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 235(a)(1), 238(h), (i), 98 Stat. 2031, 2039; Oct. 30, 1984, Pub. L. 98-596, Sec. 3, 12(a)(8), (9), (b), 98 Stat. 3136, 3139, 3140.) CODIFICATION Pub. L. 98-473, Sec. 235(a)(1), 238(h), (i), and Pub. L. 98-596, Sec. 12(a)(8), (9), (b), affected this section as follows: Section 238(h) of Pub. L. 98-473 struck out subsec. (b) and the subsec. '(a)' designation effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(8) of Pub. L. 98-596 amended this section to read as it had before amendment by Pub. L. 98-473, applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. The cumulative effect of the amendments resulted in no change in this section. Sec. 3570. Presidential remission as affecting unremitted part Whenever, by the judgment of any court or judicial officer of the United States, in any criminal proceeding, any person is sentenced to two kinds of punishment, the one pecuniary and the other corporal, the President's remission in whole or in part of either kind shall not impair the legal validity of the other kind, or of any portion of either kind, not remitted. (June 25, 1948, ch. 645, 62 Stat. 839.) Sec. 3571. Clerical mistakes - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Court empowered to correct clerical mistakes in judgments, orders, or record, Rule 36. (June 25, 1948, ch. 645, 62 Stat. 839.) Sec. 3572. Correction or reduction of sentence - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Court empowered to correct or reduce sentence; time; Rule 35. (June 25, 1948, ch. 645, 62 Stat. 839.) Sec. 3573. Arrest or setting aside of judgment - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Arrest of judgment, grounds and motion, time, Rule 34. Setting aside judgment and permitting withdrawal of plea of guilty, Rule 32(d). (June 25, 1948, ch. 645, 62 Stat. 839.) Sec. 3574. Stay of execution; supersedeas - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Death or imprisonment sentence, fines stayed on appeal; conditions and power of court, Rule 38(a). (June 25, 1948, ch. 645, 62 Stat. 839.) Sec. 3575. Increased sentence for dangerous special offenders (a) Whenever an attorney charged with the prosecution of a defendant in a court of the United States for an alleged felony committed when the defendant was over the age of twenty-one years has reason to believe that the defendant is a dangerous special offender such attorney, a reasonable time before trial or acceptance by the court of a plea of guilty or nolo contendere, may sign and file with the court, and may amend, a notice (1) specifying that the defendant is a dangerous special offender who upon conviction for such felony is subject to the imposition of a sentence under subsection (b) of this section, and (2) setting out with particularity the reasons why such attorney believes the defendant to be a dangerous special offender. In no case shall the fact that the defendant is alleged to be a dangerous special offender be an issue upon the trial of such felony, be disclosed to the jury, or be disclosed before any plea of guilty or nolo contendere or verdict or finding of guilty to the presiding judge without the consent of the parties. If the court finds that the filing of the notice as a public record may prejudice fair consideration of a pending criminal matter, it may order the notice sealed and the notice shall not be subject to subpena or public inspection during the pendency of such criminal matter, except on order of the court, but shall be subject to inspection by the defendant alleged to be a dangerous special offender and his counsel. (b) Upon any plea of guilty or nolo contendere or verdict or finding of guilty of the defendant of such felony, a hearing shall be held before sentence is imposed, by the court sitting without a jury. The court shall fix a time for the hearing, and notice thereof shall be given to the defendant and the United States at least ten days prior thereto. The court shall permit the United States and counsel for the defendant, or the defendant if he is not represented by counsel, to inspect the presentence report sufficiently prior to the hearing as to afford a reasonable opportunity for verification. In extraordinary cases, the court may withhold material not relevant to a proper sentence, diagnostic opinion which might seriously disrupt a program of rehabilitation, any source of information obtained on a promise of confidentiality, and material previously disclosed in open court. A court withholding all or part of a presentence report shall inform the parties of its action and place in the record the reasons therefor. The court may require parties inspecting all or part of a presentence report to give notice of any part thereof intended to be controverted. In connection with the hearing, the defendant and the United States shall be entitled to assistance of counsel, compulsory process, and cross-examination of such witnesses as appear at the hearing. A duly authenticated copy of a former judgment or commitment shall be prima facie evidence of such former judgment or commitment. If it appears by a preponderance of the information, including information submitted during the trial of such felony and the sentencing hearing and so much of the presentence report as the court relies upon, that the defendant is a dangerous special offender, the court shall sentence the defendant to imprisonment for an appropriate term not to exceed twenty-five years and not disproportionate in severity to the maximum term otherwise authorized by law for such felony. Otherwise it shall sentence the defendant in accordance with the law prescribing penalties for such felony. The court shall place in the record its findings, including an identification of the information relied upon in making such findings, and its reasons for the sentence imposed. (c) This section shall not prevent the imposition and execution of a sentence of death or of imprisonment for life or for a term exceeding twenty-five years upon any person convicted of an offense so punishable. (d) Notwithstanding any other provision of this section, the court shall not sentence a dangerous special offender to less than any mandatory minimum penalty prescribed by law for such felony. This section shall not be construed as creating any mandatory minimum penalty. (e) A defendant is a special offender for purposes of this section if - (1) the defendant has previously been convicted in courts of the United States, a State, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof for two or more offenses committed on occasions different from one another and from such felony and punishable in such courts by death or imprisonment in excess of one year, for one or more of such convictions the defendant has been imprisoned prior to the commission of such felony, and less than five years have elapsed between the commission of such felony and either the defendant's release, on parole or otherwise, from imprisonment for one such conviction or his commission of the last such previous offense or another offense punishable by death or imprisonment in excess of one year under applicable laws of the United States, a State, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency or instrumentality thereof; or (2) the defendant committed such felony as part of a pattern of conduct which was criminal under applicable laws of any jurisdiction, which constituted a substantial source of his income, and in which he manifested special skill or expertise; or (3) such felony was, or the defendant committed such felony in furtherance of, a conspiracy with three or more other persons to engage in a pattern of conduct criminal under applicable laws of any jurisdiction, and the defendant did, or agreed that he would, initiate, organize, plan, finance, direct, manage, or supervise all or part of such conspiracy or conduct, or give or receive a bribe or use force as all or part of such conduct. A conviction shown on direct or collateral review or at the hearing to be invalid or for which the defendant has been pardoned on the ground of innocence shall be disregarded for purposes of paragraph (1) of this subsection. In support of findings under paragraph (2) of this subsection, it may be shown that the defendant has had in his own name or under his control income or property not explained as derived from a source other than such conduct. For purposes of paragraph (2) of this subsection, a substantial source of income means a source of income which for any period of one year or more exceeds the minimum wage, determined on the basis of a forty-hour week and a fifty-week year, without reference to exceptions, under section 6(a)(1) of the Fair Labor Standards Act of 1938 (52 Stat. 1602, as amended 80 Stat. 838), and as hereafter amended, for an employee engaged in commerce or in the production of goods for commerce, and which for the same period exceeds fifty percent of the defendant's declared adjusted gross income under section 62 of the Internal Revenue Act of 1954 (68A Stat. 17, as amended 83 Stat. 655), and as hereafter amended. For purposes of paragraph (2) of this subsection, special skill or expertise in criminal conduct includes unusual knowledge, judgment or ability, including manual dexterity, facilitating the initiation, organizing, planning, financing, direction, management, supervision, execution or concealment of criminal conduct, the enlistment of accomplices in such conduct, the escape from detection or apprehension for such conduct, or the disposition of the fruits or proceeds of such conduct. For purposes of paragraphs (2) and (3) of this subsection, criminal conduct forms a pattern if it embraces criminal acts that have the same or similar purposes, results, participants, victims, or methods of commission, or otherwise are interrelated by distinguishing characteristics and are not isolated events. (f) A defendant is dangerous for purposes of this section if a period of confinement longer than that provided for such felony is required for the protection of the public from further criminal conduct by the defendant. (g) The time for taking an appeal from a conviction for which sentence is imposed after proceedings under this section shall be measured from imposition of the original sentence. (Added Pub. L. 91-452, title X, Sec. 1001(a), Oct. 15, 1970, 84 Stat. 948.) Sec. 3576. Review of sentence With respect to the imposition, correction, or reduction of a sentence after proceedings under section 3575 of this chapter, a review of the sentence on the record of the sentencing court may be taken by the defendant or the United States to a court of appeals. Any review of the sentence taken by the United States shall be taken at least five days before expiration of the time for taking a review of the sentence or appeal of the conviction by the defendant and shall be diligently prosecuted. The sentencing court may, with or without motion and notice, extend the time for taking a review of the sentence for a period not to exceed thirty days from the expiration of the time otherwise prescribed by law. The court shall not extend the time for taking a review of the sentence by the United States after the time has expired. A court extending the time for taking a review of the sentence by the United States shall extend the time for taking a review of the sentence or appeal of the conviction by the defendant for the same period. The taking of a review of the sentence by the United States shall be deemed the taking of a review of the sentence and an appeal of the conviction by the defendant. Review of the sentence shall include review of whether the procedure employed was lawful, the findings made were clearly erroneous, or the sentencing court's discretion was abused. The court of appeals on review of the sentence may, after considering the record, including the entire presentence report, information submitted during the trial of such felony and the sentencing hearing, and the findings and reasons of the sentencing court, affirm the sentence, impose or direct the imposition of any sentence which the sentencing court could originally have imposed, or remand for further sentencing proceedings and imposition of sentence, except that a sentence may be made more severe only on review of the sentence taken by the United States and after hearing. Failure of the United States to take a review of the imposition of the sentence shall, upon review taken by the United States of the correction or reduction of the sentence, foreclose imposition of a sentence more severe than that previously imposed. Any withdrawal or dismissal of review of the sentence taken by the United States shall foreclose imposition of a sentence more severe than that reviewed but shall not otherwise foreclose the review of the sentence or the appeal of the conviction. The court of appeals shall state in writing the reasons for its disposition of the review of the sentence. Any review of the sentence taken by the United States may be dismissed on a showing of abuse of the right of the United States to take such review. (Added Pub. L. 91-452, title X, Sec. 1001(a), Oct. 15, 1970, 84 Stat. 950.) Sec. 3577. Use of information for sentencing No limitation shall be placed on the information concerning the background, character, and conduct of a person convicted of an offense which a court of the United States may receive and consider for the purpose of imposing an appropriate sentence. (Added Pub. L. 91-452, title X, Sec. 1001(a), Oct. 15, 1970, 84 Stat. 951.) Sec. 3578. Conviction records (a) The Attorney General of the United States is authorized to establish in the Department of Justice a repository for records of convictions and determinations of the validity of such convictions. (b) Upon the conviction thereafter of a defendant in a court of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof for an offense punishable in such court by death or imprisonment in excess of one year, or a judicial determination of the validity of such conviction on collateral review, the court shall cause a certified record of the conviction or determination to be made to the repository in such form and containing such information as the Attorney General of the United States shall by regulation prescribe. (c) Records maintained in the repository shall not be public records. Certified copies thereof - (1) may be furnished for law enforcement purposes on request of a court or law enforcement or corrections officer of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof; (2) may be furnished for law enforcement purposes on request of a court or law enforcement or corrections officer of a State, any political subdivision, or any department, agency, or instrumentality thereof, if a statute of such State requires that, upon the conviction of a defendant in a court of the State or any political subdivision thereof for an offense punishable in such court by death or imprisonment in excess of one year, or a judicial determination of the validity of such conviction on collateral review, the court cause a certified record of the conviction or determination to be made to the repository in such form and containing such information as the Attorney General of the United States shall by regulation prescribe; and (3) shall be prima facie evidence in any court of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof, that the convictions occurred and whether they have been judicially determined to be invalid on collateral review. (d) The Attorney General of the United States shall give reasonable public notice, and afford to interested parties opportunity for hearing, prior to prescribing regulations under this section. (Added Pub. L. 91-452, title X, Sec. 1001(a), Oct. 15, 1970, 84 Stat. 951.) Sec. 3579. Order of restitution (a)(1) The court, when sentencing a defendant convicted of an offense under this title or under subsection (h), (i), (j), or (n) of section 902 of the Federal Aviation Act of 1958 (49 U.S.C. 1472), may order, in addition to or in lieu of any other penalty authorized by law, that the defendant make restitution to any victim of such offense. (2) If the court does not order restitution, or orders only partial restitution, under this section, the court shall state on the record the reasons therefor. (b) The order may require that such defendant - (1) in the case of an offense resulting in damage to or loss or destruction of property of a victim of the offense - (A) return the property to the owner of the property or someone designated by the owner; or (B) if return of the property under subparagraph (A) is impossible, impractical, or inadequate, pay an amount equal to the greater of - (i) the value of the property on the date of the damage, loss, or destruction, or (ii) the value of the property on the date of sentencing, less the value (as of the date the property is returned) of any part of the property that is returned; (2) in the case of an offense resulting in bodily injury to a victim - (A) pay an amount equal to the cost of necessary medical and related professional services and devices relating to physical, psychiatric, and psychological care, including nonmedical care and treatment rendered in accordance with a method of healing recognized by the law of the place of treatment; (B) pay an amount equal to the cost of necessary physical and occupational therapy and rehabilitation; and (C) reimburse the victim for income lost by such victim as a result of such offense; (3) in the case of an offense resulting in bodily injury also results in the death of a victim, pay an amount equal to the cost of necessary funeral and related services; and (4) in any case, if the victim (or if the victim is deceased, the victim's estate) consents, make restitution in services in lieu of money, or make restitution to a person or organization designated by the victim or the estate. (c) If the court decides to order restitution under this section, the court shall, if the victim is deceased, order that the restitution be made to the victim's estate. (d) To the extent that the court determines that the complication and prolongation of the sentencing process resulting from the fashioning of an order of restitution under this section outweighs the need to provide restitution to any victims, the court may decline to make such an order. (e)(1) The court shall not impose restitution with respect to a loss for which the victim has received or is to receive compensation, except that the court may, in the interest of justice, order restitution to any person who has compensated the victim for such loss to the extent that such person paid the compensation. An order of restitution shall require that all restitution to victims under such order be made before any restitution to any other person under such order is made. (2) Any amount paid to a victim under an order of restitution shall be set off against any amount later recovered as compensatory damages by such victim in - (A) any Federal civil proceeding; and (B) any State civil proceeding, to the extent provided by the law of that State. (f)(1) The court may require that such defendant make restitution under this section within a specified period or in specified installments. (2) The end of such period or the last such installment shall not be later than - (A) the end of the period of probation, if probation is ordered; (B) five years after the end of the term of imprisonment imposed, if the court does not order probation; and (C) five years after the date of sentencing in any other case. (3) If not otherwise provided by the court under this subsection, restitution shall be made immediately. (4) The order of restitution shall require the defendant to make restitution directly to the victim or other person eligible under this section, or to deliver the amount or property due as restitution to the Attorney General for transfer to such victim or person. (g) If such defendant is placed on probation or paroled under this title, any restitution ordered under this section shall be a condition of such probation or parole. The court may revoke probation and the Parole Commission may revoke parole if the defendant fails to comply with such order. In determining whether to revoke probation or parole, the court or Parole Commission shall consider the defendant's employment status, earning ability, financial resources, the willfulness of the defendant's failure to pay, and any other special circumstances that may have a bearing on the defendant's ability to pay. (h) An order of restitution may be enforced by the United States in the manner provided for the collection of fines and penalties by section 3565 or by a victim named in the order to receive the restitution in the same manner as a judgment in a civil action. (Added Pub. L. 97-291, Sec. 5(a), Oct. 12, 1982, 96 Stat. 1253, and amended Pub. L. 98-596, Sec. 9, Oct. 30, 1984, 98 Stat. 3138; Pub. L. 99-646, Sec. 77(a), 78(a), 79(a), Nov. 10, 1986, 100 Stat. 3618, 3619.) Sec. 3580. Procedure for issuing order of restitution (a) The court, in determining whether to order restitution under section 3579 of this title and the amount of such restitution, shall consider the amount of the loss sustained by any victim as a result of the offense, the financial resources of the defendant, the financial needs and earning ability of the defendant and the defendant's dependents, and such other factors as the court deems appropriate. (b) The court may order the probation service of the court to obtain information pertaining to the factors set forth in subsection (a) of this section. The probation service of the court shall include the information collected in the report of presentence investigation or in a separate report, as the court directs. (c) The court shall disclose to both the defendant and the attorney for the Government all portions of the presentence or other report pertaining to the matters described in subsection (a) of this section. (d) Any dispute as to the proper amount or type of restitution shall be resolved by the court by the preponderance of the evidence. The burden of demonstrating the amount of the loss sustained by a victim as a result of the offense shall be on the attorney for the Government. The burden of demonstrating the financial resources of the defendant and the financial needs of the defendant and such defendant's dependents shall be on the defendant. The burden of demonstrating such other matters as the court deems appropriate shall be upon the party designated by the court as justice requires. (e) A conviction of a defendant for an offense involving the act giving rise to restitution under this section shall estop the defendant from denying the essential allegations of that offense in any subsequent Federal civil proceeding or State civil proceeding, to the extent consistent with State law, brought by the victim. (Added Pub. L. 97-291, Sec. 5(a), Oct. 12, 1982, 96 Stat. 1255.) ------DocID 24869 Document 1111 of 1438------ -CITE- 18 USC (CHAPTER 228 -EXPCITE- TITLE 18 PART II (CHAPTER 228 -HEAD- (CHAPTER 228 - REPEALED) ------DocID 24870 Document 1112 of 1438------ -CITE- 18 USC Sec. 3591 to 3599 -EXPCITE- TITLE 18 PART II (CHAPTER 228 -HEAD- (Sec. 3591 to 3599. Repealed. Pub. L. 98-596, Sec. 12(a)(1), Oct. 30, 1984, 98 Stat. 3139) -MISC1- This chapter (Sec. 3591 to 3599) was added by Pub. L. 98-473, title II, Sec. 238(a), Oct. 12, 1984, 98 Stat. 2034, effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(1) of Pub. L. 98-596 repealed this chapter applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. See sections 3565 and 3621 to 3623 of this title. Section 3591 provided for imposition of fines. Section 3592 provided for payment, deliquency, and default of fines. Section 3593 provided for modification or remission of fines. Section 3594 required clerks to forward fine payments to the United States Treasury and to notify the Attorney General of receipt and sentencing courts to certify to the Attorney General the imposition of and changes in fines. Section 3595 provided for interest and monetary penalties for delinquency and default of fines. Section 3596 provided civil remedies for satisfaction of unpaid fines. Section 3597 authorized resentencing a person upon the failure to pay a fine. Section 3598 established a statute of limitations on the liability to pay fines. Section 3599 established penalties for the willful failure to pay fines. ------DocID 24871 Document 1113 of 1438------ -CITE- 18 USC CHAPTER 229 -EXPCITE- TITLE 18 PART II CHAPTER 229 -HEAD- CHAPTER 229 - POSTSENTENCE ADMINISTRATION (FOOTNOTE 1) -MISC1- (FOOTNOTE 1) A prior chapter 229 'FINES, PENALTIES AND FORFEITURES' (Sec. 3611 to 3624) was repealed, effective Nov. 1, 1987. For applicability to offenses committed before such date, see chapter 229, set out as a note following this chapter. Subchapter Sec. (FOOTNOTE 2) (FOOTNOTE 2) Editorially supplied. A. Probation 3601 B. Fines 3611 C. Imprisonment 3621 -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 3558, 3673 of this title. ------DocID 24872 Document 1114 of 1438------ -CITE- 18 USC SUBCHAPTER A -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- SUBCHAPTER A - PROBATION -MISC1- Sec. 3601. Supervision of probation. 3602. Appointment of probation officers. 3603. Duties of probation officers. 3604. Transportation of a probationer. 3605. Transfer of jurisdiction over a probationer. 3606. Arrest and return of a probationer. 3607. Special probation and expungement procedures for drug possessors. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3590, Nov. 29, 1990, 104 Stat. 4930, substituted 'possessors' for 'possessor' in item 3607. SUBCHAPTER A - PROBATION -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in sections 3566, 3586 of this title. ------DocID 24873 Document 1115 of 1438------ -CITE- 18 USC Sec. 3601 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3601. Supervision of probation -STATUTE- A person who has been sentenced to probation pursuant to the provisions of subchapter B of chapter 227, or placed on probation pursuant to the provisions of chapter 403, or placed on supervised release pursuant to the provisions of section 3583, shall, during the term imposed, be supervised by a probation officer to the degree warranted by the conditions specified by the sentencing court. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2001.) -MISC1- 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. ------DocID 24874 Document 1116 of 1438------ -CITE- 18 USC Sec. 3602 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3602. Appointment of probation officers -STATUTE- (a) Appointment. - A district court of the United States shall appoint qualified persons to serve, with or without compensation, as probation officers within the jurisdiction and under the direction of the court making the appointment. The court may, for cause, remove a probation officer appointed to serve with compensation, and may, in its discretion, remove a probation officer appointed to serve without compensation. (b) Record of Appointment. - The order of appointment shall be entered on the records of the court, a copy of the order shall be delivered to the officer appointed, and a copy shall be sent to the Director of the Administrative Office of the United States Courts. (c) Chief Probation Officer. - If the court appoints more than one probation officer, one may be designated by the court as chief probation officer and shall direct the work of all probation officers serving in the judicial district. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2001.) -MISC1- 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. ------DocID 24875 Document 1117 of 1438------ -CITE- 18 USC Sec. 3603 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3603. Duties of probation officers -STATUTE- A probation officer shall - (1) instruct a probationer or a person on supervised release, who is under his supervision, as to the conditions specified by the sentencing court, and provide him with a written statement clearly setting forth all such conditions; (2) keep informed, to the degree required by the conditions specified by the sentencing court, as to the conduct and condition of a probationer or a person on supervised release, who is under his supervision, and report his conduct and condition to the sentencing court; (3) use all suitable methods, not inconsistent with the conditions specified by the court, to aid a probationer or a person on supervised release who is under his supervision, and to bring about improvements in his conduct and condition; (4) be responsible for the supervision of any probationer or a person on supervised release who is known to be within the judicial district; (5) keep a record of his work, and make such reports to the Director of the Administrative Office of the United States Courts as the Director may require; (6) upon request of the Attorney General or his designee, assist in the supervision of and furnish information about, a person within the custody of the Attorney General while on work release, furlough, or other authorized release from his regular place of confinement, or while in prerelease custody pursuant to the provisions of section 3624(c); (7) keep informed concerning the conduct, condition, and compliance with any condition of probation, including the payment of a fine or restitution of each probationer under his supervision and report thereon to the court placing such person on probation and report to the court any failure of a probationer under his supervision to pay a fine in default within thirty days after notification that it is in default so that the court may determine whether probation should be revoked; and (8) perform any other duty that the court may designate. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2002, and amended Pub. L. 99-646, Sec. 15(a), Nov. 10, 1986, 100 Stat. 3595.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-646 redesignated pars. (a) to (h) as (1) to (8), respectively, and in par. (6) substituted 'assist in the supervision of' for 'supervise' and inserted a comma after 'about'. EFFECTIVE DATE OF 1986 AMENDMENT Section 15(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 3603 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. ------DocID 24876 Document 1118 of 1438------ -CITE- 18 USC Sec. 3604 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3604. Transportation of a probationer -STATUTE- A court, after imposing a sentence of probation, may direct a United States marshal to furnish the probationer with - (a) transportation to the place to which he is required to proceed as a condition of his probation; and (b) money, not to exceed such amount as the Attorney General may prescribe, for subsistence expenses while traveling to his destination. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2002.) -MISC1- 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. ------DocID 24877 Document 1119 of 1438------ -CITE- 18 USC Sec. 3605 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3605. Transfer of jurisdiction over a probationer -STATUTE- A court, after imposing a sentence, may transfer jurisdiction over a probationer or person on supervised release to the district court for any other district to which the person is required to proceed as a condition of his probation or release, or is permitted to proceed, with the concurrence of such court. A later transfer of jurisdiction may be made in the same manner. A court to which jurisdiction is transferred under this section is authorized to exercise all powers over the probationer or releasee that are permitted by this subchapter or subchapter B or D of chapter 227. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2003.) -MISC1- 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. ------DocID 24878 Document 1120 of 1438------ -CITE- 18 USC Sec. 3606 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3606. Arrest and return of a probationer -STATUTE- If there is probable cause to believe that a probationer or a person on supervised release has violated a condition of his probation or release, he may be arrested, and, upon arrest, shall be taken without unnecessary delay before the court having jurisdiction over him. A probation officer may make such an arrest wherever the probationer or releasee is found, and may make the arrest without a warrant. The court having supervision of the probationer or releasee, or, if there is no such court, the court last having supervision of the probationer or releasee, may issue a warrant for the arrest of a probationer or releasee for violation of a condition of release, and a probation officer or United States marshal may execute the warrant in the district in which the warrant was issued or in any district in which the probationer or releasee is found. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2003.) -MISC1- 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. ------DocID 24879 Document 1121 of 1438------ -CITE- 18 USC Sec. 3607 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER A -HEAD- Sec. 3607. Special probation and expungement procedures for drug possessors -STATUTE- (a) Pre-judgment Probation. - If a person found guilty of an offense described in section 404 of the Controlled Substances Act (21 U.S.C. 844) - (1) has not, prior to the commission of such offense, been convicted of violating a Federal or State law relating to controlled substances; and (2) has not previously been the subject of a disposition under this subsection; the court may, with the consent of such person, place him on probation for a term of not more than one year without entering a judgment of conviction. At any time before the expiration of the term of probation, if the person has not violated a condition of his probation, the court may, without entering a judgment of conviction, dismiss the proceedings against the person and discharge him from probation. At the expiration of the term of probation, if the person has not violated a condition of his probation, the court shall, without entering a judgment of conviction, dismiss the proceedings against the person and discharge him from probation. If the person violates a condition of his probation, the court shall proceed in accordance with the provisions of section 3565. (b) Record of Disposition. - A nonpublic record of a disposition under subsection (a), or a conviction that is the subject of an expungement order under subsection (c), shall be retained by the Department of Justice solely for the purpose of use by the courts in determining in any subsequent proceeding whether a person qualifies for the disposition provided in subsection (a) or the expungement provided in subsection (c). A disposition under subsection (a), or a conviction that is the subject of an expungement order under subsection (c), shall not be considered a conviction for the purpose of a disqualification or a disability imposed by law upon conviction of a crime, or for any other purpose. (c) Expungement of Record of Disposition. - If the case against a person found guilty of an offense under section 404 of the Controlled Substances Act (21 U.S.C. 844) is the subject of a disposition under subsection (a), and the person was less than twenty-one years old at the time of the offense, the court shall enter an expungement order upon the application of such person. The expungement order shall direct that there be expunged from all official records, except the nonpublic records referred to in subsection (b), all references to his arrest for the offense, the institution of criminal proceedings against him, and the results thereof. The effect of the order shall be to restore such person, in the contemplation of the law, to the status he occupied before such arrest or institution of criminal proceedings. A person concerning whom such an order has been entered shall not be held thereafter under any provision of law to be guilty of perjury, false swearing, or making a false statement by reason of his failure to recite or acknowledge such arrests or institution of criminal proceedings, or the results thereof, in response to an inquiry made of him for any purpose. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2003.) -MISC1- 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 21 section 841. ------DocID 24880 Document 1122 of 1438------ -CITE- 18 USC SUBCHAPTER B -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER B -HEAD- SUBCHAPTER B - FINES -MISC1- Sec. 3611. Payment of a fine. 3612. Collection of an unpaid fine. 3613. Civil remedies for satisfaction of an unpaid fine. 3614. Resentencing upon failure to pay a fine. 3615. Criminal default. SUBCHAPTER B - FINES -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in sections 3574, 3663 of this title. ------DocID 24881 Document 1123 of 1438------ -CITE- 18 USC Sec. 3611 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER B -HEAD- Sec. 3611. Payment of a fine -STATUTE- A person who is sentenced to pay a fine or assessment shall pay the fine or assessment (including any interest or penalty), as specified by the Director of the Administrative Office of the United States Courts. Such Director may specify that such payment be made to the clerk of the court or in the manner provided for under section 604(a)(18) of title 28, United States Code. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2004, and amended Pub. L. 100-185, Sec. 10(a), Dec. 11, 1987, 101 Stat. 1283; Pub. L. 101-647, title XXXV, Sec. 3591, Nov. 29, 1990, 104 Stat. 4931.) -MISC1- PRIOR PROVISIONS A prior section 3611, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. Prior section 3611 was renumbered section 3665 of chapter 232 of this title, effective Nov. 1, 1987, and applicable to offenses committed after the taking effect of such renumbering. AMENDMENTS 1990 - Pub. L. 101-647 substituted '604(a)(18)' for '604(a)(17)'. 1987 - Pub. L. 100-185 amended section generally. Prior to amendment, section read as follows: 'A person who has been sentenced to pay a fine pursuant to the provisions of subchapter C of chapter 227 shall pay the fine immediately, or by the time and method specified by the sentencing court, to the clerk of the court. The clerk shall forward the payment to the United States Treasury.' EFFECTIVE DATE OF 1987 AMENDMENT Section 10(b) of Pub. L. 100-185 provided that: 'The amendment made by this section (amending this section) shall apply with respect to any fine imposed after October 31, 1988. Such amendment shall also apply with respect to any fine imposed on or before October 31, 1988, if the fine remains uncollected as of February 1, 1989, unless the Director of the Administrative Office of the United States Courts determines further delay is necessary. If the Director so determines, the amendment made by this section shall apply with respect to any such fine imposed on or before October 31, 1988, if the fine remains uncollected as of May 1, 1989.' 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. RECEIPT OF FINES - INTERIM PROVISIONS Section 9 of Pub. L. 100-185 provided that: '(a) November 1, 1987, to April 30, 1988. - Notwithstanding section 3611 of title 18, United States Code, a person who, during the period beginning on November 1, 1987, and ending on April 30, 1988, is sentenced to pay a fine or assessment shall pay the fine or assessment (including any interest or penalty) to the clerk of the court, with respect to an offense committed on or before December 31, 1984, and to the Attorney General, with respect to an offense committed after December 31, 1984. '(b) May 1, 1988, to October 31, 1988. - (1) Notwithstanding section 3611 of title 18, United States Code, a person who during the period beginning on May 1, 1988, and ending on October 31, 1988, is sentenced to pay a fine or assessment shall pay the fine or assessment in accordance with this subsection. '(2) In a case initiated by citation or violation notice, such person shall pay the fine or assessment (including any interest or penalty), as specified by the Director of the Administrative Office of the United States Courts. Such Director may specify that such payment be made to the clerk of the court or in the manner provided for under section 604(a)(17) of title 28, United States Code. '(3) In any other case, such person shall pay the fine or assessment (including any interest or penalty) to the clerk of the court, with respect to an offense committed on or before December 31, 1984, and to the Attorney General, with respect to an offense committed after December 31, 1984.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 42 section 10601. ------DocID 24882 Document 1124 of 1438------ -CITE- 18 USC Sec. 3612 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER B -HEAD- Sec. 3612. Collection of an unpaid fine -STATUTE- (a) Notification of Receipt and Related Matters. - The clerk or the person designated under section 604(a)(18) of title 28 shall notify the Attorney General of each receipt of a payment with respect to which a certification is made under subsection (b), together with other appropriate information relating to such payment. The notification shall be provided - (1) in such manner as may be agreed upon by the Attorney General and the Director of the Administrative Office of the United States Courts; and (2) within 15 days after the receipt or at such other time as may be determined jointly by the Attorney General and the Director of the Administrative Office of the United States Courts. If the fifteenth day under paragraph (2) is a Saturday, Sunday, or legal public holiday, the clerk, or the person designated under section 604(a)(18) of title 28, shall provide notification not later than the next day that is not a Saturday, Sunday, or legal public holiday. (b) Information to be Included in Judgment; Judgment to be Transmitted to Attorney General. - (1) A judgment or order imposing, modifying, or remitting a fine of more than $100 shall include - (A) the name, social security account number, mailing address, and residence address of the defendant; (B) the docket number of the case; (C) the original amount of the fine and the amount that is due and unpaid; (D) the schedule of payments (if other than immediate payment is permitted under section 3572(d)); (E) a description of any modification or remission; and (F) if other than immediate payment is permitted, a requirement that, until the fine is paid in full, the defendant notify the Attorney General of any change in the mailing address or residence address of the defendant not later than thirty days after the change occurs. (2) Not later than ten days after entry of the judgment or order, the court shall transmit a certified copy of the judgment or order to the Attorney General. (c) Responsibility for Collection. - The Attorney General shall be responsible for collection of an unpaid fine concerning which a certification has been issued as provided in subsection (b). An order of restitution, pursuant to section 3556, does not create any right of action against the United States by the person to whom restitution is ordered to be paid. (d) Notification of Delinquency. - Within ten working days after a fine is determined to be delinquent as provided in section 3572(h), the Attorney General shall notify the person whose fine is delinquent to inform him that the fine is delinquent. (e) Notification of Default. - Within ten working days after a fine is determined to be in default as provided in section 3572(i), the Attorney General shall notify the person defaulting to inform him that the fine is in default and the entire unpaid balance, including interest and penalties, is due within thirty days. (f) Interest on Fines. - (1) In general. - The defendant shall pay interest on any fine of more than $2,500, unless the fine is paid in full before the fifteenth day after the date of the judgment. If that day is a Saturday, Sunday, or legal public holiday, the defendant shall be liable for interest beginning with the next day that is not a Saturday, Sunday, or legal public holiday. (2) Computation. - Interest on a fine shall be computed - (A) daily (from the first day on which the defendant is liable for interest under paragraph (1)); and (B) at a rate equal to the coupon issue yield equivalent (as determined by the Secretary of the Treasury) of the average accepted auction price for the last auction of fifty-two week United States Treasury bills settled before the first day on which the defendant is liable for interest under paragraph (1). (3) Modification of interest by court. - If the court determines that the defendant does not have the ability to pay interest under this subsection, the court may - (A) waive the requirement for interest; (B) limit the total of interest payable to a specific dollar amount; or (C) limit the length of the period during which interest accrues. (g) Penalty for Delinquent Fine. - If a fine becomes delinquent, the defendant shall pay, as a penalty, an amount equal to 10 percent of the principal amount that is delinquent. If a fine becomes in default, the defendant shall pay, as a penalty, an additional amount equal to 15 percent of the principal amount that is in default. (h) Waiver of Interest or Penalty by Attorney General. - The Attorney General may waive all or part of any interest or penalty under this section or any interest or penalty relating to a fine imposed under any prior law if, as determined by the Attorney General, reasonable efforts to collect the interest or penalty are not likely to be effective. (i) Application of Payments. - Payments relating to fines shall be applied in the following order: (1) to principal; (2) to costs; (3) to interest; and (4) to penalties. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2004, and amended Pub. L. 100-185, Sec. 11, Dec. 11, 1987, 101 Stat. 1283; Pub. L. 100-690, title VII, Sec. 7082(c), (d), Nov. 18, 1988, 102 Stat. 4408; Pub. L. 101-647, title XXXV, Sec. 3592, Nov. 29, 1990, 104 Stat. 4931.) -MISC1- PRIOR PROVISIONS A prior section 3612, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. Prior section 3612 was renumbered section 3666 of chapter 232 of this title, effective Nov. 1, 1987, and applicable to offenses committed after the taking effect of such renumbering. AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted '604(a)(18)' for '604(a)(17)' wherever appearing. 1988 - Subsec. (d). Pub. L. 100-690, Sec. 7082(d), struck out ', by certified mail,' after 'fine is delinquent'. Subsec. (e). Pub. L. 100-690, Sec. 7082(d), struck out ', by certified mail,' after 'the person defaulting'. Subsec. (h). Pub. L. 100-690, Sec. 7082(c), inserted 'or any interest or penalty relating to a fine imposed under any prior law' after 'under this section'. 1987 - Subsec. (a). Pub. L. 100-185, Sec. 11(a), substituted 'Notification of receipt and related matters' for 'Disposition of payment' in heading and amended text generally. Prior to amendment, text read as follows: 'The clerk shall forward each fine payment to the United States Treasury and shall notify the Attorney General of its receipt within ten working days.' Subsec. (b). Pub. L. 100-185, Sec. 11(b), substituted 'Information to be included in judgment; judgment to be transmitted to Attorney General' for 'Certification of imposition' in heading and amended text generally. Prior to amendment, text read as follows: 'If a fine exceeding $100 is imposed, modified, or remitted, the sentencing court shall incorporate in the order imposing, remitting, or modifying such fine, and promptly certify to the Attorney General - '(1) the name of the person fined; '(2) his current address; '(3) the docket number of the case; '(4) the amount of the fine imposed; '(5) any installment schedule; '(6) the nature of any modification or remission of the fine or installment schedule; and '(7) the amount of the fine that is due and unpaid.' Subsec. (d). Pub. L. 100-185, Sec. 11(c)(1), substituted 'section 3572(h)' for 'section 3572(i)'. Subsec. (e). Pub. L. 100-185, Sec. 11(c)(2), substituted 'section 3572(i)' for 'section 3572(j)'. Subsec. (f). Pub. L. 100-185, Sec. 11(d), amended subsec. (f) generally, substituting provisions relating to interest on fines, computation of interest, and modification of interest by court, for provisions relating to interest and monetary penalties for delinquent fines. Subsecs. (g) to (i). Pub. L. 100-185, Sec. 11(e), added subsecs. (g) to (i). 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. COLLECTION OF OUTSTANDING FINES Section 237 of Pub. L. 98-473 provided that: '(a)(1) Except as provided in paragraph (2), for each criminal fine for which the unpaid balance exceeds $100 as of the effective date of this Act (see section 235 of Pub. L. 98-473, as amended, set out as a note under section 3551 of this title), the Attorney General shall, within one hundred and twenty days, notify the person by certified mail of his obligation, within thirty days after notification, to - '(A) pay the fine in full; '(B) specify, and demonstrate compliance with, an installment schedule established by a court before enactment of the amendments made by this Act (Oct. 12, 1984), specifying the dates on which designated partial payments will be made; or '(C) establish with the concurrence of the Attorney General, a new installment schedule of a duration not exceeding two years, except in special circumstances, and specifying the dates on which designated partial payments will be made. '(2) This subsection shall not apply in cases in which - '(A) the Attorney General believes the likelihood of collection is remote; or '(B) criminal fines have been stayed pending appeal. '(b) The Attorney General shall, within one hundred and eighty days after the effective date of this Act, declare all fines for which this obligation is unfulfilled to be in criminal default, subject to the civil and criminal remedies established by amendments made by this Act (see Short Title note set out under section 3551 of this title). No interest or monetary penalties shall be charged on any fines subject to this section. '(c) Not later than one year following the effective date of this Act, the Attorney General shall include in the annual crime report steps taken to implement this Act and the progress achieved in criminal fine collection, including collection data for each judicial district.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 42 section 10601. ------DocID 24883 Document 1125 of 1438------ -CITE- 18 USC Sec. 3613 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER B -HEAD- Sec. 3613. Civil remedies for satisfaction of an unpaid fine -STATUTE- (a) Lien. - A fine imposed pursuant to the provisions of subchapter C of chapter 227 is a lien in favor of the United States upon all property belonging to the person fined. The lien arises at the time of the entry of the judgment and continues until the liability is satisfied, remitted, or set aside, or until it becomes unenforceable pursuant to the provisions of subsection (b). On application of the person fined, the Attorney General shall - (1) issue a certificate of release, as described in section 6325 of the Internal Revenue Code, of any lien imposed pursuant to this section, upon his acceptance of a bond described in section 6325(a)(2) of the Internal Revenue Code; or (2) issue a certificate of discharge, as described in section 6325 of the Internal Revenue Code, of any part of the person's property subject to a lien imposed pursuant to this section, upon his determination that the fair market value of that part of such property remaining subject to and available to satisfy the lien is at least three times the amount of the fine. (b) Expiration of Lien. - A lien becomes unenforceable and liability to pay a fine expires - (1) twenty years after the entry of the judgment; or (2) upon the death of the individual fined. The period set forth in paragraph (1) may be extended, prior to its expiration, by a written agreement between the person fined and the Attorney General. The running of the period set forth in paragraph (1) is suspended during any interval for which the running of the period of limitations for collection of a tax would be suspended pursuant to section 6503(b), 6503(c), 6503(f), 6503(i), or 7508(a)(1)(I) of the Internal Revenue Code of 1986 (26 U.S.C. 6503(b), 6503(c), 6503(f), 6503(i), or 7508(a)(1)(I)), or section 513 of the Act of October 17, 1940, 54 Stat. 1190. (c) Application of Other Lien Provisions. - The provisions of sections 6323, 6331, 6332, 6334 through 6336, 6337(a), 6338 through 6343, 6901, 7402, 7403, 7424 through 7426, 7505(a), 7506, 7701, and 7805 of the Internal Revenue Code of 1986 (26 U.S.C. 6323, 6331, 6332, 6334 through 6336, 6337(a), 6338 through 6343, 6901, 7402, 7403, 7424 through 7426, 7505(a), 7506, 7701, and 7805) and of section 513 of the Act of October 17, 1940, 54 Stat. 1190, apply to a fine and to the lien imposed by subsection (a) as if the liability of the person fined were for an internal revenue tax assessment, except to the extent that the application of such statutes is modified by regulations issued by the Attorney General to accord with differences in the nature of the liabilities. For the purposes of this subsection, references in the preceding sections of the Internal Revenue Code of 1986 to 'the Secretary' shall be construed to mean 'the Attorney General,' (FOOTNOTE 1) and references in those sections to 'tax' shall be construed to mean 'fine'. (FOOTNOTE 1) So in original. The closing quotation marks probably should precede the comma. (d) Effect of Notice of Lien. - A notice of the lien imposed by subsection (a) shall be considered a notice of lien for taxes payable to the United States for the purposes of any State or local law providing for the filing of a notice of a tax lien. The registration, recording, docketing, or indexing, in accordance with 28 U.S.C. 1962, of the judgment under which a fine is imposed shall be considered for all purposes as the filing prescribed by section 6323(f)(1)(A) of the Internal Revenue Code of 1986 (26 U.S.C. 6323(f)(1)(A)) and by subsection (c). (e) Alternative Enforcement. - Notwithstanding any other provision of this section, a judgment imposing a fine may be enforced by execution against the property of the person fined in like manner as judgments in civil cases, but in no event shall liability for payment of a fine extend beyond the period specified in subsection (b). (f) Discharge of Debts Inapplicable. - No discharge of debts pursuant to a bankruptcy proceeding shall render a lien under this section unenforceable or discharge liability to pay a fine. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2005, and amended Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 101-647, title XXXV, Sec. 3593, Nov. 29, 1990, 104 Stat. 4931.) -REFTEXT- REFERENCES IN TEXT The Internal Revenue Code of 1986, referred to in subsec. (a), is classified generally to Title 26, Internal Revenue Code. Section 513 of the Act of October 17, 1940, referred to in subsecs. (b) and (c), is classified to section 573 of Title 50, Appendix, War and National Defense. -MISC2- PRIOR PROVISIONS A prior section 3613, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647, which directed amendment of 'Section 3613(c)' by striking the period before the closing quotation marks and inserting a period after such marks, without identifying a Code title or Act for section 3613, was executed by substituting 'construed to mean 'fine'.' for 'construed to mean 'fine.' ' in subsec. (c) of this section to reflect the probable intent of Congress. 1986 - Subsecs. (b) to (d). Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954' wherever appearing. 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. ------DocID 24884 Document 1126 of 1438------ -CITE- 18 USC Sec. 3614 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER B -HEAD- Sec. 3614. Resentencing upon failure to pay a fine -STATUTE- (a) Resentencing. - Subject to the provisions of subsection (b), if a defendant knowingly fails to pay a delinquent fine the court may resentence the defendant to any sentence which might originally have been imposed. (b) Imprisonment. - The defendant may be sentenced to a term of imprisonment under subsection (a) only if the court determines that - (1) the defendant willfully refused to pay the delinquent fine or had failed to make sufficient bona fide efforts to pay the fine; or (2) in light of the nature of the offense and the characteristics of the person, alternatives to imprisonment are not adequate to serve the purposes of punishment and deterrence. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2006.) -MISC1- PRIOR PROVISIONS A prior section 3614, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. 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. ------DocID 24885 Document 1127 of 1438------ -CITE- 18 USC Sec. 3615 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER B -HEAD- Sec. 3615. Criminal default -STATUTE- Whoever, having been sentenced to pay a fine, willfully fails to pay the fine, shall be fined not more than twice the amount of the unpaid balance of the fine or $10,000, whichever is greater, imprisoned not more than one year, or both. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2006.) -MISC1- PRIOR PROVISIONS A prior section 3615, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. Prior section 3615 was renumbered section 3667 of chapter 232 of this title, effective Nov. 1, 1987, and applicable to offenses committed after the taking effect of such renumbering. A prior section 3616 was repealed by Pub. L. 91-513, title III, Sec. 1101(b)(2)(A), Oct. 27, 1970, 84 Stat. 1292. Prior sections 3617 to 3620, applicable to offenses committed prior to Nov. 1, 1987, are contained in chapter 229 set out as a note following this chapter. Sections 3617 to 3620 were renumbered sections 3668 to 3671, respectively, of chapter 232 of this title, effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such renumbering. 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. ------DocID 24886 Document 1128 of 1438------ -CITE- 18 USC SUBCHAPTER C -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER C -HEAD- SUBCHAPTER C - IMPRISONMENT -MISC1- Sec. 3621. Imprisonment of a convicted person. 3622. Temporary release of a prisoner. 3623. Transfer of a prisoner to State authority. 3624. Release of a prisoner. 3625. Inapplicability of the Administrative Procedure Act. SUBCHAPTER C - IMPRISONMENT -SECREF- SUBCHAPTER REFERRED TO IN OTHER SECTIONS This subchapter is referred to in section 3586 of this title. ------DocID 24887 Document 1129 of 1438------ -CITE- 18 USC Sec. 3621 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER C -HEAD- Sec. 3621. Imprisonment of a convicted person -STATUTE- (a) Commitment to Custody of Bureau of Prisons. - A person who has been sentenced to a term of imprisonment pursuant to the provisions of subchapter D of chapter 227 shall be committed to the custody of the Bureau of Prisons until the expiration of the term imposed, or until earlier released for satisfactory behavior pursuant to the provisions of section 3624. (b) Place of Imprisonment. - The Bureau of Prisons shall designate the place of the prisoner's imprisonment. The Bureau may designate any available penal or correctional facility that meets minimum standards of health and habitability established by the Bureau, whether maintained by the Federal Government or otherwise and whether within or without the judicial district in which the person was convicted, that the Bureau determines to be appropriate and suitable, considering - (1) the resources of the facility contemplated; (2) the nature and circumstances of the offense; (3) the history and characteristics of the prisoner; (4) any statement by the court that imposed the sentence - (A) concerning the purposes for which the sentence to imprisonment was determined to be warranted; or (B) recommending a type of penal or correctional facility as appropriate; and (5) any pertinent policy statement issued by the Sentencing Commission pursuant to section 994(a)(2) of title 28. The Bureau may at any time, having regard for the same matters, direct the transfer of a prisoner from one penal or correctional facility to another. The Bureau shall, to the extent practicable, make available appropriate substance abuse treatment for each prisoner the Bureau determines has a treatable condition of substance addiction or abuse. (c) Delivery of Order of Commitment. - When a prisoner, pursuant to a court order, is placed in the custody of a person in charge of a penal or correctional facility, a copy of the order shall be delivered to such person as evidence of this authority to hold the prisoner, and the original order, with the return endorsed thereon, shall be returned to the court that issued it. (d) Delivery of Prisoner for Court Appearances. - The United States marshal shall, without charge, bring a prisoner into court or return him to a prison facility on order of a court of the United States or on written request of an attorney for the Government. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2007, and amended Pub. L. 101-647, title XXIX, Sec. 2903, Nov. 29, 1990, 104 Stat. 4913.) -MISC1- PRIOR PROVISIONS A prior section 3621, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (b). Pub. L. 101-647 inserted at end 'The Bureau shall, to the extent practicable, make available appropriate substance abuse treatment for each prisoner the Bureau determines has a treatable condition of substance addiction or abuse.' 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. ------DocID 24888 Document 1130 of 1438------ -CITE- 18 USC Sec. 3622 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER C -HEAD- Sec. 3622. Temporary release of a prisoner -STATUTE- The Bureau of Prisons may release a prisoner from the place of his imprisonment for a limited period if such release appears to be consistent with the purpose for which the sentence was imposed and any pertinent policy statement issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(2), if such release otherwise appears to be consistent with the public interest and if there is reasonable cause to believe that a prisoner will honor the trust to be imposed in him, by authorizing him, under prescribed conditions, to - (a) visit a designated place for a period not to exceed thirty days, and then return to the same or another facility, for the purpose of - (1) visiting a relative who is dying; (2) attending a funeral of a relative; (3) obtaining medical treatment not otherwise available; (4) contacting a prospective employer; (5) establishing or reestablishing family or community ties; or (6) engaging in any other significant activity consistent with the public interest; (b) participate in a training or educational program in the community while continuing in official detention at the prison facility; or (c) work at paid employment in the community while continuing in official detention at the penal or correctional facility if - (1) the rates of pay and other conditions of employment will not be less than those paid or provided for work of a similar nature in the community; and (2) the prisoner agrees to pay to the Bureau such costs incident to official detention as the Bureau finds appropriate and reasonable under all the circumstances, such costs to be collected by the Bureau and deposited in the Treasury to the credit of the appropriation available for such costs at the time such collections are made. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2007.) -MISC1- PRIOR PROVISIONS A prior section 3622, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 28 section 994. ------DocID 24889 Document 1131 of 1438------ -CITE- 18 USC Sec. 3623 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER C -HEAD- Sec. 3623. Transfer of a prisoner to State authority -STATUTE- The Director of the Bureau of Prisons shall order that a prisoner who has been charged in an indictment or information with, or convicted of, a State felony, be transferred to an official detention facility within such State prior to his release from a Federal prison facility if - (1) the transfer has been requested by the Governor or other executive authority of the State; (2) the State has presented to the Director a certified copy of the indictment, information, or judgment of conviction; and (3) the Director finds that the transfer would be in the public interest. If more than one request is presented with respect to a prisoner, the Director shall determine which request should receive preference. The expenses of such transfer shall be borne by the State requesting the transfer. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2008.) -MISC1- PRIOR PROVISIONS A prior section 3623, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. 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. ------DocID 24890 Document 1132 of 1438------ -CITE- 18 USC Sec. 3624 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER C -HEAD- Sec. 3624. Release of a prisoner -STATUTE- (a) Date of Release. - A prisoner shall be released by the Bureau of Prisons on the date of the expiration of his term of imprisonment, less any time credited toward the service of his sentence as provided in subsection (b). If the date for a prisoner's release falls on a Saturday, a Sunday, or a legal holiday at the place of confinement, the prisoner may be released by the Bureau on the last preceding weekday. (b) Credit Toward Service of Sentence for Satisfactory Behavior. - A prisoner who is serving a term of imprisonment of more than one year, other than a term of imprisonment for the duration of his life, shall receive credit toward the service of his sentence, beyond the time served, of fifty-four days at the end of each year of his term of imprisonment, beginning at the end of the first year of the term, unless the Bureau of Prisons determines that, during that year, he has not satisfactorily complied with such institutional disciplinary regulations as have been approved by the Attorney General and issued to the prisoner. If the Bureau determines that, during that year, the prisoner has not satisfactorily complied with such institutional regulations, he shall receive no such credit toward service of his sentence or shall receive such lesser credit as the Bureau determines to be appropriate. The Bureau's determination shall be made within fifteen days after the end of each year of the sentence. Such credit toward service of sentence vests at the time that it is received. Credit that has vested may not later be withdrawn, and credit that has not been earned may not later be granted. Credit for the last year or portion of a year of the term of imprisonment shall be prorated and credited within the last six weeks of the sentence. (c) Pre-Release Custody. - The Bureau of Prisons shall, to the extent practicable, assure that a prisoner serving a term of imprisonment spends a reasonable part, not to exceed six months, of the last 10 per centum of the term to be served under conditions that will afford the prisoner a reasonable opportunity to adjust to and prepare for his re-entry into the community. The authority provided by this subsection may be used to place a prisoner in home confinement. The United States Probation System shall, to the extent practicable, offer assistance to a prisoner during such pre-release custody. (d) Allotment of Clothing, Funds, and Transportation. - Upon the release of a prisoner on the expiration of his term of imprisonment, the Bureau of Prisons shall furnish him with - (1) suitable clothing; (2) an amount of money, not more than $500, determined by the Director to be consistent with the needs of the offender and the public interest, unless the Director determines that the financial position of the offender is such that no sum should be furnished; and (3) transportation to the place of his conviction, to his bona fide residence within the United States, or to such other place within the United States as may be authorized by the Director. (e) Supervision After Release. - A prisoner whose sentence includes a term of supervised release after imprisonment shall be released by the Bureau of Prisons to the supervision of a probation officer who shall, during the term imposed, supervise the person released to the degree warranted by the conditions specified by the sentencing court. The term of supervised release commences on the day the person is released from imprisonment and runs concurrently with any Federal, State, or local term of probation or supervised release or parole for another offense to which the person is subject or becomes subject during the term of supervised release. A term of supervised release does not run during any period in which the person is imprisoned in connection with a conviction for a Federal, State, or local crime unless the imprisonment is for a period of less than 30 consecutive days. No prisoner shall be released on supervision unless such prisoner agrees to adhere to an installment schedule, not to exceed two years except in special circumstances, to pay for any fine imposed for the offense committed by such prisoner. (f) Mandatory Functional Literacy Requirement. - (1) The Attorney General shall direct the Bureau of Prisons to have in effect a mandatory functional literacy program for all mentally capable inmates who are not functionally literate in each Federal correctional institution within 6 months from the date of the enactment of this Act. (2) Each mandatory functional literacy program shall include a requirement that each inmate participate in such program for a mandatory period sufficient to provide the inmate with an adequate opportunity to achieve functional literacy, and appropriate incentives which lead to successful completion of such programs shall be developed and implemented. (3) As used in this section, the term 'functional literacy' means - (A) an eighth grade equivalence in reading and mathematics on a nationally recognized standardized test; (B) functional competency or literacy on a nationally recognized criterion-referenced test; or (C) a combination of subparagraphs (A) and (B). (4) Non-English speaking inmates shall be required to participate in an English-As-A-Second-Language program until they function at the equivalence of the eighth grade on a nationally recognized educational achievement test. (5) The Chief Executive Officer of each institution shall have authority to grant waivers for good cause as determined and documented on an individual basis. (6) A report shall be provided to Congress on an annual basis summarizing the results of this program, including the number of inmate participants, the number successfully completing the program, the number who do not successfully complete the program, and the reasons for failure to successfully complete the program. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2008, and amended Pub. L. 99-646, Sec. 16(a), 17(a), Nov. 10, 1986, 100 Stat. 3595; Pub. L. 101-647, title XXIX, Sec. 2902(a), 2904, Nov. 29, 1990, 104 Stat. 4913.) -REFTEXT- REFERENCES IN TEXT The date of the enactment of this Act, referred to in subsec. (f)(1), probably means the date of enactment of Pub. L. 101-647, which enacted subsec. (f) and was approved Nov. 29, 1990. -MISC2- PRIOR PROVISIONS A prior section 3624, applicable to offenses committed prior to Nov. 1, 1987, is contained in chapter 229 set out as a note following this chapter. AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647, Sec. 2902(a), inserted after first sentence 'The authority provided by this subsection may be used to place a prisoner in home confinement.' Subsec. (f). Pub. L. 101-647, Sec. 2904, added subsec. (f). 1986 - Subsec. (b). Pub. L. 99-646, Sec. 16(a), substituted 'beginning at the end of' for 'beginning after'. Subsec. (e). Pub. L. 99-646, Sec. 17(a), substituted 'imprisonment and runs concurrently' for 'imprisonment. The term runs concurrently' and 'supervised released. A term of supervised release does not run' for 'supervised release, except that it does not run', struck out ', other than during limited intervals as a condition of probation or supervised release,' after 'person is imprisoned', and inserted 'unless the imprisonment is for a period of less than 30 consecutive days' before the period at end of third sentence. EFFECTIVE DATE OF 1990 AMENDMENT Section 2902(b) of Pub. L. 101-647 provided that: 'Section 3624(c) of title 18, United States Code, as amended by this section, shall apply with respect to all inmates, regardless of the date of their offense.' EFFECTIVE DATE OF 1986 AMENDMENT Section 16(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the date of the taking effect of such section 3624 (Nov. 1, 1987).' Section 17(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the date of the taking effect of such section 3624 (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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3603, 3621, 4105, 5037 of this title; title 28 section 994. ------DocID 24891 Document 1133 of 1438------ -CITE- 18 USC Sec. 3625 -EXPCITE- TITLE 18 PART II CHAPTER 229 SUBCHAPTER C -HEAD- Sec. 3625. Inapplicability of the Administrative Procedure Act -STATUTE- The provisions of sections 554 and 555 and 701 through 706 of title 5, United States Code, do not apply to the making of any determination, decision, or order under this subchapter. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 2010.) -MISC1- 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. ------DocID 24892 Document 1134 of 1438------ -CITE- 18 USC (CHAPTER 229 -EXPCITE- TITLE 18 PART II (CHAPTER 229 -HEAD- (CHAPTER 229 - REPEALED) (FOOTNOTE 1) -MISC1- (FOOTNOTE 1) Another chapter 229 'POSTSENTENCE ADMINISTRATION' (Sec. 3601 to 3625) became effective Nov. 1, 1987, and is set out preceding this chapter. ------DocID 24893 Document 1135 of 1438------ -CITE- 18 USC Sec. 3611 to 3624 -EXPCITE- TITLE 18 PART II (CHAPTER 229 -HEAD- (Sec. 3611 to 3624. Repealed or Renumbered. Pub. L. 98-473, title II, Sec. 212(a)(1), (2), Oct. 12, 1984, 98 Stat. 1987) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Pub. L. 98-473, title II, Sec. 212(a)(1), (2), 235(a)(1), Oct. 12, 1984, 98 Stat. 1987, 2001, 2031, as amended, enacted a new chapter 229 (Sec. 3601 to 3625) and repealed this chapter 229 (except sections 3611, 3612, 3615, 3617 to 3620 which were renumbered as sections 3665 to 3671, respectively), effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. New chapter 229 is set out preceding this chapter. Section 235 of Pub. L. 98-473, as amended, relating to effective dates, is set out as an Effective Date note under section 3551 of this title. Prior to repeal, the provisions of this chapter read as follows: Sec. 3611. Firearms possessed by convicted felons A judgment of conviction for transporting a stolen motor vehicle in interstate or foreign commerce or for committing or attempting to commit a felony in violation of any law of the United States involving the use of threats, force, or violence or perpetrated in whole or in part by the use of firearms, may, in addition to the penalty provided by law for such offense, order the confiscation and disposal of firearms and ammunition found in the possession or under the immediate control of the defendant at the time of his arrest. The court may direct the delivery of such firearms or ammunition to the law-enforcement agency which apprehended such person, for its use or for any other disposition in its discretion. (June 25, 1948, ch. 645, 62 Stat. 839.) Sec. 3612. Bribe moneys Moneys received or tendered in evidence in any United States Court, or before any officer thereof, which have been paid to or received by any official as a bribe, shall, after the final disposition of the case, proceeding or investigation, be deposited in the registry of the court to be disposed of in accordance with the order of the court, to be subject, however, to the provisions of section 2042 of Title 28. (June 25, 1948, ch. 645, 62 Stat. 840; May 24, 1949, ch. 139, Sec. 55, 63 Stat. 96.) Sec. 3613. Fines for setting grass and timber fires In all cases arising under sections 1855 and 1856 of this title the fines collected shall be paid into the public-school fund of the county in which the lands where the offense was committed are situated. (June 25, 1948, ch. 645, 62 Stat. 840.) Sec. 3614. Fine for seduction When a person is convicted of a violation of section 2198 of this title and fined, the court may direct that the amount of the fine, when paid, be paid for the use of the female seduced, or her child, if she have any. (June 25, 1948, ch. 645, 62 Stat. 840.) Sec. 3615. Liquors and related property; definitions All liquor involved in any violation of sections 1261-1265 of this title, the containers of such liquor, and every vehicle or vessel used in the transportation thereof, shall be seized and forfeited and such property or its proceeds disposed of in accordance with the laws relating to seizures, forfeitures, and dispositions of property or proceeds, for violation of the internal-revenue laws. As used in this section, 'vessel' includes every description of watercraft used, or capable of being used, as a means of transportation in water or in water and air; 'vehicle' includes animals and every description of carriage or other contrivance used, or capable of being used, as a means of transportation on land or through the air. (June 25, 1948, ch. 645, 62 Stat. 840.) (Sec. 3616. Repealed. Pub. L. 91-513, title III, Sec. 1101(b)(2)(A), Oct. 27, 1970, 84 Stat. 1292) Section, act June 25, 1948, ch. 645, 62 Stat. 840, authorized use of confiscated vehicles by narcotics agents and payment of costs of acquisition, maintenance, repair, and operation thereof. EFFECTIVE DATE OF REPEAL Repeal by Pub. L. 91-513 effective on first day of seventh calendar month that begins after Oct. 26, 1970, see section 1105(a) of Pub. L. 91-513, set out as an Effective Date note under section 951 of Title 21, Food and Drugs. SAVINGS PROVISION Prosecutions for any violation of law occurring, and civil seizures or forfeitures and injunctive proceedings commenced, prior to the effective date of repeal of this section by section 1101 of Pub. L. 91-513 not to be affected or abated by reason thereof, see section 1103 of Pub. L. 91-513, set out as a Savings Provision note under section 171 of Title 21, Food and Drugs. Sec. 3617. Remission or mitigation of forfeitures under liquor laws; possession pending trial (a) Jurisdiction of court Whenever, in any proceeding in court for the forfeiture, under the internal-revenue laws, of any vehicle or aircraft seized for a violation of the internal-revenue laws relating to liquors, such forfeiture is decreed, the court shall have exclusive jurisdiction to remit or mitigate the forfeiture. (b) Conditions precedent to remission or mitigation In any such proceeding the court shall not allow the claim of any claimant for remission or mitigation unless and until he proves (1) that he has an interest in such vehicle or aircraft, as owner or otherwise, which he acquired in good faith, (2) that he had at no time any knowledge or reason to believe that it was being or would be used in the violation of laws of the United States or of any State relating to liquor, and (3) if it appears that the interest asserted by the claimant arises out of or is in any way subject to any contract or agreement under which any person having a record or reputation for violating laws of the United States or of any State relating to liquor has a right with respect to such vehicle or aircraft, that, before such claimant acquired his interest, or such other person acquired his right under such contract or agreement, whichever occurred later, the claimant, his officer or agent, was informed in answer to his inquiry, at the headquarters of the sheriff, chief of police, principal Federal internal-revenue officer engaged in the enforcement of the liquor laws, or other principal local or Federal law-enforcement officer of the locality in which such other person acquired his right under such contract or agreement, of the locality in which such other person then resided, and of each locality in which the claimant has made any other inquiry as to the character or financial standing of such other person, that such other person had no such record or reputation. (c) Claimants first entitled to delivery Upon the request of any claimant whose claim for remission or mitigation is allowed and whose interest is first in the order of priority among such claims allowed in such proceeding and is of an amount in excess of, or equal to, the appraised value of such vehicle or aircraft, the court shall order its return to him; and, upon the joint request of any two or more claimants whose claims are allowed and whose interests are not subject to any prior or intervening interests claimed and allowed in such proceedings, and are of a total amount in excess of, or equal to, the appraised value of such vehicle or aircraft, the court shall order its return to such of the joint requesting claimants as is designated in such request. Such return shall be made only upon payment of all expenses incident to the seizure and forfeiture incurred by the United States. In all other cases the court shall order disposition of such vehicle or aircraft as provided in sections 304f-304m of Title 40, and if such disposition be by public sale, payment from the proceeds thereof, after satisfaction of all such expenses, of any such claim in its order of priority among the claims allowed in such proceedings. (d) Delivery on bond pending trial In any proceeding in court for the forfeiture under the internal-revenue laws of any vehicle or aircraft seized for a violation of the internal-revenue laws relating to liquor, the court shall order delivery thereof to any claimant who shall establish his right to the immediate possession thereof, and shall execute, with one or more sureties approved by the court, and deliver to the court, a bond to the United States for the payment of a sum equal to the appraised value of such vehicle or aircraft. Such bond shall be conditioned to return such vehicle or aircraft at the time of the trial and to pay the difference between the appraised value of such vehicle or aircraft as of the time it shall have been so released on bond and the appraised value thereof as of the time of trial; and conditioned further that, if the vehicle or aircraft be not returned at the time of trial, the bond shall stand in lieu of, and be forfeited in the same manner as, such vehicle or aircraft. Notwithstanding this subsection or any other provisions of law relating to the delivery of possession on bond of vehicles or aircraft sought to be forfeited under the internal-revenue laws, the court may, in its discretion and upon good cause shown by the United States, refuse to order such delivery of possession. (June 25, 1948, ch. 645, 62 Stat. 840.) Sec. 3618. Conveyances carrying liquor Any conveyance, whether used by the owner or another in introducing or attempting to introduce intoxicants into the Indian country, or into other places where the introduction is prohibited by treaty or enactment of Congress, shall be subject to seizure, libel, and forfeiture. (June 25, 1948, ch. 645, 62 Stat. 841.) Sec. 3619. Disposition of conveyances seized for violation of the Indian liquor laws The provisions of section 3617 of this title shall apply to any conveyances seized, proceeded against by libel, or forfeited under the provisions of section 3113 or 3618 of this title for having been used in introducing or attempting to introduce intoxicants into the Indian country or into other places where such introduction is prohibited by treaty or enactment of Congress. (Added Oct. 24, 1951, ch. 546, Sec. 2, 65 Stat. 609.) Sec. 3620. Vessels carrying explosives and steerage passengers The amount of any fine imposed upon the master of a steamship or other vessel under the provisions of section 2278 of this title shall be a lien upon such vessel, and such vessel may be libeled therefor in the district court of the United States for any district in which such vessel shall arrive or from which it shall depart. (Added Sept. 3, 1954, ch. 1263, Sec. 36, 68 Stat. 1239.) Sec. 3621. Criminal default on fine (a) Whoever, having been sentenced to pay a fine or penalty, willfully does not pay an amount due - (1) in the case of an individual, shall be fined not more than the greater of $100,000 or twice the unpaid balance of the fine or penalty, or imprisoned not more than one year, or both; and (2) in the case of a person other than an individual, shall be fined not more than the greater of $250,000 or twice the unpaid balance of the fine or penalty. (b) It is a defense to a prosecution under subsection (a)(1) of this section that the individual was unable to make the payment because of such individual's responsibility to provide necessities for such individual or other individuals financially dependent upon such individual. The defendant has the burden of establishing the defense under this subsection by a preponderance of the evidence. (Added Pub. L. 98-596, Sec. 6(a), Oct. 30, 1984, 98 Stat. 3136.) Sec. 3622. Factors relating to imposition of fines (a) In determining whether to impose a fine and the amount of a fine, the court shall consider, in addition to other relevant factors - (1) the nature and circumstances of the offense; (2) the history and characteristics of the defendant; (3) the defendant's income, earning capacity, and financial resources; (4) the burden that the fine will impose upon the defendant, any person who is financially dependent on the defendant, or any other person (including a government) that would be responsible for the welfare of any person financially dependent on the defendant, relative to the burden that alternative punishments would impose; (5) any pecuniary loss inflicted upon others as a result of the offense; (6) whether restitution is ordered and the amount of such restitution; (7) the need to deprive the defendant of illegally obtained gains from the offense; (8) whether the defendant can pass on to consumers or other persons the expense of the fine; and (9) if the defendant is an organization, the size of the organization and any measure taken by the organization to discipline any officer, director, employee, or agent of the organization responsible for the offense and to prevent a recurrence of such an offense. (b) If, as a result of a conviction, the defendant has the obligation to make restitution to a victim of the offense, the court shall impose a fine or penalty only to the extent that such fine or penalty will not impair the ability of the defendant to make restitution. (Added Pub. L. 98-596, Sec. 6(a), Oct. 30, 1984, 98 Stat. 3136.) Sec. 3623. Alternative fines (a) An individual convicted of an offense may be fined not more than the greatest of - (1) the amount specified in the law setting forth the offense; (2) the applicable amount under subsection (c) of this section; (3) in the case of a felony, $250,000; (4) in the case of a misdemeanor resulting in death, $250,000; or (5) in the case of a misdemeanor punishable by imprisonment for more than six months, $100,000. (b) A person (other than an individual) convicted of an offense may be fined not more than the greatest of - (1) the amount specified in the law setting forth the offense; (2) the applicable amount under subsection (c) of this section; (3) in the case of a felony, $500,000; (4) in the case of a misdemeanor resulting in death, $500,000; or (5) in the case of a misdemeanor punishable by imprisonment for more than six months, $100,000. (c)(1) If the defendant derives pecuniary gain from the offense, or if the offense results in pecuniary loss to another person, the defendant may be fined not more than the greater of twice the gross gain or twice the gross loss, unless imposition of a fine under this subsection would unduly complicate or prolong the sentencing process. (2) Except as otherwise expressly provided, the aggregate of fines that a court may impose on a defendant at the same time for different offenses that arise from a common scheme or plan, and that do not cause separable or distinguishable kinds of harm or damage, is twice the amount imposable for the most serious offense. (Added Pub. L. 98-596, Sec. 6(a), Oct. 30, 1984, 98 Stat. 3137.) Sec. 3624. Security for stayed fine If a sentence imposing a fine is stayed, the court shall, absent exceptional circumstances (as determined by the court) - (1) require the defendant to deposit, in the registry of the district court, any amount of the fine that is due; (2) require the defendant to provide a bond or other security to ensure payment of the fine; or (3) restrain the defendant from transferring or dissipating assets. (Added Pub. L. 98-596, Sec. 6(a), Oct. 30, 1984, 98 Stat. 3138.) ------DocID 24894 Document 1136 of 1438------ -CITE- 18 USC (CHAPTER 231 -EXPCITE- TITLE 18 PART II (CHAPTER 231 -HEAD- (CHAPTER 231 - REPEALED) ------DocID 24895 Document 1137 of 1438------ -CITE- 18 USC Sec. 3651 to 3656 -EXPCITE- TITLE 18 PART II (CHAPTER 231 -HEAD- (Sec. 3651 to 3656. Repealed or Renumbered. Pub. L. 98-473, title II, Sec. 212(a)(1), (2), Oct. 12, 1984, 98 Stat. 1987) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Pub. L. 98-473, title II, Sec. 212(a)(1), (2), 235(a)(1), Oct. 12, 1984, 98 Stat. 1987, 2031, as amended, repealed this chapter (except section 3656 which was renumbered section 3672), effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Section 235 of Pub. L. 98-473, as amended, relating to effective dates, is set out as an Effective Date note under section 3551 of this title. Prior to repeal, the provisions of this chapter read as follows: Sec. 3651. Suspension of sentence and probation Upon entering a judgment of conviction of any offense not punishable by death or life imprisonment, any court having jurisdiction to try offenses against the United States when satisfied that the ends of justice and the best interest of the public as well as the defendant will be served thereby, may suspend the imposition or execution of sentence and place the defendant on probation for such period and upon such terms and conditions as the court deems best. Upon entering a judgment of conviction of any offense not punishable by death or life imprisonment, if the maximum punishment provided for such offense is more than six months, any court having jurisdiction to try offenses against the United States, when satisfied that the ends of justice and the best interest of the public as well as the defendant will be served thereby, may impose a sentence in excess of six months and provide that the defendant be confined in a jail-type institution or a treatment institution for a period not exceeding six months and that the execution of the remainder of the sentence be suspended and the defendant placed on probation for such period and upon such terms and conditions as the court deems best. Probation may be granted whether the offense is punishable by fine or imprisonment or both. If an offense is punishable by both fine and imprisonment, the court may impose a fine and place the defendant on probation as to imprisonment. Probation may be limited to one or more counts or indictments, but, in the absence of express limitation, shall extend to the entire sentence and judgment. The court may revoke or modify any condition of probation, or may change the period of probation. The period of probation, together with any extension thereof, shall not exceed five years. While on probation and among the conditions thereof, the defendant - May be required to pay a fine in one or several sums; and May be required to make restitution or reparation to aggrieved parties for actual damages or loss caused by the offense for which conviction was had; and May be required to provide for the support of any persons, for whose support he is legally responsible. The court may require a person as conditions of probation to reside in or participate in the program of a residential community treatment center, or both, for all or part of the period of probation: Provided, That the Attorney General certifies that adequate treatment facilities, personnel, and programs are available. If the Attorney General determines that the person's residence in the center or participation in its program, or both, should be terminated, because the person can derive no further significant benefits from such residence or participation, or both, or because his such residence or participation adversely affects the rehabilitation of other residents or participants, he shall so notify the court, which shall thereupon, by order, make such other provision with respect to the person on probation as it deems appropriate. A person residing in a residential community treatment center may be required to pay such costs incident to residence as the Attorney General deems appropriate. The court may require a person who is an addict within the meaning of section 4251(a) of this title, or a drug dependent person within the meaning of section 2(q) of the Public Health Service Act, as amended (42 U.S.C. 201), as a condition of probation, to participate in the community supervision programs authorized by section 4255 of this title for all or part of the period of probation. The defendant's liability for any punishment (other than a fine) imposed as to which probation is granted, shall be fully discharged by the fulfillment of the terms and conditions of probation. If at the end of the period of probation, the defendant has not complied with a condition of probation, the court may nevertheless terminate proceedings against the defendant, but no such termination shall affect the defendant's obligation to pay a fine imposed or made a condition of probation, and such fine shall be collected in the manner provided in section 3565 of this title. (June 25, 1948, ch. 645, 62 Stat. 842; June 20, 1958, Pub. L. 85-463, Sec. 1, 72 Stat. 216; Aug. 23, 1958, Pub. L. 85-741, 72 Stat. 834; Oct. 22, 1970, Pub. L. 91-492, Sec. 1, 84 Stat. 1090; May 11, 1972, Pub. L. 92-293, Sec. 1, 86 Stat. 136; Oct. 27, 1978, Pub. L. 95-537, Sec. 2, 92 Stat. 2038; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 235(a)(1), 238(b), (c), (i), 98 Stat. 2031, 2038, 2039; Oct. 30, 1984, Pub. L. 98-596, Sec. 4, 12(a)(2), (3), (9), (b), 98 Stat. 3136, 3139, 3140.) -COD- CODIFICATION Pub. L. 98-473, Sec. 235(a)(1), 238(b), (c), (i), and Pub. L. 98-596, Sec. 12(a)(2), (3), (9), (b), amended section as follows: Section 238(b), (c), added a new par. and amended generally the final par. effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(2), (3) of Pub. L. 98-596 struck out the par. added by Pub. L. 98-473 and amended generally the final par. to read as it had before amendment by Pub. L. 98-473, applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. The cumulative effect of the amendments resulted in no change in this section. Sec. 3652. Probation - (Rule) SEE FEDERAL RULES OF CRIMINAL PROCEDURE Probation as provided by law, Rule 32(e). Presentence investigation, Rule 32(c). (June 25, 1948, ch. 645, 62 Stat. 842.) Sec. 3653. Report of probation officer and arrest of probationer When directed by the court, the probation officer shall report to the court, with a statement of the conduct of the probationer while on probation. The court may thereupon discharge the probationer from further supervision and may terminate the proceedings against him, or may extend the probation, as shall seem advisable. Whenever during the period of his probation, a probationer heretofore or hereafter placed on probation, goes from the district in which he is being supervised to another district, jurisdiction over him may be transferred, in the discretion of the court, from the court for the district from which he goes to the court for the other district, with the concurrence of the latter court. Thereupon the court for the district to which jurisdiction is transferred shall have all power with respect to the probationer that was previously possessed by the court for the district from which the transfer is made, except that the period of probation shall not be changed without the consent of the sentencing court. This process under the same conditions may be repeated whenever during the period of his probation the probationer goes from the district in which he is being supervised to another district. At any time within the probation period, the probation officer may for cause arrest the probationer wherever found, without a warrant. At any time within the probation period, or within the maximum probation period permitted by section 3651 of this title, the court for the district in which the probationer is being supervised or if he is no longer under supervision, the court for the district in which he was last under supervision, may issue a warrant for his arrest for violation of probation occurring during the probation period. Such warrant may be executed in any district by the probation officer or the United States marshal of the district in which the warrant was issued or of any district in which the probationer is found. If the probationer shall be arrested in any district other than that in which he was last supervised, he shall be returned to the district in which the warrant was issued, unless jurisdiction over him is transferred as above provided to the district in which he is found, and in that case he shall be detained pending further proceedings in such district. As speedily as possible after arrest the probationer shall be taken before the court for the district having jurisdiction over him. Thereupon the court may revoke the probation and require him to serve the sentence imposed, or any lesser sentence, and, if imposition of sentence was suspended, may impose any sentence which might originally have been imposed. (June 25, 1948, ch. 645, 62 Stat. 842; May 24, 1949, ch. 139, Sec. 56, 63 Stat. 96.) Sec. 3654. Appointment and removal of probation officers Any court having original jurisdiction to try offenses against the United States may appoint one or more suitable persons to serve as probation officers within the jurisdiction and under the direction of the court making such appointment. All such probation officers shall serve without compensation except that in case it shall appear to the court that the needs of the service require that there should be salaried probation officers, such court may appoint such officers. Such court may in its discretion remove a probation officer serving in such court. The appointment of a probation officer shall be in writing and shall be entered on the records of the court, and a copy of the order of appointment shall be delivered to the officer so appointed and a copy sent to the Director of the Administrative Office of the United States Courts. Whenever such court shall have appointed more than one probation officer, one may be designated chief probation officer and shall direct the work of all probation officers serving in such court. (June 25, 1948, ch. 645, 62 Stat. 843; Aug. 2, 1949, ch. 383, Sec. 2, 63 Stat. 491.) Sec. 3655. Duties of probation officers The probation officer shall furnish to each probationer under his supervision a written statement of the conditions of probation and shall instruct him regarding the same. He shall keep informed concerning the conduct and condition of each probationer under his supervision and shall report thereon to the court placing such person on probation. He shall use all suitable methods, not inconsistent with the conditions imposed by the court, to aid probationers and to bring about improvements in their conduct and condition. He shall keep records of his work; shall keep accurate and complete accounts of all moneys collected from persons under his supervision; shall give receipts therefor, and shall make at least monthly returns thereof; shall make such reports to the Director of the Administrative Office of the United States Courts as he may at any time require; and shall perform such other duties as the court may direct. He shall report to the court any failure of a probationer under his supervision to pay an amount due as a fine or as restitution. Each probation officer shall perform such duties with respect to persons on parole as the United States Parole Commission shall request. (June 25, 1948, ch. 645, 62 Stat. 843; Mar. 15, 1976, Pub. L. 94-233, Sec. 14, 90 Stat. 233; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 235(a)(1), 238(d), (i), 98 Stat. 2031, 2038, 2039; Oct. 30, 1984, Pub. L. 98-596, Sec. 5, 12(a)(4), (9), (b), 98 Stat. 3136, 3139, 3140.) CODIFICATION Pub. L. 98-473, Sec. 235(a)(1), 238(d), (i), and Pub. L. 98-596, Sec. 12(a)(4), (9), (b), amended section as follows: Section 238(d) of Pub. L. 98-473 amended generally the second par. effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(4) of Pub. L. 98-596 amended generally the second par. to read as it had before amendment by Pub. L. 98-473, applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. The cumulative effect of the amendments resulted in no change in this section. Sec. 3656. Duties of Director of Administrative Office of the United States Courts The Director of the Administrative Office of the United States Courts, or his authorized agent, shall investigate the work of the probation officers and make recommendations concerning the same to the respective judges and shall have access to the records of all probation officers. He shall collect for publication statistical and other information concerning the work of the probation officers. He shall prescribe record forms and statistics to be kept by the probation officers and shall formulate general rules for the proper conduct of the probation work. He shall endeavor by all suitable means to promote the efficient administration of the probation system and the enforcement of the probation laws in all United States courts. He shall, under the supervision and direction of the Judicial Conference of the United States, fix the salaries of probation officers and shall provide for their necessary expenses including clerical service and travel expenses. He shall incorporate in his annual report a statement concerning the operation of the probation system in such courts. (June 25, 1948, ch. 645, 62 Stat. 843; May 24, 1949, ch. 139, Sec. 57, 63 Stat. 97.) ------DocID 24896 Document 1138 of 1438------ -CITE- 18 USC CHAPTER 232 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- CHAPTER 232 - MISCELLANEOUS SENTENCING PROVISIONS -MISC1- Sec. 3661. Use of information for sentencing. 3662. Conviction records. 3663. Order of restitution. 3664. Procedure for issuing order of restitution. 3665. Firearms possessed by convicted felons. 3666. Bribe moneys. 3667. Liquors and related property; definitions. 3668. Remission or mitigation of forfeitures under liquor laws; possession pending trial. 3669. Conveyances carrying liquor. 3670. Disposition of conveyances seized for violation of the Indian liquor laws. 3671. Vessels carrying explosives and steerage passengers. 3672. Duties of Director of Administrative Office of the United States Courts. 3673. Definitions for sentencing provisions. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3594, Nov. 29, 1990, 104 Stat. 4931, substituted 'Conveyances' for 'Conveyance' in item 3669. 1984 - Pub. L. 98-473, title II, Sec. 212(a)(5), 235(a)(1), Oct. 12, 1984, 98 Stat. 2010, 2031, as amended, added chapter heading and analysis of sections for chapter 232 consisting of items 3661 to 3673, effective Nov. 1, 1987. EFFECTIVE DATE Pub. L. 98-473, title II, Sec. 212(a)(1), (3)-(5), 235(a)(1), Oct. 12, 1984, 98 Stat. 1987, 2010, 2031, as amended, enacted heading, analysis, and section 3673 of this chapter (Sec. 3661 to 3673), provided that sections 3577, 3578, 3579, 3580, 3611, 3612, 3615, 3617, 3618, 3619, 3620, and 3656 of this title are renumbered as sections 3661, 3662, 3663, 3664, 3665, 3666, 3667, 3668, 3669, 3670, 3671, and 3672, respectively, of this chapter, and amended section 3663 of this chapter, effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of this chapter. Section 235 of Pub. L. 98-473, as amended, relating to effective dates, is set out as a note under section 3551 of this title. ------DocID 24897 Document 1139 of 1438------ -CITE- 18 USC Sec. 3661 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3661. Use of information for sentencing -STATUTE- No limitation shall be placed on the information concerning the background, character, and conduct of a person convicted of an offense which a court of the United States may receive and consider for the purpose of imposing an appropriate sentence. -SOURCE- (Added Pub. L. 91-452, title X, Sec. 1001(a), Oct. 15, 1970, 84 Stat. 951, Sec. 3577; renumbered Sec. 3661, Pub. L. 98-473, title II, Sec. 212(a)(1), Oct. 12, 1984, 98 Stat. 1987.) -MISC1- SHORT TITLE OF 1990 AMENDMENT Pub. L. 101-421, Sec. 1, Oct. 12, 1990, 104 Stat. 909, provided that: 'This Act (amending provisions set out as a note under section 3672 of this title) may be cited as the 'Drug and Alcohol Dependent Offenders Treatment Act of 1989'.' SHORT TITLE OF 1986 AMENDMENT Pub. L. 99-570, title I, Sec. 1861(a), Oct. 27, 1986, 100 Stat. 3207-53, provided that: 'This section (amending sections 3672 and 4255 of this title, enacting provisions set out as a note under section 3672 of this title, and amending provisions set out as a note under section 4255 of this title) may be cited as the 'Drug and Alcohol Dependent Offenders Treatment Act of 1986'.' ------DocID 24898 Document 1140 of 1438------ -CITE- 18 USC Sec. 3662 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3662. Conviction records -STATUTE- (a) The Attorney General of the United States is authorized to establish in the Department of Justice a repository for records of convictions and determinations of the validity of such convictions. (b) Upon the conviction thereafter of a defendant in a court of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof for an offense punishable in such court by death or imprisonment in excess of one year, or a judicial determination of the validity of such conviction on collateral review, the court shall cause a certified record of the conviction or determination to be made to the repository in such form and containing such information as the Attorney General of the United States shall by regulation prescribe. (c) Records maintained in the repository shall not be public records. Certified copies thereof - (1) may be furnished for law enforcement purposes on request of a court or law enforcement or corrections officer of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof; (2) may be furnished for law enforcement purposes on request of a court or law enforcement or corrections officer of a State, any political subdivision, or any department, agency, or instrumentality thereof, if a statute of such State requires that, upon the conviction of a defendant in a court of the State or any political subdivision thereof for an offense punishable in such court by death or imprisonment in excess of one year, or a judicial determination of the validity of such conviction on collateral review, the court cause a certified record of the conviction or determination to be made to the repository in such form and containing such information as the Attorney General of the United States shall by regulation prescribe; and (3) shall be prima facie evidence in any court of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, any political subdivision, or any department, agency, or instrumentality thereof, that the convictions occurred and whether they have been judicially determined to be invalid on collateral review. (d) The Attorney General of the United States shall give reasonable public notice, and afford to interested parties opportunity for hearing, prior to prescribing regulations under this section. -SOURCE- (Added Pub. L. 91-452, title X, Sec. 1001(a), Oct. 15, 1970, 84 Stat. 951, Sec. 3578; renumbered Sec. 3662, Pub. L. 98-473, title II, Sec. 212(a)(1), Oct. 12, 1984, 98 Stat. 1987.) ------DocID 24899 Document 1141 of 1438------ -CITE- 18 USC Sec. 3663 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3663. Order of restitution -STATUTE- (a)(1) The court, when sentencing a defendant convicted of an offense under this title or under subsection (h), (i), (j), or (n) of section 902 of the Federal Aviation Act of 1958 (49 (FOOTNOTE 1) U.S.C. 1472), may order, in addition to or, in the case of a misdemeanor, in lieu of any other penalty authorized by law, that the defendant make restitution to any victim of such offense. (FOOTNOTE 1) So in original. Probably should be '49 App.'. (2) For the purposes of restitution, a victim of an offense that involves as an element a scheme, a conspiracy, or a pattern of criminal activity means any person directly harmed by the defendant's criminal conduct in the course of the scheme, conspiracy, or pattern. (3) The court may also order restitution in any criminal case to the extent agreed to by the parties in a plea agreement. (b) The order may require that such defendant - (1) in the case of an offense resulting in damage to or loss or destruction of property of a victim of the offense - (A) return the property to the owner of the property or someone designated by the owner; or (B) if return of the property under subparagraph (A) is impossible, impractical, or inadequate, pay an amount equal to the greater of - (i) the value of the property on the date of the damage, loss, or destruction, or (ii) the value of the property on the date of sentencing, less the value (as of the date the property is returned) of any part of the property that is returned; (2) in the case of an offense resulting in bodily injury to a victim - (A) pay an amount equal to the cost of necessary medical and related professional services and devices relating to physical, psychiatric, and psychological care, including nonmedical care and treatment rendered in accordance with a method of healing recognized by the law of the place of treatment; (B) pay an amount equal to the cost of necessary physical and occupational therapy and rehabilitation; and (C) reimburse the victim for income lost by such victim as a result of such offense; (3) in the case of an offense resulting in bodily injury also results in the death of a victim, pay an amount equal to the cost of necessary funeral and related services; and (4) in any case, if the victim (or if the victim is deceased, the victim's estate) consents, make restitution in services in lieu of money, or make restitution to a person or organization designated by the victim or the estate. (c) If the court decides to order restitution under this section, the court shall, if the victim is deceased, order that the restitution be made to the victim's estate. (d) To the extent that the court determines that the complication and prolongation of the sentencing process resulting from the fashioning of an order of restitution under this section outweighs the need to provide restitution to any victims, the court may decline to make such an order. (e)(1) The court shall not impose restitution with respect to a loss for which the victim has received or is to receive compensation, except that the court may, in the interest of justice, order restitution to any person who has compensated the victim for such loss to the extent that such person paid the compensation. An order of restitution shall require that all restitution to victims under such order be made before any restitution to any other person under such order is made. (2) Any amount paid to a victim under an order of restitution shall be set off against any amount later recovered as compensatory damages by such victim in - (A) any Federal civil proceeding; and (B) any State civil proceeding, to the extent provided by the law of that State. (f)(1) The court may require that such defendant make restitution under this section within a specified period or in specified installments. (2) The end of such period or the last such installment shall not be later than - (A) the end of the period of probation, if probation is ordered; (B) five years after the end of the term of imprisonment imposed, if the court does not order probation; and (C) five years after the date of sentencing in any other case. (3) If not otherwise provided by the court under this subsection, restitution shall be made immediately. (4) The order of restitution shall require the defendant to make restitution directly to the victim or other person eligible under this section, or to deliver the amount or property due as restitution to the Attorney General or the person designated under section 604(a)(18) of title 28 for transfer to such victim or person. (g) If such defendant is placed on probation or sentenced to a term of supervised release under this title, any restitution ordered under this section shall be a condition of such probation or supervised release. The court may revoke probation or a term of supervised release, or modify the term or conditions of probation or a term of supervised release, or hold a defendant in contempt pursuant to section 3583(e) if the defendant fails to comply with such order. In determining whether to revoke probation or a term of supervised release, modify the term or conditions of probation or supervised release, or hold a defendant serving a term of supervised release in contempt, the court shall consider the defendant's employment status, earning ability, financial resources, the willfulness of the defendant's failure to pay, and any other special circumstances that may have a bearing on the defendant's ability to pay. (h) An order of restitution may be enforced - (1) by the United States - (A) in the manner provided for the collection and payment of fines in subchapter B of chapter 229 of this title; or (B) in the same manner as a judgment in a civil action; and (2) by a victim named in the order to receive the restitution, in the same manner as a judgment in a civil action. -SOURCE- (Added Pub. L. 97-291, Sec. 5(a), Oct. 12, 1982, 96 Stat. 1253, Sec. 3579; renumbered Sec. 3663 and amended Pub. L. 98-473, title II, Sec. 212(a)(1), (3), Oct. 12, 1984, 98 Stat. 1987, 2010; Pub. L. 98-596, Sec. 9, Oct. 30, 1984, 98 Stat. 3138; Pub. L. 99-646, Sec. 8(b), 20(a), 77(a), 78(a), 79(a), Nov. 10, 1986, 100 Stat. 3593, 3596, 3618, 3619; Pub. L. 100-182, Sec. 13, Dec. 7, 1987, 101 Stat. 1268; Pub. L. 100-185, Sec. 12, Dec. 11, 1987, 101 Stat. 1285; Pub. L. 100-690, title VII, Sec. 7042, Nov. 18, 1988, 102 Stat. 4399; Pub. L. 101-647, title XXV, Sec. 2509, title XXXV, Sec. 3595, Nov. 29, 1990, 104 Stat. 4863, 4931.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647, Sec. 2509, designated existing provisions as par. (1) and added pars. (2) and (3). Subsec. (f)(4). Pub. L. 101-647, Sec. 3595, substituted '604(a)(18)' for '604(a)(17)'. 1988 - Subsec. (h). Pub. L. 100-690 amended subsec. (h) generally. Prior to amendment, subsec. (h) read as follows: 'An order of restitution may be enforced by the United States in the manner provided in sections 3812 and 3813 or in the same manner as a judgment in a civil action, and by the victim named in the order to receive the restitution in the same manner as a judgment in a civil action.' 1987 - Subsec. (f)(4). Pub. L. 100-185 inserted 'or the person designated under section 604(a)(17) of title 28' after 'Attorney General'. Subsec. (g). Pub. L. 100-182 substituted 'revoke probation or a term of supervised release,' for 'revoke probation,' in two places and inserted 'probation or' after 'modify the term or conditions of' in two places. 1986 - Subsec. (a). Pub. L. 99-646, Sec. 20(a), which directed that subsec. (a)(1) be amended by inserting ', in the case of a misdemeanor,' after 'in addition to or', was executed to subsec. (a) to reflect the probable intent of Congress and the prior amendment to subsec. (a) by Pub. L. 99-646, Sec. 8(b), below. Pub. L. 99-646, Sec. 8(b), struck out par. (1) designation, and struck out par. (2) which read as follows: 'If the court does not order restitution, or orders only partial restitution, under this section, the court shall state on the record the reasons therefor.' Subsec. (a)(1). Pub. L. 99-646, Sec. 79(a), substituted 'such offense' for 'the offense'. Subsec. (d). Pub. L. 99-646, Sec. 77(a), amended subsec. (d) generally. Prior to amendment, subsec. (d) read as follows: 'The court shall impose an order of restitution to the extent that such order is as fair as possible to the victim and the imposition of such order will not unduly complicate or prolong the sentencing process.' Subsec. (h). Pub. L. 99-646, Sec. 78(a), substituted 'in the manner provided for the collection of fines and penalties by section 3565 or by a victim' for 'or a victim'. 1984 - Pub. L. 98-473, Sec. 212(a)(1), renumbered section 3579 of this title as this section. Subsec. (c). Pub. L. 98-596, Sec. 9(1), substituted 'court' for 'Court' after 'If the'. Subsec. (f)(4). Pub. L. 98-596, Sec. 9(2), added par. (4). Subsec. (g). Pub. L. 98-473, Sec. 212(a)(3)(A), amended subsec. (g) generally. Prior to amendment, subsec. (g) read as follows: 'If such defendant is placed on probation or paroled under this title, any restitution ordered under this section shall be a condition of such probation or parole. The court may revoke probation and the Parole Commission may revoke parole if the defendant fails to comply with such order. In determining whether to revoke probation or parole, the court or Parole Commission shall consider the defendant's employment status, earning ability, financial resources, the willfulness of the defendant's failure to pay, and any other special circumstances that may have a bearing on the defendant's ability to pay.' Subsec. (h). Pub. L. 98-473, Sec. 212(a)(3)(B), amended subsec. (h) generally. Prior to amendment, subsec. (h) read as follows: 'An order of restitution may be enforced by the United States in the manner provided for the collection of fines and penalties by section 3565 or by a victim named in the order to receive the restitution in the same manner as a judgment in a civil action.' 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 AMENDMENT Amendment by section 8(b) of Pub. L. 99-646 effective Nov. 1, 1987, see section 8(c) of Pub. L. 99-646, set out as a note under section 3553 of this title. Amendment by section 20(a) of Pub. L. 99-646 effective Nov. 1, 1987, see section 20(c) of Pub. L. 99-646, set out as a note under section 3556 of this title. Section 77(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the 30th day after the date of the enactment of this Act (Nov. 10, 1986).' Section 78(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the 30th day after the date of the enactment of this Act (Nov. 10, 1986).' Section 79(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the date of the enactment of this Act (Nov. 10, 1986).' EFFECTIVE DATE OF 1984 AMENDMENTS Amendment by Pub. L. 98-596 applicable to offenses committed after Dec. 31, 1984, see section 10 of Pub. L. 98-596. Amendment by section 212(a)(3) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE Section effective with respect to offenses occurring after Jan. 1, 1983, see section 9(b)(2) of Pub. L. 97-291, set out as a note under section 1512 of this title. PROFIT BY A CRIMINAL FROM SALE OF HIS STORY Section 7 of Pub. L. 97-291 required the Attorney General to report, by Oct. 12, 1982, to Congress regarding any laws that are necessary to ensure that no Federal felon derives any profit from the sale of the recollections, thoughts, and feelings of such felon with regards to the offense committed by the felon until any victim of the offense receives restitution. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3525, 3556, 3563, 3664 of this title; title 12 section 1831k. ------DocID 24900 Document 1142 of 1438------ -CITE- 18 USC Sec. 3664 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3664. Procedure for issuing order of restitution -STATUTE- (a) The court, in determining whether to order restitution under section 3663 of this title and the amount of such restitution, shall consider the amount of the loss sustained by any victim as a result of the offense, the financial resources of the defendant, the financial needs and earning ability of the defendant and the defendant's dependents, and such other factors as the court deems appropriate. (b) The court may order the probation service of the court to obtain information pertaining to the factors set forth in subsection (a) of this section. The probation service of the court shall include the information collected in the report of presentence investigation or in a separate report, as the court directs. (c) The court shall disclose to both the defendant and the attorney for the Government all portions of the presentence or other report pertaining to the matters described in subsection (a) of this section. (d) Any dispute as to the proper amount or type of restitution shall be resolved by the court by the preponderance of the evidence. The burden of demonstrating the amount of the loss sustained by a victim as a result of the offense shall be on the attorney for the Government. The burden of demonstrating the financial resources of the defendant and the financial needs of the defendant and such defendant's dependents shall be on the defendant. The burden of demonstrating such other matters as the court deems appropriate shall be upon the party designated by the court as justice requires. (e) A conviction of a defendant for an offense involving the act giving rise to restitution under this section shall estop the defendant from denying the essential allegations of that offense in any subsequent Federal civil proceeding or State civil proceeding, to the extent consistent with State law, brought by the victim. -SOURCE- (Added Pub. L. 97-291, Sec. 5(a), Oct. 12, 1982, 96 Stat. 1255, Sec. 3580; renumbered Sec. 3664, Pub. L. 98-473, title II, Sec. 212(a)(1), Oct. 12, 1984, 98 Stat. 1987; and amended Pub. L. 101-647, title XXXV, Sec. 3596, Nov. 29, 1990, 104 Stat. 4931.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted '3663' for '3579'. EFFECTIVE DATE Section effective with respect to offenses occurring after Jan. 1, 1983, see section 9(b)(2) of Pub. L. 97-291, set out as a note under section 1512 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3556, 3563 of this title. ------DocID 24901 Document 1143 of 1438------ -CITE- 18 USC Sec. 3665 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3665. Firearms possessed by convicted felons -STATUTE- A judgment of conviction for transporting a stolen motor vehicle in interstate or foreign commerce or for committing or attempting to commit a felony in violation of any law of the United States involving the use of threats, force, or violence or perpetrated in whole or in part by the use of firearms, may, in addition to the penalty provided by law for such offense, order the confiscation and disposal of firearms and ammunition found in the possession or under the immediate control of the defendant at the time of his arrest. The court may direct the delivery of such firearms or ammunition to the law-enforcement agency which apprehended such person, for its use or for any other disposition in its discretion. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 839, Sec. 3611; renumbered Sec. 3665, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 645 (June 13, 1939, ch. 197, 53 Stat. 814). The condensation and simplification of this section clarifies its intent to confiscate the firearms taken from persons convicted of crimes of violence without any real change of substance. ------DocID 24902 Document 1144 of 1438------ -CITE- 18 USC Sec. 3666 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3666. Bribe moneys -STATUTE- Moneys received or tendered in evidence in any United States Court, or before any officer thereof, which have been paid to or received by any official as a bribe, shall, after the final disposition of the case, proceeding or investigation, be deposited in the registry of the court to be disposed of in accordance with the order of the court, to be subject, however, to the provisions of section 2042 of Title 28. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 840, Sec. 3612; May 24, 1949, ch. 139, Sec. 55, 63 Stat. 96; renumbered Sec. 3666, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 570 (Jan. 7, 1925, ch. 33, 43 Stat. 726). Changes were made in phraseology. 1949 ACT This section (section 55) corrects section 3612 of title 18, U.S.C., so that the reference in such section will be to the correct section number in title 28, U.S.C., as revised and enacted in 1948. AMENDMENTS 1949 - Act May 24, 1949, substituted 'section 2042' for 'section 852'. -CROSS- CROSS REFERENCES Withdrawal of money deposited in court, see section 2042 of Title 28, Judiciary and Judicial Procedure. ------DocID 24903 Document 1145 of 1438------ -CITE- 18 USC Sec. 3667 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3667. Liquors and related property; definitions -STATUTE- All liquor involved in any violation of sections 1261-1265 of this title, the containers of such liquor, and every vehicle or vessel used in the transportation thereof, shall be seized and forfeited and such property or its proceeds disposed of in accordance with the laws relating to seizures, forfeitures, and dispositions of property or proceeds, for violation of the internal-revenue laws. As used in this section, 'vessel' includes every description of watercraft used, or capable of being used, as a means of transportation in water or in water and air; 'vehicle' includes animals and every description of carriage or other contrivance used, or capable of being used, as a means of transportation on land or through the air. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 840, Sec. 3615; renumbered Sec. 3667, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 222 and 224 of title 27, U.S.C., 1940 ed., Intoxicating Liquors (June 25, 1936, ch. 815, Sec. 2, 4, 49 Stat. 1928). Section consolidates sections 222 and 224 of title 27, U.S.C., 1940 ed., with changes in phraseology and arrangement necessary to effect the consolidation. Said section 222 is also incorporated in section 1262 of this title. Definition of 'State' in section 222 of title 27 U.S.C., 1940 ed., as meaning and including 'every State, Territory, and Possession of the United States,' was omitted because the words 'Territory, District,' and so forth, appear after 'State' in sections 1262, 1265, of this title, which are the only sections in chapter 59, constituting sections 1261-1265 of this title, to which such definition would have been applicable. Changes made in phraseology. -REFTEXT- REFERENCES IN TEXT The internal-revenue laws, referred to in text, are classified generally to Title 26, Internal Revenue Code. -CROSS- CROSS REFERENCES Liquor traffic, offenses relating to, see section 1261 et seq. of this title. ------DocID 24904 Document 1146 of 1438------ -CITE- 18 USC Sec. 3668 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3668. Remission or mitigation of forfeitures under liquor laws; possession pending trial -STATUTE- (a) Jurisdiction of court Whenever, in any proceeding in court for the forfeiture, under the internal-revenue laws, of any vehicle or aircraft seized for a violation of the internal-revenue laws relating to liquors, such forfeiture is decreed, the court shall have exclusive jurisdiction to remit or mitigate the forfeiture. (b) Conditions precedent to remission or mitigation In any such proceeding the court shall not allow the claim of any claimant for remission or mitigation unless and until he proves (1) that he has an interest in such vehicle or aircraft, as owner or otherwise, which he acquired in good faith, (2) that he had at no time any knowledge or reason to believe that it was being or would be used in the violation of laws of the United States or of any State relating to liquor, and (3) if it appears that the interest asserted by the claimant arises out of or is in any way subject to any contract or agreement under which any person having a record or reputation for violating laws of the United States or of any State relating to liquor has a right with respect to such vehicle or aircraft, that, before such claimant acquired his interest, or such other person acquired his right under such contract or agreement, whichever occurred later, the claimant, his officer or agent, was informed in answer to his inquiry, at the headquarters of the sheriff, chief of police, principal Federal internal-revenue officer engaged in the enforcement of the liquor laws, or other principal local or Federal law-enforcement officer of the locality in which such other person acquired his right under such contract or agreement, of the locality in which such other person then resided, and of each locality in which the claimant has made any other inquiry as to the character or financial standing of such other person, that such other person had no such record or reputation. (c) Claimants first entitled to delivery Upon the request of any claimant whose claim for remission or mitigation is allowed and whose interest is first in the order of priority among such claims allowed in such proceeding and is of an amount in excess of, or equal to, the appraised value of such vehicle or aircraft, the court shall order its return to him; and, upon the joint request of any two or more claimants whose claims are allowed and whose interests are not subject to any prior or intervening interests claimed and allowed in such proceedings, and are of a total amount in excess of, or equal to, the appraised value of such vehicle or aircraft, the court shall order its return to such of the joint requesting claimants as is designated in such request. Such return shall be made only upon payment of all expenses incident to the seizure and forfeiture incurred by the United States. In all other cases the court shall order disposition of such vehicle or aircraft as provided in sections 304f-304m of Title 40, and if such disposition be by public sale, payment from the proceeds thereof, after satisfaction of all such expenses, of any such claim in its order of priority among the claims allowed in such proceedings. (d) Delivery on bond pending trial In any proceeding in court for the forfeiture under the internal-revenue laws of any vehicle or aircraft seized for a violation of the internal-revenue laws relating to liquor, the court shall order delivery thereof to any claimant who shall establish his right to the immediate possession thereof, and shall execute, with one or more sureties approved by the court, and deliver to the court, a bond to the United States for the payment of a sum equal to the appraised value of such vehicle or aircraft. Such bond shall be conditioned to return such vehicle or aircraft at the time of the trial and to pay the difference between the appraised value of such vehicle or aircraft as of the time it shall have been so released on bond and the appraised value thereof as of the time of trial; and conditioned further that, if the vehicle or aircraft be not returned at the time of trial, the bond shall stand in lieu of, and be forfeited in the same manner as, such vehicle or aircraft. Notwithstanding this subsection or any other provisions of law relating to the delivery of possession on bond of vehicles or aircraft sought to be forfeited under the internal-revenue laws, the court may, in its discretion and upon good cause shown by the United States, refuse to order such delivery of possession. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 840, Sec. 3617; renumbered Sec. 3668, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 646 (Aug. 27, 1935, ch. 740, Sec. 204, 49 Stat. 878). A minor change was made in phraseology. -REFTEXT- REFERENCES IN TEXT The internal-revenue laws relating to liquor, referred to in subsecs. (a) and (d), are classified generally to chapter 51 (Sec. 5001 et seq.) of Title 26, Internal Revenue Code. -CROSS- CROSS REFERENCES Disposition of seized conveyances, see section 3670 of this title. Remission of vehicles forfeited under customs or navigation laws, see section 1613 of Title 19, Customs Duties. Remission or mitigation of forfeiture - Distilled spirits, wines, or malt beverages, see section 5688 of Title 26, Internal Revenue Code. Under internal revenue laws generally, see section 7327 of Title 26. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3670 of this title. ------DocID 24905 Document 1147 of 1438------ -CITE- 18 USC Sec. 3669 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3669. Conveyances carrying liquor -STATUTE- Any conveyance, whether used by the owner or another in introducing or attempting to introduce intoxicants into the Indian country, or into other places where the introduction is prohibited by treaty or enactment of Congress, shall be subject to seizure, libel, and forfeiture. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 841, Sec. 3618; renumbered Sec. 3669, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 247 of title 25, U.S.C., 1940 ed., Indians (Mar. 2, 1917, ch. 146, Sec. 1, 39 Stat. 970). Words 'Automobiles or any other vehicles or' at beginning of section were omitted, and 'any conveyance' substituted to remove possible ambiguity as to scope of section. Words at conclusion of section 'provided in section 246 of this title' added nothing and were therefore omitted. (See also rule 41 of the Federal Rules of Criminal Procedure.) Minor changes were made in arrangement and phraseology. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Admiralty and maritime rules of practice (which included libel procedures) were superseded, and civil and admiralty procedures in United States district courts were unified, effective July 1, 1966, see rule 1 and Supplemental Rules for Certain Admiralty and Maritime Claims, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Application of Indian liquor laws, see section 1161 of this title. Disposition of seized conveyances, see section 3670 of this title. Forfeitures and seizures - Jurisdiction, see sections 1355 and 1356 of Title 28, Judiciary and Judicial Procedure. Proceedings, see section 2461 of Title 28. Indian country defined, see section 1151 of this title. Introducing intoxicating liquors into Indian country, see section 1154 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 1161, 3670 of this title. ------DocID 24906 Document 1148 of 1438------ -CITE- 18 USC Sec. 3670 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3670. Disposition of conveyances seized for violation of the Indian liquor laws -STATUTE- The provisions of section 3668 of this title shall apply to any conveyances seized, proceeded against by libel, or forfeited under the provisions of section 3113 or 3669 of this title for having been used in introducing or attempting to introduce intoxicants into the Indian country or into other places where such introduction is prohibited by treaty or enactment of Congress. -SOURCE- (Added Oct. 24, 1951, ch. 546, Sec. 2, 65 Stat. 609, Sec. 3619; renumbered Sec. 3670 and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 223(k), 98 Stat. 1987, 2029.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 renumbered section 3619 of this title as this section and substituted '3668' for '3617' and '3669' for '3618'. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 223(k) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Admiralty and maritime rules of practice (which included libel procedures) were superseded, and civil and admiralty procedures in United States district courts were unified, effective July 1, 1966, see rule 1 and Supplemental Rules for Certain Admiralty and Maritime Claims, Title 28, Appendix, Judiciary and Judicial Procedure. ------DocID 24907 Document 1149 of 1438------ -CITE- 18 USC Sec. 3671 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3671. Vessels carrying explosives and steerage passengers -STATUTE- The amount of any fine imposed upon the master of a steamship or other vessel under the provisions of section 2278 of this title shall be a lien upon such vessel, and such vessel may be libeled therefor in the district court of the United States for any district in which such vessel shall arrive or from which it shall depart. -SOURCE- (Added Sept. 3, 1954, ch. 1263, Sec. 36, 68 Stat. 1239, Sec. 3620; renumbered Sec. 3671, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987.) -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Admiralty and maritime rules of practice (which included libel procedures) were superseded, and civil and admiralty procedures in United States district courts were unified, effective July 1, 1966, see rule 1 and Supplemental Rules for Certain Admiralty and Maritime Claims, Title 28, Appendix, Judiciary and Judicial Procedure. ------DocID 24908 Document 1150 of 1438------ -CITE- 18 USC Sec. 3672 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3672. Duties of Director of Administrative Office of the United States Courts -STATUTE- The Director of the Administrative Office of the United States Courts, or his authorized agent, shall investigate the work of the probation officers and make recommendations concerning the same to the respective judges and shall have access to the records of all probation officers. He shall collect for publication statistical and other information concerning the work of the probation officers. He shall prescribe record forms and statistics to be kept by the probation officers and shall formulate general rules for the proper conduct of the probation work. He shall endeavor by all suitable means to promote the efficient administration of the probation system and the enforcement of the probation laws in all United States courts. He shall, under the supervision and direction of the Judicial Conference of the United States, fix the salaries of probation officers and shall provide for their necessary expenses including clerical service and travel expenses. He shall incorporate in his annual report a statement concerning the operation of the probation system in such courts. He shall have the authority to contract with any appropriate public or private agency or person for the detection of and care in the community of an offender who is an alcohol-dependent person, an addict or a drug-dependent person, or a person suffering from a psychiatric disorder within the meaning of section 2 of the Public Health Service Act. This authority shall include the authority to provide equipment and supplies; testing; medical, educational, social, psychological and vocational services; corrective and preventative guidance and training; and other rehabilitative services designed to protect the public and benefit the alcohol-dependent person, addict or drug-dependent person, or a person suffering from a psychiatric disorder by eliminating his dependence on alcohol or addicting drugs, by controlling his dependence and his susceptibility to addiction, or by treating his psychiatric disorder. He may negotiate and award such contracts without regard to section 3709 of the Revised Statutes of the United States. He shall pay for presentence studies and reports by qualified consultants and presentence examinations and reports by psychiatric or psychological examiners ordered by the court under subsection (b) or (c) of section 3552, except for studies conducted by the Bureau of Prisons. Whenever the court finds that funds are available for payment by or on behalf of a person furnished such services, training, or guidance, the court may direct that such funds be paid to the Director. Any moneys collected under this paragraph shall be used to reimburse the appropriations obligated and disbursed in payment for such services, training, or guidance. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 843, Sec. 3656; May 24, 1949, ch. 139, Sec. 57, 63 Stat. 97; renumbered Sec. 3672, Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 212(a)(1), 98 Stat. 1987; Oct. 27, 1986, Pub. L. 99-570, title I, Sec. 1861(b)(1), 100 Stat. 3207-53; Nov. 10, 1986, Pub. L. 99-646, Sec. 18(a), 100 Stat. 3595; Dec. 7, 1987, Pub. L. 100-182, Sec. 20, 101 Stat. 1270.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 728 (Mar. 4, 1925, ch. 521, Sec. 4(a), as added June 6, 1930, ch. 406, Sec. 2, 46 Stat. 503). The only change made in this section was the substitution of the 'Director of the Administrative Office of the United States Courts' for 'Attorney General'. (See reviser's note under section 3654 of this title.) 1949 ACT This amendment (see section 57) conforms the language of section 3656 of title 18, U.S.C., to that of title 28, U.S.C., section 604(a). -REFTEXT- REFERENCES IN TEXT Section 2 of the Public Health Service Act, referred to in the seventh undesignated par., is classified to section 201 of Title 42, The Public Health and Welfare. Section 3709 of the Revised Statutes, referred to in the seventh undesignated par., is classified to section 5 of Title 41, Public Contracts. -MISC2- AMENDMENTS 1987 - Pub. L. 100-182, Sec. 20(1), amended seventh undesignated par. generally. Prior to amendment, seventh undesignated par. read as follows: 'He shall have the authority to contract with any appropriate public or private agency or person for the detection of and care in the community of an offender who is an alcohol-dependent person, or an addict or a drug-dependent person within the meaning of section 2 of the Public Health Service Act (42 U.S.C. 201). This authority shall include the authority to provide equipment and supplies; testing; medical, educational, social, psychological, and vocational services; corrective and preventive guidance and training; and other rehabilitative services designed to protect the public and benefit the alcohol-dependent person, addict, or drug-dependent person by eliminating his dependence on alcohol or addicting drugs, or by controlling his dependence and his susceptibility to addiction. He may negotiate and award such contracts without regard to section 3709 of the Revised Statutes (41 U.S.C. 5).' Pub. L. 100-182, Sec. 20(2), added ninth undesignated par.: 'Whenever the court finds that funds are available for payment by or on behalf of a person furnished such services, training, or guidance, the court may direct that such funds be paid to the Director. Any moneys collected under this paragraph shall be used to reimburse the appropriations obligated and disbursed in payment for such services, training, or guidance.' 1986 - Pub. L. 99-570 and Pub. L. 99-646 added substantially identical seventh and eighth undesignated pars. containing provision relating to authority to contract with any appropriate public or private agency or person for the detection of and care in the community of an offender who is an alcohol-dependent person, an addict, or a drug-dependent person and provision relating to payment for presentence studies and reports by qualified consultants and presentence examinations and reports by psychiatric and psychological examiners ordered by the court under section 3552(b) or (c). 1949 - Act May 24, 1949, inserted in fifth par. of section 'and direction' after 'supervision'. 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 18(b) of Pub. L. 99-646 provided that: 'The amendment made by this section (amending this section) shall take effect on the date of the taking effect of such redesignation (section 3656 of this title renumbered section 3672 effective Nov. 1, 1987).' Section 1861(b)(2) of Pub. L. 99-570 provided that: 'The amendment made by this section (probably should be 'subsection', amending this section) shall take effect on the date of the taking effect of such redesignation (section 3656 of this title renumbered section 3672 effective Nov. 1, 1987).' AUTHORIZATION OF APPROPRIATIONS Section 4(a) of Pub. L. 95-537, as amended by Pub. L. 98-236, Sec. 2, Mar. 20, 1984, 98 Stat. 66; Pub. L. 99-570, title I, Sec. 1861(d), Oct. 27, 1986, 100 Stat. 3207-53; Pub. L. 100-690, title VI, Sec. 6291, Nov. 18, 1988, 102 Stat. 4369; Pub. L. 101-421, Sec. 2, Oct. 12, 1990, 104 Stat. 909, provided that: 'To carry out the purposes of this Act (amending sections 3651 and 4255 of this title) and the 7th paragraph of section 3672 of title 18, United States Code, there are authorized to be appropriated sums not to exceed $3,500,000 for the fiscal year ending September 30, 1980; $3,645,000 for the fiscal year ending September 30, 1981; $3,750,000 for the fiscal year ending September 30, 1982; $5,000,000 for the fiscal year ending September 30, 1984; $5,500,000 for the fiscal year ending September 30, 1985; $6,500,000 for the fiscal year ending September 30, 1986; $12,000,000 for the fiscal year ending September 30, 1987; $24,000,000 for the fiscal year ending September 30, 1988; $26,000,000 for the fiscal year ending September 30, 1989; $30,000,000 for the fiscal year ending September 30, 1990; $40,000,000 for the fiscal year ending September 30, 1991; and $45,000,000 for the fiscal year ending September 30, 1992.' INCREASE IN COMPENSATION RATES Increase in compensation rates fixed under this section, see note under section 603 of Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Administrative Office of United States Courts, see section 601 et seq. of Title 28, Judiciary and Judicial Procedure. ------DocID 24909 Document 1151 of 1438------ -CITE- 18 USC Sec. 3673 -EXPCITE- TITLE 18 PART II CHAPTER 232 -HEAD- Sec. 3673. Definitions for sentencing provisions -STATUTE- As used in chapters 227 and 229 - (1) the term 'found guilty' includes acceptance by a court of a plea of guilty or nolo contendere; (2) the term 'commission of an offense' includes the attempted commission of an offense, the consummation of an offense, and any immediate flight after the commission of an offense; and (3) the term 'law enforcement officer' means a public servant authorized by law or by a government agency to engage in or supervise the prevention, detection, investigation, or prosecution of an offense. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 212(a)(4), Oct. 12, 1984, 98 Stat. 2010, and amended Pub. L. 99-646, Sec. 2(a), Nov. 10, 1986, 100 Stat. 3592.) -MISC1- AMENDMENTS 1986 - Pub. L. 99-646 redesignated pars. (a) to (c) as (1) to (3), respectively, and inserted 'the term' after '(1)', '(2)', and '(3)'. EFFECTIVE DATE OF 1986 AMENDMENT Section 2(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 3673 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. ------DocID 24910 Document 1152 of 1438------ -CITE- 18 USC CHAPTER 232A -EXPCITE- TITLE 18 PART II CHAPTER 232A -HEAD- CHAPTER 232A - SPECIAL FORFEITURE OF COLLATERAL PROFITS OF CRIME -MISC1- Sec. 3681. Order of special forfeiture. 3682. Notice to victims of order of special forfeiture. AMENDMENTS 1986 - Pub. L. 99-646, Sec. 41(b), (c), Nov. 10, 1986, 100 Stat. 3600, renumbered chapter 232 (relating to special forfeiture of collateral profits of crime) as chapter 232A, and renumbered items 3671 and 3672 as items 3681 and 3682, respectively. ------DocID 24911 Document 1153 of 1438------ -CITE- 18 USC Sec. 3681 -EXPCITE- TITLE 18 PART II CHAPTER 232A -HEAD- Sec. 3681. Order of special forfeiture -STATUTE- (a) Upon the motion of the United States attorney made at any time after conviction of a defendant for an offense under section 794 of this title or for an offense against the United States resulting in physical harm to an individual, and after notice to any interested party, the court shall, if the court determines that the interest of justice or an order of restitution under this title so requires, order such defendant to forfeit all or any part of proceeds received or to be received by that defendant, or a transferee of that defendant, from a contract relating to a depiction of such crime in a movie, book, newspaper, magazine, radio or television production, or live entertainment of any kind, or an expression of that defendant's thoughts, opinions, or emotions regarding such crime. (b) An order issued under subsection (a) of this section shall require that the person with whom the defendant contracts pay to the Attorney General any proceeds due the defendant under such contract. (c)(1) Proceeds paid to the Attorney General under this section shall be retained in escrow in the Crime Victims Fund in the Treasury by the Attorney General for five years after the date of an order under this section, but during that five year period may - (A) be levied upon to satisfy - (i) a money judgment rendered by a United States district court in favor of a victim of an offense for which such defendant has been convicted, or a legal representative of such victim; and (ii) a fine imposed by a court of the United States; and (B) if ordered by the court in the interest of justice, be used to - (i) satisfy a money judgment rendered in any court in favor of a victim of any offense for which such defendant has been convicted, or a legal representative of such victim; and (ii) pay for legal representation of the defendant in matters arising from the offense for which such defendant has been convicted, but no more than 20 percent of the total proceeds may be so used. (2) The court shall direct the disposition of all such proceeds in the possession of the Attorney General at the end of such five years and may require that all or any part of such proceeds be released from escrow and paid into the Crime Victims Fund in the Treasury. (d) As used in this section, the term 'interested party' includes the defendant and any transferee of proceeds due the defendant under the contract, the person with whom the defendant has contracted, and any person physically harmed as a result of the offense for which the defendant has been convicted. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1406(a), Oct. 12, 1984, 98 Stat. 2175, Sec. 3671, and amended Pub. L. 99-399, title XIII, Sec. 1306(c), Aug. 27, 1986, 100 Stat. 899; renumbered Sec. 3681 and amended Pub. L. 99-646, Sec. 40, 41(a), Nov. 10, 1986, 100 Stat. 3600.) -MISC1- AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646, Sec. 40, struck out 'chapter 227 or 231 of' after 'restitution under'. Pub. L. 99-399 inserted 'an offense under section 794 of this title or for'. EFFECTIVE DATE Chapter effective 30 days after Oct. 12, 1984, see section 1409(a) of Pub. L. 98-473, set out as a note under section 10601 of Title 42, The Public Health and Welfare. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 42 section 10601. ------DocID 24912 Document 1154 of 1438------ -CITE- 18 USC Sec. 3682 -EXPCITE- TITLE 18 PART II CHAPTER 232A -HEAD- Sec. 3682. Notice to victims of order of special forfeiture -STATUTE- The United States attorney shall, within thirty days after the imposition of an order under this chapter and at such other times as the Attorney General may require, publish in a newspaper of general circulation in the district in which the offense for which a defendant was convicted occurred, a notice that states - (1) the name of, and other identifying information about, the defendant; (2) the offense for which the defendant was convicted; and (3) that the court has ordered a special forfeiture of certain proceeds that may be used to satisfy a judgment obtained against the defendant by a victim of an offense for which the defendant has been convicted. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1406(a), Oct. 12, 1984, 98 Stat. 2176, Sec. 3672; renumbered Sec. 3682, Pub. L. 99-646, Sec. 41(a), Nov. 10, 1986, 100 Stat. 3600.) ------DocID 24913 Document 1155 of 1438------ -CITE- 18 USC CHAPTER 233 -EXPCITE- TITLE 18 PART II CHAPTER 233 -HEAD- CHAPTER 233 - CONTEMPTS -MISC1- Sec. 3691. Jury trial of criminal contempts. 3692. Jury trial for contempt in labor dispute cases. 3693. Summary disposition or jury trial; notice - Rule. ------DocID 24914 Document 1156 of 1438------ -CITE- 18 USC Sec. 3691 -EXPCITE- TITLE 18 PART II CHAPTER 233 -HEAD- Sec. 3691. Jury trial of criminal contempts -STATUTE- Whenever a contempt charged shall consist in willful disobedience of any lawful writ, process, order, rule, decree, or command of any district court of the United States by doing or omitting any act or thing in violation thereof, and the act or thing done or omitted also constitutes a criminal offense under any Act of Congress, or under the laws of any state in which it was done or omitted, the accused, upon demand therefor, shall be entitled to trial by a jury, which shall conform as near as may be to the practice in other criminal cases. This section shall not apply to contempts committed in the presence of the court, or so near thereto as to obstruct the administration of justice, nor to contempts committed in disobedience of any lawful writ, process, order, rule, decree, or command entered in any suit or action brought or prosecuted in the name of, or on behalf of, the United States. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 844.) -MISC1- HISTORICAL AND REVISION NOTES Based on sections 386, 389 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary (Oct. 15, 1914, ch. 323, Sec. 21, 24, 38 Stat. 738, 739). The first paragraph of this section is completely rewritten from section 386 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, omitting everything covered and superseded by rules 23 and 42 of the Federal Rules of Criminal Procedure. The second paragraph of this section is derived from section 389 of title 28, U.S.C., 1940 ed., Judicial Code and Judiciary, omitting directions as to the trial of other contempts which are now covered by rule 42 of the Federal Rules of Criminal Procedure. Minor changes were made in phraseology. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Jury trial for criminal contempt where statutes so provide, see rule 42, Appendix to this title. Statutory provisions defining criminal contempt, see Advisory Committee Notes under rule 42. CROSS REFERENCES Criminal contempts constituting offenses, see section 402 of this title. Jury trial discretionary in cases of criminal contempt arising under civil rights laws, see section 1995 of Title 42, The Public Health and Welfare. Limitations, see section 3285 of this title. Power to punish for contempt generally, see section 401 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 402 of this title. ------DocID 24915 Document 1157 of 1438------ -CITE- 18 USC Sec. 3692 -EXPCITE- TITLE 18 PART II CHAPTER 233 -HEAD- Sec. 3692. Jury trial for contempt in labor dispute cases -STATUTE- In all cases of contempt arising under the laws of the United States governing the issuance of injunctions or restraining orders in any case involving or growing out of a labor dispute, the accused shall enjoy the right to a speedy and public trial by an impartial jury of the State and district wherein the contempt shall have been committed. This section shall not apply to contempts committed in the presence of the court or so near thereto as to interfere directly with the administration of justice nor to the misbehavior, misconduct, or disobedience of any officer of the court in respect to the writs, orders or process of the court. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 844.) -MISC1- HISTORICAL AND REVISION NOTES Based on section 111 of Title 29, U.S.C., 1940 ed., Labor (Mar. 23, 1932, ch. 90, Sec. 11, 47 Stat. 72). The phrase 'or the District of Columbia arising under the laws of the United States governing the issuance of injunctions or restraining orders in any case involving or growing out of a labor dispute' was inserted and the reference to specific sections of the Norris-LaGuardia Act (sections 101-115 of Title 29, U.S.C., 1940 ed.) were eliminated. TAFT-HARTLEY INJUNCTIONS Former section 111 of Title 29, Labor, upon which this section is based, as inapplicable to injunctions issued under the Taft-Hartley Act, see section 178 of Title 29. -CROSS- CROSS REFERENCES Injunctions in labor disputes as provided for by Norris-LaGuardia Act, see section 101 et seq. of Title 29, Labor. ------DocID 24916 Document 1158 of 1438------ -CITE- 18 USC Sec. 3693 -EXPCITE- TITLE 18 PART II CHAPTER 233 -HEAD- Sec. 3693. Summary disposition or jury trial; notice - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Summary punishment; certificate of judge; order; notice; jury trial; bail; disqualification of judge, Rule 42. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 844.) ------DocID 24917 Document 1159 of 1438------ -CITE- 18 USC CHAPTER 235 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- CHAPTER 235 - APPEAL -MISC1- Sec. 3731. Appeal by United States. 3732. Taking of appeal; notice; time - Rule. 3733. Assignment of errors - Rule. 3734. Bill of exceptions abolished - Rule. 3735. Bail on appeal or certiorari - Rule. 3736. Certiorari - Rule. 3737. Record - Rule. 3738. Docketing appeal and record - Rule. 3739. Supervision - Rule. 3740. Argument - Rule. 3741. Harmless error and plain error - Rule. 3742. Review of a sentence. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 213(b), Oct. 12, 1984, 98 Stat. 2013, added item 3742. ------DocID 24918 Document 1160 of 1438------ -CITE- 18 USC Sec. 3731 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3731. Appeal by United States -STATUTE- In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment, or order of a district court dismissing an indictment or information or granting a new trial after verdict or judgment, as to any one or more counts, except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution. An appeal by the United States shall lie to a court of appeals from a decision or order of a district courts suppressing or excluding evidence or requiring the return of seized property in a criminal proceeding, not made after the defendant has been put in jeopardy and before the verdict or finding on an indictment or information, if the United States attorney certifies to the district court that the appeal is not taken for purpose of delay and that the evidence is a substantial proof of a fact material in the proceeding. An appeal by the United States shall lie to a court of appeals from a decision or order, entered by a district court of the United States, granting the release of a person charged with or convicted of an offense, or denying a motion for revocation of, or modification of the conditions of, a decision or order granting release. The appeal in all such cases shall be taken within thirty days after the decision, judgment or order has been rendered and shall be diligently prosecuted. The provisions of this section shall be liberally construed to effectuate its purposes. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 844; May 24, 1949, ch. 139, Sec. 58, 63 Stat. 97; June 19, 1968, Pub. L. 90-351, title VIII, Sec. 1301, 82 Stat. 237; Jan. 2, 1971, Pub. L. 91-644, title III, Sec. 14(a), 84 Stat. 1890; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 205, 1206, 98 Stat. 1986, 2153; Pub. L. 99-646, Sec. 32, Nov. 10, 1986, 100 Stat. 3598.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 682 (Mar. 2, 1907, ch. 2564, 34 Stat. 1246; Mar. 3, 1911, ch. 231, Sec. 291, 36 Stat. 1167; Jan. 31, 1928, ch. 14, Sec. 1, 45 Stat. 54; May 9, 1942, ch. 295, Sec. 1, 56 Stat. 271). The word 'dismissing' was substituted for 'sustaining a motion to dismiss' in two places for conciseness and clarity, there being no difference in effect of a decision of dismissal whether made on motion or by the court sua sponte. Minor changes were made to conform to Rule 12 of the Federal Rules of Criminal Procedure. The final sentence authorizing promulgation of rules is omitted as redundant. 1949 ACT This section (section 58) corrects a typographical error in the second paragraph of section 3731 of title 18, U.S.C., and conforms the language of the fifth, tenth, and eleventh paragraphs of such section 3731 with the changed nomenclature of title 28, U.S.C., Judiciary and Judicial Procedure. See sections 41, 43, and 451 of the latter title. AMENDMENTS 1986 - Fifth par. Pub. L. 99-646 struck out fifth par. which read as follows: 'Pending the prosecution and determination of the appeal in the foregoing instances, the defendant shall be released in accordance with chapter 207 of this title.' 1984 - First par. Pub. L. 98-473, Sec. 1206, inserted 'or granting a new trial after verdict or judgment,' after 'indictment or information'. Third par. Pub. L. 98-473, Sec. 205, inserted third par. relating to appeals from a decision or order, entered by a district court of the United States, granting the release of a person charged with or convicted of an offense, or denying a motion for revocation of, or modification of the conditions of, a decision or order granting release. 1971 - First par. Pub. L. 91-644, Sec. 14(a)(1), enacted provision for appeal to a court of appeals from decision, judgment, or order of district court dismissing an indictment or information as to any one or more counts, except that no appeal shall lie where double jeopardy prohibits further prosecution. Second par. Pub. L. 91-644, Sec. 14(a)(1), enacted provision for appeal to a court of appeals from decision or order of district court suppressing or excluding evidence or requiring the return of seized property in a criminal proceeding, not made after the defendant has been put in jeopardy and before the verdict or finding on an indictment or information, if the United States attorney certifies to the district court that the appeal is not taken for purpose of delay and that the evidence is a substantial proof of a fact material in the proceeding. Such first and second pars. superseded former first eight pars. Pars. one through four had provided for appeal from district courts to Supreme Court from decision or judgment setting aside, or dismissing any indictment or information, or any count thereof and from decision arresting judgment of conviction for insufficiency of indictment or information, where such decision or judgment was based upon invalidity or construction of the statute upon which the indictment or information was founded and for an appeal from decision or judgment sustaining a motion in bar, where defendant had not been put in jeopardy. Pars. five through eight provided for appeal from district courts to a court of appeals where there were no provisions for direct appeal to Supreme Court from decision or judgment setting aside, or dismissing any indictment or information, or any count thereof and from decision arresting a judgment of conviction, and from an order, granting a motion for return of seized property or a motion to suppress evidence, made before trial of a person charged with violation of a Federal law, if the United States attorney certified to the judge who granted the motion that the appeal was not taken for purpose of delay and that the evidence was a substantial proof of the charge pending against the defendant. Third par. Pub. L. 91-644, Sec. 14(a)(2), authorized within third par., formerly ninth, an appeal within thirty days after order has been rendered. Fourth par. Pub. L. 91-644, Sec. 14(a), in revising the provisions, had the effect of designating former tenth par. as fourth par. Fifth par. Pub. L. 91-644, Sec. 14(a)(3), substituted as a fifth par. provision for liberal construction of this section for prior eleventh par. provision respecting remand of case by Supreme Court to court of appeals that should have been taken to such court and treatment of the court's jurisdiction to hear and determine the case as if the appeal were so taken in the first instance and for prior twelfth par. provision respecting certification of case to Supreme Court that should have been taken directly to such Court and treatment of the Court's jurisdiction to hear and determine the case as if the appeal were taken directly to such Court. 1968 - Pub. L. 90-351 inserted eighth par. providing for an appeal by the United States from decisions sustaining motions to suppress evidence and substituted in tenth par. 'defendant shall be released in accordance with chapter 207 of this title' for 'defendant shall be admitted to bail on his own recognizance', respectively. 1949 - Act May 24, 1949, substituted 'invalidity' for 'validity' after 'upon the' in second par., and conformed language of fifth, tenth, and eleventh pars. to the changed nomenclature of the courts. SAVINGS PROVISION Section 14(b) of Pub. L. 91-644 provided that: 'The amendments made by this section (amending this section) shall not apply with respect to any criminal case begun in any district court before the effective date of this section (Jan. 2, 1971).' -CROSS- CROSS REFERENCES Appellate jurisdiction of courts of appeals, see section 1291 of Title 28, Judiciary and Judicial Procedure. Prosecution in territory or Commonwealth authorized to seek review in appropriate local or Federal appellate courts, see section 1493 of Title 48, Territories and Insular Possessions. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3143, 3145 of this title. ------DocID 24919 Document 1161 of 1438------ -CITE- 18 USC Sec. 3732 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3732. Taking of appeal; notice; time - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Taking appeal; notice, contents, signing; time, Rule 37(a). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 845.) -REFTEXT- REFERENCES IN TEXT Rule 37 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968, and is covered by Rule 3, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24920 Document 1162 of 1438------ -CITE- 18 USC Sec. 3733 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3733. Assignment of errors - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Assignments of error on appeal abolished, Rule 37(a)(1). Necessity of specific objection in order to assign error in instructions, Rule 30. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 845.) -REFTEXT- REFERENCES IN TEXT Rule 37 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1947, eff. July 1, 1968, and is covered by Rule 3, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24921 Document 1163 of 1438------ -CITE- 18 USC Sec. 3734 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3734. Bill of exceptions abolished - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Exceptions abolished, Rule 51. Bill of exceptions not required, Rule 37(a)(1). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 845.) -REFTEXT- REFERENCES IN TEXT Rule 37 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968, and is covered by Rule 3, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24922 Document 1164 of 1438------ -CITE- 18 USC Sec. 3735 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3735. Bail on appeal or certiorari - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Bail on appeal or certiorari; application, Rules 38(c) and 46(a)(2). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 845.) -REFTEXT- REFERENCES IN TEXT Rule 38(c) of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968, and is covered by rule 9, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. Rule 46 was amended as part of the Bail Reform Act in 1966 and in 1972, and some provisions originally contained in Rule 46 are covered by this chapter, see Notes of Advisory Committee on Rules and Amendment notes under Rule 46, this Appendix. ------DocID 24923 Document 1165 of 1438------ -CITE- 18 USC Sec. 3736 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3736. Certiorari - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Petition to Supreme Court, time, Rule 37(b). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 845.) -REFTEXT- REFERENCES IN TEXT Rule 37 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968. Provisions of such former rule for certiorari are covered by rule 19 et seq. of the Rules of the United States Supreme Court, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24924 Document 1166 of 1438------ -CITE- 18 USC Sec. 3737 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3737. Record - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Preparation, form; typewritten record, Rule 39(b). Exceptions abolished, Rule 51. Bill of exceptions unnecessary, Rule 37(a)(1). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 846.) -REFTEXT- REFERENCES IN TEXT Rules 37 and 39 of the Federal Rules of Criminal Procedure were abrogated Dec. 4, 1967, eff. July 1, 1968, and are covered by Rule 10, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Poor persons, costs of printing transcript and record on appeal in criminal cases to be paid by United States, see sections 753 and 1915 of Title 28, Judiciary and Judicial Procedure. ------DocID 24925 Document 1167 of 1438------ -CITE- 18 USC Sec. 3738 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3738. Docketing appeal and record - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Filing record on appeal and docketing proceeding; time, Rule 39(c). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 846.) -REFTEXT- REFERENCES IN TEXT Rule 39 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968, and is covered by Rules 10 to 12, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24926 Document 1168 of 1438------ -CITE- 18 USC Sec. 3739 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3739. Supervision - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Control and supervision in appellate court, Rule 39(a). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 846.) -REFTEXT- REFERENCES IN TEXT Rule 39 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968, and is covered by Rule 27, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24927 Document 1169 of 1438------ -CITE- 18 USC Sec. 3740 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3740. Argument - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Setting appeal for argument; preference to criminal appeals, Rule 39(d). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 846.) -REFTEXT- REFERENCES IN TEXT Rule 39 of the Federal Rules of Criminal Procedure was abrogated Dec. 4, 1967, eff. July 1, 1968, and is covered by Rule 34, Federal Rules of Appellate Procedure, set out in the Appendix to Title 28, Judiciary and Judicial Procedure. ------DocID 24928 Document 1170 of 1438------ -CITE- 18 USC Sec. 3741 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3741. Harmless error and plain error - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Error or defect as affecting substantial rights, Rule 52. Defects in indictment, Rule 7. Waiver of error, Rules 12(b)(2) and 30. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 846.) -CROSS- CROSS REFERENCES Harmless error, see section 2111 of Title 28, Judiciary and Judicial Procedure. ------DocID 24929 Document 1171 of 1438------ -CITE- 18 USC Sec. 3742 -EXPCITE- TITLE 18 PART II CHAPTER 235 -HEAD- Sec. 3742. Review of a sentence -STATUTE- (a) Appeal by a Defendant. - A defendant may file a notice of appeal in the district court for review of an otherwise final sentence if the sentence - (1) was imposed in violation of law; (2) was imposed as a result of an incorrect application of the sentencing guidelines; or (3) is greater than the sentence specified in the applicable guideline range to the extent that the sentence includes a greater fine or term of imprisonment, probation, or supervised release than the maximum established in the guideline range, or includes a more limiting condition of probation or supervised release under section 3563(b)(6) or (b)(11) than the maximum established in the guideline range; or (4) was imposed for an offense for which there is no sentencing guideline and is plainly unreasonable. (b) Appeal by the Government. - The Government, (FOOTNOTE 1) may file a notice of appeal in the district court for review of an otherwise final sentence if the sentence - (FOOTNOTE 1) So in original. The comma probably should not appear. (1) was imposed in violation of law; (2) was imposed as a result of an incorrect application of the sentencing guidelines; (3) is less than the sentence specified in the applicable guideline range to the extent that the sentence includes a lesser fine or term of imprisonment, probation, or supervised release than the minimum established in the guideline range, or includes a less limiting condition of probation or supervised release under section 3563(b)(6) or (b)(11) than the minimum established in the guideline range; or (4) was imposed for an offense for which there is no sentencing guideline and is plainly unreasonable. The Government may not further prosecute such appeal without the personal approval of the Attorney General, the Solicitor General, or a deputy solicitor general designated by the Solicitor General. (c) Plea Agreements. - In the case of a plea agreement that includes a specific sentence under rule 11(e)(1)(C) of the Federal Rules of Criminal Procedure - (1) a defendant may not file a notice of appeal under paragraph (3) or (4) of subsection (a) unless the sentence imposed is greater than the sentence set forth in such agreement; and (2) the Government may not file a notice of appeal under paragraph (3) or (4) of subsection (b) unless the sentence imposed is less than the sentence set forth in such agreement. (d) Record on Review. - If a notice of appeal is filed in the district court pursuant to subsection (a) or (b), the clerk shall certify to the court of appeals - (1) that portion of the record in the case that is designated as pertinent by either of the parties; (2) the presentence report; and (3) the information submitted during the sentencing proceeding. (e) Consideration. - Upon review of the record, the court of appeals shall determine whether the sentence - (1) was imposed in violation of law; (2) was imposed as a result of an incorrect application of the sentencing guidelines; (3) is outside the applicable guideline range, and is unreasonable, having regard for - (A) the factors to be considered in imposing a sentence, as set forth in chapter 227 of this title; and (B) the reasons for the imposition of the particular sentence, as stated by the district court pursuant to the provisions of section 3553(c); or (4) was imposed for an offense for which there is no applicable sentencing guideline and is plainly unreasonable. The court of appeals shall give due regard to the opportunity of the district court to judge the credibility of the witnesses, and shall accept the findings of fact of the district court unless they are clearly erroneous and shall give due deference to the district court's application of the guidelines to the facts. (f) Decision and Disposition. - If the court of appeals determines that the sentence - (1) was imposed in violation of law or imposed as a result of an incorrect application of the sentencing guidelines, the court shall remand the case for further sentencing proceedings with such instructions as the court considers appropriate; (2) is outside the applicable guideline range and is unreasonable or was imposed for an offense for which there is no applicable sentencing guideline and is plainly unreasonable, it shall state specific reasons for its conclusions and - (A) if it determines that the sentence is too high and the appeal has been filed under subsection (a), it shall set aside the sentence and remand the case for further sentencing proceedings with such instructions as the court considers appropriate; (B) if it determines that the sentence is too low and the appeal has been filed under subsection (b), it shall set aside the sentence and remand the case for further sentencing proceedings with such instructions as the court considers appropriate; (3) is not described in paragraph (1) or (2), it shall affirm the sentence. (g) Application to a Sentence by a Magistrate. - An appeal of an otherwise final sentence imposed by a United States magistrate may be taken to a judge of the district court, and this section shall apply (except for the requirement of approval by the Attorney General or the Solicitor General in the case of a Government appeal) as though the appeal were to a court of appeals from a sentence imposed by a district court. (h) Guideline Not Expressed as a Range. - For the purpose of this section, the term 'guideline range' includes a guideline range having the same upper and lower limits. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 213(a), Oct. 12, 1984, 98 Stat. 2011, and amended Pub. L. 99-646, Sec. 73(a), Nov. 10, 1986, 100 Stat. 3617; Pub. L. 100-182, Sec. 4-6, Dec. 7, 1987, 101 Stat. 1266, 1267; Pub. L. 100-690, title VII, Sec. 7103(a), Nov. 18, 1988, 102 Stat. 4416; Pub. L. 101-647, title XXXV, Sec. 3501, 3503, Nov. 29, 1990, 104 Stat. 4921.) -REFTEXT- REFERENCES IN TEXT The Federal Rules of Criminal Procedure, referred to in subsec. (c), are set out in the Appendix of this title. -MISC2- AMENDMENTS 1990 - Subsec. (b). Pub. L. 101-647, Sec. 3501, struck out ', with the personal approval of the Attorney General or the Solicitor General' after 'The Government' in introductory provisions and inserted at end 'The Government may not further prosecute such appeal without the personal approval of the Attorney General, the Solicitor General, or a deputy solicitor general designated by the Solicitor General.' Subsec. (g). Pub. L. 101-647, Sec. 3503, inserted '(except for the requirement of approval by the Attorney General or the Solicitor General in the case of a Government appeal)' after 'and this section shall apply'. 1988 - Subsec. (a)(2). Pub. L. 100-690, Sec. 7103(a)(1), struck out 'issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)' after 'guidelines'. Subsec. (a)(3). Pub. L. 100-690, Sec. 7103(a)(2), added par. (3) and struck out former par. (3) which read as follows: 'was imposed for an offense for which a sentencing guideline has been issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(1), and the sentence is greater than - '(A) the sentence specified in the applicable guideline to the extent that the sentence includes a greater fine or term of imprisonment or term of supervised release than the maximum established in the guideline, or includes a more limiting condition of probation or supervised release under section 3563(b)(6) or (b)(11) than the maximum established in the guideline; and '(B) the sentence specified in a plea agreement, if any, under Rule 11(e)(1)(B) or (e)(1)(C) of the Federal Rules of Criminal Procedure; or'. Subsec. (a)(4). Pub. L. 100-690, Sec. 7103(a)(4), added par. (4) and struck out former par. (4) which read as follows: 'was imposed for an offense for which no sentencing guideline has been issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(1) and is plainly unreasonable or greater than the sentence specified in a plea agreement under Rule 11(e)(1)(B) or (e)(1)(C) of the Federal Rules of Criminal Procedure.' Subsec. (b). Pub. L. 100-690, Sec. 7103(a)(5), inserted ', with the personal approval of the Attorney General or the Solicitor General,' after 'The Government' in introductory provisions, and struck out concluding provisions which read as follows: 'and the Attorney General or the Solicitor General personally approves the filing of the notice of appeal.' Subsec. (b)(2). Pub. L. 100-690, Sec. 7103(a)(1), struck out 'issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)' after 'guidelines'. Subsec. (b)(3). Pub. L. 100-690, Sec. 7103(a)(3), added par. (3) and struck out former par. (3) which read as follows: 'was imposed for an offense for which a sentencing guideline has been issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(1), and the sentence is less than - '(A) the sentence specified in the applicable guideline to the extent that the sentence includes a lesser fine or term of imprisonment or term of supervised release than the minimum established in the guideline, or includes a less limiting condition of probation or supervised release under section 3563(b)(6) or (b)(11) than the minimum established in the guideline; and '(B) the sentence specified in a plea agreement, if any, under Rule 11(e)(1)(B) or (e)(1)(C) of the Federal Rules of Criminal Procedure; or'. Subsec. (b)(4). Pub. L. 100-690, Sec. 7103(a)(5)(A), added par. (4) and struck out former par. (4) which read as follows: 'was imposed for an offense for which no sentencing guideline has been issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(1) and is plainly unreasonable or less than the sentence specified in a plea agreement under Rule 11(e)(1)(B) or (e)(1)(C) of the Federal Rules of Criminal Procedure;'. Subsec. (c). Pub. L. 100-690, Sec. 7103(a)(8), added subsec. (c). Former subsec. (c) redesignated (d). Subsec. (d). Pub. L. 100-690, Sec. 7103(a)(8), redesignated former subsec. (c) as (d). Former subsec. (d) redesignated (e). Pub. L. 100-690, Sec. 7103(a)(6), (7), substituted 'applicable guideline range' for 'range of the applicable sentencing guideline' in par. (3) and inserted 'and shall give due deference to the district court's application of the guidelines to the facts' after 'are clearly erroneous' in concluding provisions. Subsec. (e). Pub. L. 100-690, Sec. 7103(a)(8), redesignated former subsec. (d) as (e). Former subsec. (e) redesignated (f). Subsec. (e)(2). Pub. L. 100-690, Sec. 7103(a)(6), substituted 'applicable guideline range' for 'range of the applicable sentencing guideline'. Subsecs. (f), (g). Pub. L. 100-690, Sec. 7103(a)(8), redesignated former subsecs. (e) and (f) as (f) and (g), respectively. Subsec. (h). Pub. L. 100-690, Sec. 7103(a)(9), added subsec. (h). 1987 - Subsec. (a)(4). Pub. L. 100-182, Sec. 5(1), substituted 'and is plainly unreasonable or greater than the sentence specified in a plea agreement under' for 'and is greater than the sentence specified in a plea agreement, if any, under'. Subsec. (b)(4). Pub. L. 100-182, Sec. 5(2), substituted 'and is plainly unreasonable or less than the sentence specified in a plea agreement under' for 'and is less than the sentence specified in a plea agreement, if any, under'. Subsec. (d)(4). Pub. L. 100-182, Sec. 5(3), added par. (4). Subsec. (e)(2). Pub. L. 100-182, Sec. 5(4), inserted 'or was imposed for an offense for which there is no applicable sentencing guideline and is plainly unreasonable' in introductory provisions. Subsec. (e)(2)(A), (B). Pub. L. 100-182, Sec. 5(5), substituted 'and' for 'the court shall' before 'remand'. Subsec. (e)(3). Pub. L. 100-182, Sec. 6, amended par. (3) generally. Prior to amendment, par. (3) read as follows: 'was not imposed in violation of law or imposed as a result of an incorrect application of the sentencing guidelines, and is not unreasonable, it shall affirm the sentence.' Subsec. (f). Pub. L. 100-182, Sec. 4, added subsec. (f). 1986 - Subsec. (e)(1). Pub. L. 99-646, Sec. 73(a)(1), substituted provision directing the court to remand the case for further sentencing proceedings with such instructions as the court considers appropriate, for provision directing the court to remand the case for further sentencing proceedings or correct the sentence. Subsec. (e)(2)(A). Pub. L. 99-646, Sec. 73(a)(2), substituted provision directing the court to remand the case for further sentencing proceedings with such instructions as the court considers appropriate for provision directing the court to remand the case for imposition of a lesser sentence, remand the case for further sentencing proceedings, or impose a lesser sentence. Subsec. (e)(2)(B). Pub. L. 99-646, Sec. 73(a)(2), substituted provision directing the court to remand the case for further sentencing proceedings with such instructions as the court considers appropriate, for provision directing the court to remand the case for imposition of a greater sentence, remand the case for further sentencing proceedings, or impose a greater sentence. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- 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 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. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3143, 3557, 3562, 3572, 3582, 4106A of this title. ------DocID 24930 Document 1172 of 1438------ -CITE- 18 USC (CHAPTER 237 -EXPCITE- TITLE 18 PART II (CHAPTER 237 -HEAD- (CHAPTER 237 - REPEALED) ------DocID 24931 Document 1173 of 1438------ -CITE- 18 USC Sec. 3771, 3772 -EXPCITE- TITLE 18 PART II (CHAPTER 237 -HEAD- (Sec. 3771, 3772. Repealed. Pub. L. 100-702, title IV, Sec. 404(a), Nov. 19, 1988, 102 Stat. 4651) -MISC1- Section 3771, acts June 25, 1948, ch. 645, 62 Stat. 846; May 24, 1949, ch. 139, Sec. 59, 63 Stat. 98; May 10, 1950, ch. 174, Sec. 1, 64 Stat. 158; July 7, 1958, Pub. L. 85-508, Sec. 12(k), 72 Stat. 348; Mar. 18, 1959, Pub. L. 86-3, Sec. 14(g), 73 Stat. 11; Oct. 17, 1968, Pub. L. 90-578, title III, Sec. 301(a)(2), 82 Stat. 1115, related to procedure to and including verdict. Section 3772, acts June 25, 1948, ch. 645, 62 Stat. 846; May 24, 1949, ch. 139, Sec. 60, 63 Stat. 98; July 7, 1958, Pub. L. 85-508, Sec. 12(l), 72 Stat. 348; Mar. 18, 1959, Pub. L. 86-3, Sec. 14(h), 73 Stat. 11; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 206, 98 Stat. 1986, related to procedure after verdict. See sections 2071 to 2074 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF REPEAL Sections repealed effective Dec. 1, 1988, see section 407 of Pub. L. 100-702, set out as an Effective Date of 1988 Amendment note under section 2071 of Title 28, Judiciary and Judicial Procedure. AMENDMENTS TO CRIMINAL RULES AND RULES OF EVIDENCE PROPOSED APRIL 30, 1979; POSTPONEMENT OF EFFECTIVE DATE UNTIL AUGUST 1, 1979, AND DECEMBER 1, 1980 Pub. L. 96-42, July 31, 1979, 93 Stat. 326, provided: 'That notwithstanding any provision of section 3771 or 3772 of title 18 of the United States Code or of section 2072, 2075, or 2076 of title 28 of the United States Code to the contrary - '(1) the amendments proposed by the United States Supreme Court and transmitted by the Chief Justice on April 30, 1979, to the Federal Rules of Criminal Procedure affecting rules 11(e)(6), 17(h), 32(f), and 44(c), and adding new rules 26.2 and 32.1, and the amendment so proposed and transmitted to the Federal Rules of Evidence affecting rule 410, shall not take effect until December 1, 1980, or until and then only to the extent approved by Act of Congress, whichever is earlier; and '(2) the amendment proposed by the United States Supreme Court and transmitted by the Chief Justice on April 30, 1979, affecting rule 40 of the Federal Rules of Criminal Procedure shall take effect on August 1, 1979, with the following amendments: '(A) In the matter designated as paragraph (1) of subdivision (d), strike out 'in accordance with Rule 32.1(a)'. '(B) In the matter designated as paragraph (2) of subdivision (d), strike out 'in accordance with Rule 32.1(a)(1)'.' APPROVAL AND EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 26, 1976 Section 1 of Pub. L. 95-78, July 30, 1977, 91 Stat. 319, provided: 'That notwithstanding the first section of the Act entitled 'An Act to delay the effective date of certain proposed amendments to the Federal Rules of Criminal Procedure and certain other rules promulgated by the United States Supreme Court' (Public Law 94-349, approved July 8, 1976) (90 Stat. 822) the amendments to rules 6(e), 23, 24, 40.1, and 41(c)(2) of the Rules of Criminal Procedure for the United States district courts (set out in the Appendix to this title) which are embraced by the order entered by the United States Supreme Court on April 26, 1976, shall take effect only as provided in this Act (see section 4 of Pub. L. 95-78, set out below).' EFFECTIVE DATE OF PUB. L. 95-78 Pub. L. 95-78, Sec. 4, July 30, 1977, 91 Stat. 322, provided that: '(a) The first section of this Act (set out as a note above) shall take effect on the date of the enactment of this Act (July 30, 1977). '(b) Sections 2 and 3 of this Act (which amended section 1446 of Title 28, Judiciary and Judicial Procedure, approved proposed amendment of rule 23 of the Federal Rules of Criminal Procedure, modified and approved proposed amendment of rules 6 and 41 of the Federal Rules of Criminal Procedure, and disapproved the proposed amendment of rule 24 of the Federal Rules of Criminal Procedure and the proposed addition of rule 40.1 of the Federal Rules of Criminal Procedure) shall take effect October 1, 1977.' AMENDMENTS TO CRIMINAL RULES UNDER SUPREME COURT ORDER OF APRIL 26, 1976; POSTPONEMENT OF EFFECTIVE DATE Pub. L. 94-349, Sec. 1, July 8, 1976, 90 Stat. 822, provided: 'That, notwithstanding the provisions of sections 3771 and 3772 of title 18 of the United States Code the amendments to rules 6(e), 23, 24, 40.1 and 41(c)(2) of the Rules of Criminal Procedure for the United States district courts which are embraced by the order entered by the United States Supreme Court on April 26, 1976, and which were transmitted to the Congress on or about April 26, 1976, shall not take effect until August 1, 1977, or until and to the extent approved by Act of Congress, whichever is earlier. The remainder of the proposed amendments to the Federal Rules of Criminal Procedure (rules 6(f), 41(a), (c)(1), and 50(b)) shall become effective August 1, 1976, pursuant to law.' AMENDMENTS TO CRIMINAL RULES UNDER SUPREME COURT ORDER OF APRIL 22, 1974; POSTPONEMENT OF EFFECTIVE DATE UNTIL AUGUST 1, 1975 Pub. L. 93-361, July 30, 1974, 88 Stat. 397, provided: 'That, notwithstanding the provisions of sections 3771 and 3772 of title 18 of the United States Code, the effective date of the proposed amendments to the Federal Rules of Criminal Procedure which are embraced by the order entered by the United States Supreme Court on April 22, 1974, and which were transmitted to the Congress by the Chief Justice on April 22, 1974, is postponed until August 1, 1975.' APPROVAL AND EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974 Pub. L. 94-64, Sec. 2, July 31, 1975, 89 Stat. 370, provided that: 'The amendments proposed by the United States Supreme Court to the Federal Rules of Criminal Procedure (adding rules 12.1, 12.2, and 29.1 and amending rules 4, 9(a), 11, 12, 15, 16, 17(f), 20, 32(a), (c), and (e), and 43) which are embraced in the order of that Court on April 22, 1974, are approved except as otherwise provided in this Act (making further amendments to rules 4, 9(a), 11, 12, 12.1, 12.2, 15, 16, 17(f), 20, 32(a), (c), and (e), and 43) and shall take effect on December 1, 1975. Except with respect to the amendment to Rule 11, insofar as it adds Rule 11(e)(6), which shall take effect on August 1, 1975, the amendments made by section 3 of this Act shall also take effect on December 1, 1975.' CONGRESSIONAL APPROVAL REQUIREMENT FOR PROPOSED RULES OF EVIDENCE FOR UNITED STATES COURTS AND AMENDMENTS TO FEDERAL RULES OF CIVIL PROCEDURE AND CRIMINAL PROCEDURE; SUSPENSION OF EFFECTIVENESS OF SUCH RULES Pub. L. 93-12, Mar. 30, 1973, 87 Stat. 9, provided: 'That notwithstanding any other provisions of law, the Rules of Evidence for United States Courts and Magistrates, the Amendments to the Federal Rules of Civil Procedure, and the Amendments to the Federal Rules of Criminal Procedure, which are embraced by the orders entered by the Supreme Court of the United States on Monday, November 20, 1972, and Monday, December 18, 1972, shall have no force or effect except to the extent, and with such amendments, as they may be expressly approved by Act of Congress.' APPROVAL AND EFFECTIVE DATE OF AMENDMENTS PROPOSED NOVEMBER 20, 1972, AND DECEMBER 18, 1972 Pub. L. 93-595, Sec. 3, Jan. 2, 1975, 88 Stat. 1949, provided: 'The Congress expressly approves the amendments to the Federal Rules of Civil Procedure (amending Rules 30(c), 32(c), 43, and 44.1), and the amendments to the Federal Rules of Criminal Procedure (amending Rules 26, 26.1, and 28) which are embraced by the orders entered by the Supreme Court of the United States on November 20, 1972, and December 18, 1972, and such amendments shall take effect on the one hundred and eightieth day beginning after the date of the enactment of this Act (Jan. 2, 1975).' ------DocID 24932 Document 1174 of 1438------ -CITE- 18 USC PART III -EXPCITE- TITLE 18 PART III -HEAD- PART III - PRISONS AND PRISONERS -MISC1- Chap. Sec. 301. General provisions 4001 303. Bureau of Prisons 4041 305. Commitment and transfer 4081 306. Transfer to or from foreign countries 4100 307. Employment 4121 309. Repealed 311. Repealed 313. Offenders with mental disease or defect 4241 314. Repealed 315. Discharge and release payments 4281 317. Institutions for women 4321 319. National Institute of Corrections 4351 AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3597, Nov. 29, 1990, 104 Stat. 4931, added items 306 and 319. 1984 - Pub. L. 98-473, title II, Sec. 218(d), Oct. 12, 1984, 98 Stat. 2027, in items 309, 311, and 314 substituted 'Repealed' for 'Good time allowances', 'Parole', and 'Narcotic addicts', respectively. Pub. L. 98-473, title II, Sec. 403(b), Oct. 12, 1984, 98 Stat. 2067, substituted 'Offenders with mental disease or defect' for 'Mental defectives' in item 313. 1966 - Pub. L. 89-793, title VI, Sec. 603, Nov. 8, 1966, 80 Stat. 1450, added item 314. -SECREF- PART REFERRED TO IN OTHER SECTIONS This part is referred to in title 22 section 3852. ------DocID 24933 Document 1175 of 1438------ -CITE- 18 USC CHAPTER 301 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- CHAPTER 301 - GENERAL PROVISIONS -MISC1- Sec. 4001. Limitation on detention; control of prisons. 4002. Federal prisoners in State institutions; employment. 4003. Federal institutions in States without appropriate facilities. 4004. Oaths and acknowledgments. 4005. Medical relief; expenses. 4006. Subsistence for prisoners. 4007. Expenses of prisoners. 4008. Transportation expenses. 4009. Appropriations for sites and buildings. 4010. Acquisition of additional land. 4011. Disposition of cash collections for meals, laundry, etc. 4012. Summary seizure and forfeiture of prison contraband. 4013. Support of United States prisoners in non-Federal institutions. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7608(d)(2), Nov. 18, 1988, 102 Stat. 4517, added item 4013. 1984 - Pub. L. 98-473, title II, Sec. 1109(e), Oct. 12, 1984, 98 Stat. 2148, added item 4012. 1971 - Pub. L. 92-128, Sec. 1(c), Sept. 25, 1971, 85 Stat. 347, substituted 'Limitation on detention; control of prisons' for 'Control by Attorney General' in item 4001. 1966 - Pub. L. 89-554, Sec. 3(e), Sept. 6, 1966, 80 Stat. 610, added items 4010 and 4011. ------DocID 24934 Document 1176 of 1438------ -CITE- 18 USC Sec. 4001 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4001. Limitation on detention; control of prisons -STATUTE- (a) No citizen shall be imprisoned or otherwise detained by the United States except pursuant to an Act of Congress. (b)(1) The control and management of Federal penal and correctional institutions, except military or naval institutions, shall be vested in the Attorney General, who shall promulgate rules for the government thereof, and appoint all necessary officers and employees in accordance with the civil-service laws, the Classification Act, as amended, and the applicable regulations. (2) The Attorney General may establish and conduct industries, farms, and other activities and classify the inmates; and provide for their proper government, discipline, treatment, care, rehabilitation, and reformation. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 847; Sept. 25, 1971, Pub. L. 92-128, Sec. 1(a), (b), 85 Stat. 347.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1934 ed., Sec. 741 and 753e (Mar. 3, 1891, ch. 529, Sec. 1, 4, 26 Stat. 839; May 14, 1930, ch. 274, Sec. 6, 46 Stat. 326). This section consolidates said sections 741 and 753e with such changes of language as were necessary to effect consolidation. 'The Classification Act, as amended,' was inserted more clearly to express the existing procedure for appointment of officers and employees as noted in letter of the Director of Bureau of Prisons, June 19, 1944. -REFTEXT- REFERENCES IN TEXT The civil-service laws, referred to in subsec. (b)(1), are set forth in Title 5, Government Organization and Employees. See, particularly, section 3301 et seq. of Title 5. The Classification Act, as amended, referred to in subsec. (b)(1), originally was the Classification Act of 1923, Mar. 4, 1923, ch. 265, 42 Stat. 1488, as amended, which was repealed by section 1202 of the Classification Act of 1949, Oct. 28, 1949, ch. 782, 63 Stat. 972. Section 1106(a) of the 1949 Act provided that references in other laws to the Classification Act of 1923 shall be held and considered to mean the Classification Act of 1949. The Classification Act of 1949 was in turn repealed by Pub. L. 89-554, Sec. 8(a), Sept. 6, 1966, 80 Stat. 632, and reenacted by the first section thereof as chapter 51 and subchapter III of chapter 53 of Title 5. -MISC2- AMENDMENTS 1971 - Pub. L. 92-128, Sec. 1(b), substituted 'Limitation on detention; control of prisons' for 'Control by Attorney General' in section catchline. Subsec. (a). Pub. L. 92-128, Sec. 1(a), added subsec. (a). Subsec. (b). Pub. L. 92-128, Sec. 1(a), designated existing first and second pars. as pars. (1) and (2) of subsec. (b). USE OF INACTIVE DEPARTMENT OF DEFENSE FACILITIES AS PRISONS Pub. L. 95-624, Sec. 9, Nov. 9, 1978, 92 Stat. 3463, provided that: 'The Attorney General shall consult with the Secretary of Defense in order to develop a plan to assure that such suitable facilities as the Department of Defense operates which are not in active use shall be made available for operation by the Department of Justice for the confinement of United States prisoners. Such plan shall provide for the return to the management of the Department of Defense of any such facility upon a finding by the Secretary of Defense that such return is necessary to the operation of the Department.' ------DocID 24935 Document 1177 of 1438------ -CITE- 18 USC Sec. 4002 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4002. Federal prisoners in State institutions; employment -STATUTE- For the purpose of providing suitable quarters for the safekeeping, care, and subsistence of all persons held under authority of any enactment of Congress, the Attorney General may contract, for a period not exceeding three years, with the proper authorities of any State, Territory, or political subdivision thereof, for the imprisonment, subsistence, care, and proper employment of such persons. Such Federal prisoners shall be employed only in the manufacture of articles for, the production of supplies for, the construction of public works for, and the maintenance and care of the institutions of, the State or political subdivision in which they are imprisoned. The rates to be paid for the care and custody of said persons shall take into consideration the character of the quarters furnished, sanitary conditions, and quality of subsistence and may be such as will permit and encourage the proper authorities to provide reasonably decent, sanitary, and healthful quarters and subsistence for such persons. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 847; Nov. 9, 1978, Pub. L. 95-624, Sec. 8, 92 Stat. 3463.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753b, (May 14, 1930, ch. 274, Sec. 3, 46 Stat. 325). Changes were made in phraseology. The first sentence was incorporated in section 4042 of this title. AMENDMENTS 1978 - Pub. L. 95-624 substituted 'Attorney General' for 'Director of the Bureau of Prisons'. -CROSS- CROSS REFERENCES Bureau of Prisons, see section 4041 et seq. of this title. Employment in Federal prisons, see section 4121 et seq. of this title. ------DocID 24936 Document 1178 of 1438------ -CITE- 18 USC Sec. 4003 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4003. Federal institutions in States without appropriate facilities -STATUTE- If by reason of the refusal or inability of the authorities having control of any jail, workhouse, penal, correctional, or other suitable institution of any State or Territory, or political subdivision thereof, to enter into a contract for the imprisonment, subsistence, care, or proper employment of United States prisoners, or if there are no suitable or sufficient facilities available at reasonable cost, the Attorney General may select a site either within or convenient to the State, Territory, or judicial district concerned and cause to be erected thereon a house of detention, workhouse, jail, prison-industries project, or camp, or other place of confinement, which shall be used for the detention of persons held under authority of any Act of Congress, and of such other persons as in the opinion of the Attorney General are proper subjects for confinement in such institutions. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 848.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753c (May 14, 1930, ch. 274, Sec. 4, 46 Stat. 326). Words 'with or without hard labor' were omitted as unnecessary in view of omission of 'hard labor' as part of the punishment. (See reviser's note under section 1 of this title.) The phrase 'held under authority of any Act of Congress,' was substituted for the following 'held as material witnesses, persons awaiting trial, persons sentenced to imprisonment and awaiting transfer to other institutions, persons held for violation of the immigration laws or awaiting deportation, and for the confinement of persons convicted of offenses against the United States and sentenced to imprisonment'. Minor changes in arrangement and phraseology were made. -CROSS- CROSS REFERENCES Appropriations for sites and buildings, see section 4009 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4009 of this title. ------DocID 24937 Document 1179 of 1438------ -CITE- 18 USC Sec. 4004 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4004. Oaths and acknowledgments -STATUTE- The wardens and superintendents, associate wardens and superintendents, chief clerks, and record clerks, of Federal penal or correctional institutions, may administer oaths to and take acknowledgments of officers, employees, and inmates of such institutions, but shall not demand or accept any fee or compensation therefor. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 848; July 7, 1955, ch. 282, 69 Stat. 282; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 223(l), 98 Stat. 2029.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 754 (Feb. 11, 1938, ch. 24, Sec. 1, 2, 52 Stat. 28). Section was extended to include superintendents and associate superintendents. Minor changes were made in phraseology. Words 'the authority conferred by' were omitted as surplusage. AMENDMENTS 1984 - Pub. L. 98-473 substituted 'and record clerks' for 'record clerks, and parole officers'. 1955 - Act July 7, 1955, permitted chief clerks, record clerks, and parole officers to administer oaths and take acknowledgments. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 24938 Document 1180 of 1438------ -CITE- 18 USC Sec. 4005 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4005. Medical relief; expenses -STATUTE- (a) Upon request of the Attorney General, the Federal Security Administrator shall detail regular and reserve commissioned officers of the Public Health Service, pharmacists, acting assistant surgeons, and other employees of the Public Health Service to the Department of Justice for the purpose of supervising and furnishing medical, psychiatric, and other technical and scientific services to the Federal penal and correctional institutions. (b) The compensation, allowances, and expenses of the personnel detailed under this section may be paid from applicable appropriations of the Public Health Service in accordance with the law and regulations governing the personnel of the Public Health Service, such appropriations to be reimbursed from applicable appropriations of the Department of Justice; or the Attorney General may make allotments of funds and transfer of credit to the Public Health Service in such amounts as are available and necessary, for payment of compensation, allowances, and expenses of personnel so detailed, in accordance with the law and regulations governing the personnel of the Public Health Service. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 848.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 751, 752 (May 13, 1930, ch. 256, Sec. 1, 2, 46 Stat. 273; Reorg. Plan No. I, Sec. 201, 205, 4 F.R. 2728, 2729, 53 Stat. 1424, 1425). Section consolidates sections 751 and 752 of title 18, U.S.C., 1940 ed., as subsections (a) and (b), respectively. 'Federal Security Administrator' was substituted for 'Federal Security Agency.' Functions of the Secretary of the Treasury were transferred to the Federal Security Administrator by Reorg. Plan No. I, Sec. 205, 4 F.R. 2729, 53 Stat. 1425. (See note under section 133t of title 5, U.S.C., 1940 ed., Executive Departments and Government Officers and Employees.) The first part of said section 751, which read 'Authorized medical relief under the Department of Justice in Federal penal and correctional institutions shall be supervised and furnished by personnel of the Public Health Service, and' was omitted as surplusage, considering the remainder of the text. Minor changes of phraseology were made. -TRANS- TRANSFER OF FUNCTIONS Functions of Federal Security Administrator transferred to Secretary of Health, Education, and Welfare, and office of Federal Security Administrator abolished by sections 5 and 8 of Reorg. Plan No. 1 of 1953, as amended, eff. Apr. 11, 1953, 18 F.R. 2053, 67 Stat. 631, set out in the Appendix to Title 5, Government Organization and Employees. Functions of Public Health Service, Surgeon General of Public Health Service, and all other officers and employees of Public Health Service, and functions of all agencies of or in Public Health Service transferred to Secretary of Health, Education, and Welfare by Reorg. Plan No. 3 of 1966, eff. June 25, 1966, 31 F.R. 8855, 80 Stat. 1610, set out in the Appendix to Title 5. Secretary of Health, Education, and Welfare redesignated Secretary of Health and Human Services by Pub. L. 96-88, title V, Sec. 509(b), Oct. 17, 1979, 93 Stat. 695, which is classified to section 3508(b) of Title 20, Education. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 42 section 250. ------DocID 24939 Document 1181 of 1438------ -CITE- 18 USC Sec. 4006 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4006. Subsistence for prisoners -STATUTE- The Attorney General shall allow and pay only the reasonable and actual cost of the subsistence of prisoners in the custody of any marshal of the United States, and shall prescribe such regulations for the government of the marshals as will enable him to determine the actual and reasonable expenses incurred. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 848.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 703 (R.S. Sec. 5545; Mar. 2, 1911, ch. 192, 36 Stat. 1003). The provisions relating to the Washington Asylum and Jail are now included in the District of Columbia Code. (See D.C. Code, 1940 ed., Sec. 24-421.) Changes of phraseology were made. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4013 of this title. ------DocID 24940 Document 1182 of 1438------ -CITE- 18 USC Sec. 4007 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4007. Expenses of prisoners -STATUTE- The expenses attendant upon the confinement of persons arrested or committed under the laws of the United States, as well as upon the execution of any sentence of a court thereof respecting them, shall be paid out of the Treasury of the United States in the manner provided by law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 848.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 701 (R.S. Sec. 5536). Provision authorizing expenses for transportation was omitted as covered by similar provision in section 4008 of this title. Minor changes of phraseology were made. PAYMENT OF COSTS OF INCARCERATION BY FEDERAL PRISONERS Pub. L. 100-690, title VII, Sec. 7301, Nov. 18, 1988, 102 Stat. 4463, provided that: 'Not later than 1 year after the date of enactment of this section (Nov. 18, 1988), the United States Sentencing Commission shall study the feasibility of requiring prisoners incarcerated in Federal correctional institutions to pay some or all of the costs incident to the prisoner's confinement, including, but not limited to, the costs of food, housing, and shelter. The study shall review measures which would allow prisoners unable to pay such costs to work at paid employment within the community, during incarceration or after release, in order to pay the costs incident to the prisoner's confinement.' ------DocID 24941 Document 1183 of 1438------ -CITE- 18 USC Sec. 4008 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4008. Transportation expenses -STATUTE- Prisoners shall be transported by agents designated by the Attorney General or his authorized representative. The reasonable expense of transportation, necessary subsistence, and hire and transportation of guards and agents shall be paid by the Attorney General from such appropriation for the Department of Justice as he shall direct. Upon conviction by a consular court or court martial the prisoner shall be transported from the court to the place of confinement by agents of the Department of State, the Army, Navy, or Air Force, as the case may be, the expense to be paid out of the Treasury of the United States in the manner provided by law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 849; May 24, 1949, ch. 139, Sec. 61, 63 Stat. 98.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 753g (May 14, 1930, ch. 274, Sec. 8, 46 Stat. 327). The second paragraph was originally a proviso. Minor changes of phraseology were made. 1949 ACT This section (section 61) corrects the third paragraph of section 4008 of title 18, U.S.C., by redesignating the 'War Department' as the 'Department of the Army', to conform to such redesignation by act of July 26, 1947 (ch. 343, title II, Sec. 205(a), 61 Stat. 501), and by inserting a reference to the Department of the Air Force, in view of the creation of such Department by the same act. AMENDMENTS 1949 - Act May 24, 1949, substituted 'the Army, Navy, or Air Force' for 'War, or the Navy'. -CROSS- CROSS REFERENCES Expense of transferring prisoners to prison camps, see section 4125 of this title. ------DocID 24942 Document 1184 of 1438------ -CITE- 18 USC Sec. 4009 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4009. Appropriations for sites and buildings -STATUTE- The Attorney General may authorize the use of a sum not to exceed $100,000 in each instance, payable from any unexpended balance of the appropriation 'Support of United States prisoners' for the purpose of leasing or acquiring a site, preparation of plans, and erection of necessary buildings under section 4003 of this title. If in any instance it shall be impossible or impracticable to secure a proper site and erect the necessary buildings within the above limitation the Attorney General may authorize the use of a sum not to exceed $10,000 in each instance, payable from any unexpended balance of the appropriation 'Support of United States prisoners' for the purpose of securing options and making preliminary surveys or sketches. Upon selection of an appropriate site the Attorney General shall submit to Congress an estimate of the cost of purchasing same and of remodeling, constructing, and equipping the necessary buildings thereon. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 849.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753d (May 14, 1930, ch. 274, Sec. 5, 46 Stat. 326). Minor changes of phraseology were made. ------DocID 24943 Document 1185 of 1438------ -CITE- 18 USC Sec. 4010 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4010. Acquisition of additional land -STATUTE- The Attorney General may, when authorized by law, acquire land adjacent to or in the vicinity of a Federal penal or correctional institution if he considers the additional land essential to the protection of the health or safety of the inmates of the institution. -SOURCE- (Added Pub. L. 89-554, Sec. 3(f), Sept. 6, 1966, 80 Stat. 610.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 341f. July 28, 1950, ch. 503, Sec. 7, 64 Stat. 381. Sept. 16, 1959, Pub. L. 86-286, 73 Stat. 567. ------------------------------- The reference to an appropriation law is omitted as covered by the words 'when authorized by law'. ------DocID 24944 Document 1186 of 1438------ -CITE- 18 USC Sec. 4011 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4011. Disposition of cash collections for meals, laundry, etc. -STATUTE- Collections in cash for meals, laundry, barber service, uniform equipment, and other items for which payment is made originally from appropriations for the maintenance and operation of Federal penal and correctional institutions, may be deposited in the Treasury to the credit of the appropriation currently available for those items when the collection is made. -SOURCE- (Added Pub. L. 89-554, Sec. 3(f), Sept. 6, 1966, 80 Stat. 610.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Derivation U.S. Code Revised Statutes and Statutes at Large --------------------------------------------------------------------- 5 U.S.C. 341g. July 28, 1950, ch. 503, Sec. 8, 64 Stat. 381. ------------------------------- ------DocID 24945 Document 1187 of 1438------ -CITE- 18 USC Sec. 4012 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4012. Summary seizure and forfeiture of prison contraband -STATUTE- An officer or employee of the Bureau of Prisons may, pursuant to rules and regulations of the Director of the Bureau of Prisons, summarily seize any object introduced into a Federal penal or correctional facility or possessed by an inmate of such a facility in violation of a rule, regulation or order promulgated by the Director, and such object shall be forfeited to the United States. -SOURCE- (Added Pub. L. 98-473, title II, Sec. 1109(d), Oct. 12, 1984, 98 Stat. 2148.) ------DocID 24946 Document 1188 of 1438------ -CITE- 18 USC Sec. 4013 -EXPCITE- TITLE 18 PART III CHAPTER 301 -HEAD- Sec. 4013. Support of United States prisoners in non-Federal institutions -STATUTE- The Attorney General, in support of United States prisoners in non-Federal institutions, is authorized to make payments from funds appropriated for the support of United States prisoners for - (1) necessary clothing; (2) medical care and necessary guard hire; (3) the housing, care, and security of persons held in custody of a United States marshal pursuant to Federal law under agreements with State or local units of government or contracts with private entities; and (4) entering into contracts or cooperative agreements with any State, territory, or political subdivision thereof, for the necessary construction, physical renovation, acquisition of equipment, supplies, or materials required to establish acceptable conditions of confinement and detention services in any State or local jurisdiction which agrees to provide guaranteed bed space for Federal detainees within that correctional system, in accordance with regulations which are issued by the Attorney General and are comparable to the regulations issued under section 4006 of this title, except that - (A) amounts made available for purposes of this paragraph shall not exceed the average per-inmate cost of constructing similar confinement facilities for the Federal prison population, (B) the availability of such federally assisted facility shall be assured for housing Federal prisoners, and (C) the per diem rate charged for housing such Federal prisoners shall not exceed allowable costs or other conditions specified in the contract or cooperative agreement. (b)(1) (FOOTNOTE 1) The United States Marshals Service may designate districts that need additional support from private detention entities under subsection (a)(3) (FOOTNOTE 1) based on - (FOOTNOTE 1) So in original. There is no subsec. (a) designation. See 1990 Amendment note below. (A) the number of Federal detainees in the district; and (B) the availability of appropriate Federal, State, and local government detention facilities. (2) In order to be eligible for a contract for the housing, care, and security of persons held in custody of the United States Marshals pursuant to Federal law and funding under subsection (a)(3), (FOOTNOTE 1) a private entity shall - (A) be located in a district that has been designated as needing additional Federal detention facilities pursuant to paragraph (1); (B) meet the standards of the American Correctional Association; (C) comply with all applicable State and local laws and regulations; (D) have approved fire, security, escape, and riot plans; and (E) comply with any other regulations that the Marshals Service deems appropriate. (3) The United States Marshals Service shall provide an opportunity for public comment on a contract under subsection (a)(3). (FOOTNOTE 1) -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7608(d)(1), Nov. 18, 1988, 102 Stat. 4516, and amended Pub. L. 101-647, title XVII, Sec. 1701, title XXXV, Sec. 3599, Nov. 29, 1990, 104 Stat. 4843, 4931.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 3599, struck out '(a)' at beginning of text. Subsec. (b). Pub. L. 101-647, Sec. 1701, added subsec. (b). ------DocID 24947 Document 1189 of 1438------ -CITE- 18 USC CHAPTER 303 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- CHAPTER 303 - BUREAU OF PRISONS -MISC1- Sec. 4041. Bureau of Prisons; director and employees. 4042. Duties of Bureau of Prisons. 4043. Acceptance of gifts and bequests to the Commissary Funds, Federal Prisons. 4044. Donations on behalf of the Bureau of Prisons. 4045. Authority to conduct autopsies. 4046. Shock incarceration program. AMENDMENTS 1990 - Pub. L. 101-647, title XXX, Sec. 3001(b), Nov. 29, 1990, 104 Stat. 4915, added item 4046. 1986 - Pub. L. 99-646, Sec. 67(b), Nov. 10, 1986, 100 Stat. 3616, added items 4044 and 4045. 1982 - Pub. L. 97-258, Sec. 2(d)(4)(A), Sept. 13, 1982, 96 Stat. 1059, added item 4043. ------DocID 24948 Document 1190 of 1438------ -CITE- 18 USC Sec. 4041 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- Sec. 4041. Bureau of Prisons; director and employees -STATUTE- The Bureau of Prisons shall be in charge of a director appointed by and serving directly under the Attorney General at a salary of $10,000 a year. The Attorney General may appoint such additional officers and employees as he deems necessary. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 849.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753 (May 14, 1930, ch. 274, Sec. 1, 46 Stat. 325). The entire second sentence was omitted as executed. All powers and authority originally vested in the former Superintendent of Prisons are now possessed by the Bureau of Prisons. Minor changes of phraseology were made. COMPENSATION OF DIRECTOR Compensation of Director, see section 5315 of Title 5, Government Organization and Employees. ------DocID 24949 Document 1191 of 1438------ -CITE- 18 USC Sec. 4042 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- Sec. 4042. Duties of Bureau of Prisons -STATUTE- The Bureau of Prisons, under the direction of the Attorney General, shall - (1) have charge of the management and regulation of all Federal penal and correctional institutions; (2) provide suitable quarters and provide for the safekeeping, care, and subsistence of all persons charged with or convicted of offenses against the United States, or held as witnesses or otherwise; (3) provide for the protection, instruction, and discipline of all persons charged with or convicted of offenses against the United States; (4) Provide technical assistance to State and local governments in the improvement of their correctional systems. This section shall not apply to military or naval penal or correctional institutions or the persons confined therein. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 849; July 1, 1968, Pub. L. 90-371, 82 Stat. 280.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753a, 753b, (May 14, 1930, ch. 274, Sec. 2, 3, 46 Stat. 325). Because of similarity in the provisions, the first sentence of section 753b of title 18, U.S.C., 1940 ed., was consolidated with section 753a of title 18, U.S.C., 1940 ed., to form this section. Minor changes were made in phraseology. The remainder of said section 753b of title 18, U.S.C., 1940 ed., is incorporated in section 4002 of this title. AMENDMENTS 1968 - Pub. L. 90-371 added cl. (4). COST SAVINGS MEASURES Pub. L. 101-647, title XXIX, Sec. 2907, Nov. 29, 1990, 104 Stat. 4915, provided that: 'The Director of the Federal Bureau of Prisons (referred to as the 'Director') shall, to the extent practicable, take such measures as are appropriate to cut costs of construction. Such measures may include reducing expenditures for amenities including, for example, color television or pool tables.' ADMINISTRATION OF CONFINEMENT FACILITIES LOCATED ON MILITARY INSTALLATIONS BY BUREAU OF PRISONS Pub. L. 100-690, title VII, Sec. 7302, Nov. 18, 1988, 102 Stat. 4463, provided that: 'In conjunction with the Department of Defense and the Commission on Alternative Utilization of Military Facilities as established in the National Defense Authorization Act of Fiscal Year 1989 (see section 2819 of Pub. L. 100-456, set out as a note under section 2391 of Title 10, Armed Forces), the Bureau of Prisons shall be responsible for - '(1) administering Bureau of Prisons confinement facilities for civilian nonviolent prisoners located on military installations in cooperation with the Secretary of Defense, with an emphasis on placing women inmates in such facilities, or in similar minimum security confinement facilities not located on military installations, so that the percentage of eligible women equals the percentage of eligible men housed in such or similar minimum security confinement facilities (i.e., prison camps); '(2) establishing and regulating drug treatment programs for inmates held in such facilities in coordination and cooperation with the National Institute on Drug Abuse; and '(3) establishing and managing work programs in accordance with guidelines under the Bureau of Prisons for persons held in such facilities and in cooperation with the installation commander.' -CROSS- CROSS REFERENCES Expenses of transportation of prisoners, see section 4008 of this title. ------DocID 24950 Document 1192 of 1438------ -CITE- 18 USC Sec. 4043 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- Sec. 4043. Acceptance of gifts and bequests to the Commissary Funds, Federal Prisons -STATUTE- The Attorney General may accept gifts or bequests of money for credit to the 'Commissary Funds, Federal Prisons'. A gift or bequest under this section is a gift or bequest to or for the use of the United States under the Internal Revenue Code of 1986 (26 U.S.C. 1 et seq.). -SOURCE- (Added Pub. L. 97-258, Sec. 2(d)(4)(B), Sept. 13, 1982, 96 Stat. 1059, and amended Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.) -MISC1- Historical and Revision Notes --------------------------------------------------------------------- Revised Section Source (U.S. Code) Source (Statutes at Large) --------------------------------------------------------------------- 4043 31:725s-4. May 15, 1952, ch. 289, Sec. 2, 66 Stat. 72; July 9, 1952, ch. 600, 66 Stat. 479. ------------------------------- AMENDMENTS 1986 - Pub. L. 99-514 substituted 'Internal Revenue Code of 1986' for 'Internal Revenue Code of 1954'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 26 sections 170, 2055. ------DocID 24951 Document 1193 of 1438------ -CITE- 18 USC Sec. 4044 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- Sec. 4044. Donations on behalf of the Bureau of Prisons -STATUTE- The Attorney General may, in accordance with rules prescribed by the Attorney General, accept in the name of the Department of Justice any form of devise, bequest, gift or donation of money or property for use by the Bureau of Prisons or Federal Prison Industries. The Attorney General may take all appropriate steps to secure possession of such property and may sell, assign, transfer, or convey such property other than money. -SOURCE- (Added Pub. L. 99-646, Sec. 67(a), Nov. 10, 1986, 100 Stat. 3616.) ------DocID 24952 Document 1194 of 1438------ -CITE- 18 USC Sec. 4045 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- Sec. 4045. Authority to conduct autopsies -STATUTE- A chief executive officer of a Federal penal or correctional facility may, pursuant to rules prescribed by the Director, order an autopsy and related scientific or medical tests to be performed on the body of a deceased inmate of the facility in the event of homicide, suicide, fatal illness or accident, or unexplained death, when it is determined that such autopsy or test is necessary to detect a crime, maintain discipline, protect the health or safety of other inmates, remedy official misconduct, or defend the United States or its employees from civil liability arising from the administration of the facility. To the extent consistent with the needs of the autopsy or of specific scientific or medical tests, provisions of State and local law protecting religious beliefs with respect to such autopsies shall be observed. Such officer may also order an autopsy or post-mortem operation, including removal of tissue for transplanting, to be performed on the body of a deceased inmate of the facility, with the written consent of a person authorized to permit such an autopsy or post-mortem operation under the law of the State in which the facility is located. -SOURCE- (Added Pub. L. 99-646, Sec. 67(a), Nov. 10, 1986, 100 Stat. 3616.) ------DocID 24953 Document 1195 of 1438------ -CITE- 18 USC Sec. 4046 -EXPCITE- TITLE 18 PART III CHAPTER 303 -HEAD- Sec. 4046. Shock incarceration program -STATUTE- (a) The Bureau of Prisons may place in a shock incarceration program any person who is sentenced to a term of imprisonment of more than 12, but not more than 30, months, if such person consents to that placement. (b) For such initial portion of the term of imprisonment as the Bureau of Prisons may determine, not to exceed 6 months, an inmate in the shock incarceration program shall be required to - (1) adhere to a highly regimented schedule that provides the strict discipline, physical training, hard labor, drill, and ceremony characteristic of military basic training; and (2) participate in appropriate job training and educational programs (including literacy programs) and drug, alcohol, and other counseling programs. (c) An inmate who in the judgment of the Director of the Bureau of Prisons has successfully completed the required period of shock incarceration shall remain in the custody of the Bureau for such period (not to exceed the remainder of the prison term otherwise required by law to be served by that inmate), and under such conditions, as the Bureau deems appropriate. -SOURCE- (Added Pub. L. 101-647, title XXX, Sec. 3001(a), Nov. 29, 1990, 104 Stat. 4915.) -MISC1- AUTHORIZATION OF APPROPRIATIONS Section 3002 of Pub. L. 101-647 provided that: 'There are authorized to be appropriated for fiscal year 1990 and each fiscal year thereafter such sums as may be necessary to carry out the shock incarceration program established under the amendments made by this Act (see Tables for classification)'. ------DocID 24954 Document 1196 of 1438------ -CITE- 18 USC CHAPTER 305 -EXPCITE- TITLE 18 PART III CHAPTER 305 -HEAD- CHAPTER 305 - COMMITMENT AND TRANSFER -MISC1- Sec. 4081. Classification and treatment of prisoners. 4082. Commitment to Attorney General; residential treatment centers, extension of limits of confinement; work furlough. 4083. Penitentiary imprisonment; consent. 4084. Repealed. 4085. Repealed. 4086. Temporary safe-keeping of federal offenders by marshals. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 218(e), Oct. 12, 1984, 98 Stat. 2027, substituted 'Repealed' for 'Copy of commitment delivered with prisoner' in item 4084, and 'Repealed' for 'Transfer for state offense; expense' in item 4085. 1965 - Pub. L. 89-176, Sec. 2, Sept. 10, 1965, 79 Stat. 675, substituted 'residential treatment centers, extension of limits of confinement; work furlough' for 'transfer' in item 4082. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 10 section 955. ------DocID 24955 Document 1197 of 1438------ -CITE- 18 USC Sec. 4081 -EXPCITE- TITLE 18 PART III CHAPTER 305 -HEAD- Sec. 4081. Classification and treatment of prisoners -STATUTE- The Federal penal and correctional institutions shall be so planned and limited in size as to facilitate the development of an integrated system which will assure the proper classification and segregation of Federal prisoners according to the nature of the offenses committed, the character and mental condition of the prisoners, and such other factors as should be considered in providing an individualized system of discipline, care, and treatment of the persons committed to such institutions. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 850.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 907 (May 27, 1930, ch. 339, Sec. 7, 46 Stat. 390). Language of section is so changed as to make one policy for all institutions, thus clarifying the manifest intent of Congress. Minor changes were made in phraseology. ------DocID 24956 Document 1198 of 1438------ -CITE- 18 USC Sec. 4082 -EXPCITE- TITLE 18 PART III CHAPTER 305 -HEAD- Sec. 4082. Commitment to Attorney General; residential treatment centers; extension of limits of confinement; work furlough -STATUTE- (a) The willful failure of a prisoner to remain within the extended limits of his confinement, or to return within the time prescribed to an institution or facility designated by the Attorney General, shall be deemed an escape from the custody of the Attorney General punishable as provided in chapter 35 of this title. (b)(1) The Attorney General shall, upon the request of the head of any law enforcement agency of a State or of a unit of local government in a State, make available as expeditiously as possible to such agency, with respect to prisoners who have been convicted of felony offenses against the United States and who are confined at a facility which is a residential community treatment center located in the geographical area in which such agency has jurisdiction, the following information maintained by the Bureau of Prisons (to the extent that the Bureau of Prisons maintains such information) - (A) the names of such prisoners; (B) the community treatment center addresses of such prisoners; (C) the dates of birth of such prisoners; (D) the Federal Bureau of Investigation numbers assigned to such prisoners; (E) photographs and fingerprints of such prisoners; and (F) the nature of the offenses against the United States of which each such prisoner has been convicted and the factual circumstances relating to such offenses. (2) Any law enforcement agency which receives information under this subsection shall not disseminate such information outside of such agency. (c) As used in this section - the term 'facility' shall include a residential community treatment center; and the term 'relative' shall mean a spouse, child (including stepchild, adopted child or child as to whom the prisoner, though not a natural parent, has acted in the place of a parent), parent (including a person who, though not a natural parent, has acted in the place of a parent), brother, or sister. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 850; Sept. 10, 1965, Pub. L. 89-176, Sec. 1, 79 Stat. 674; Dec. 28, 1973, Pub. L. 93-209, 87 Stat. 907; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 218(a), 98 Stat. 2027; Nov. 10, 1986, Pub. L. 99-646, Sec. 57(a), 100 Stat. 3611.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753f (May 14, 1930, ch. 274, Sec. 7, 46 Stat. 326; June 14, 1941, ch. 204, 55 Stat. 252; Oct. 21, 1941, ch. 453, 55 Stat. 743). Words 'by the juvenile court of the District of Columbia, as well as to those committed by any court of the United States,' at end of section were omitted as unnecessary, and word 'all' inserted before 'persons', without change of meaning. Provision against penitentiary imprisonment for a term of 1 year or less without consent of defendant was incorporated in section 4083 of this title. The phrase 'if in his judgment it shall be for the well-being of the prisoner or relieve overcrowded or unhealthful conditions in the institution where such person is confined or for other reasons', was omitted as unnecessary. Changes were made in phraseology. This section supersedes section 705 of title 18, U.S.C., 1940 ed., providing for execution of sentences in houses of correction or reformation; and section 748 of title 18, U.S.C., 1940 ed., providing for confinement of prisoners in United States Disciplinary Barracks. AMENDMENTS 1986 - Subsecs. (f), (g). Pub. L. 99-646 added subsec. (f) and redesignated former subsec. (f) as (g). 1984 - Pub. L. 98-473 struck out subsecs. (a) to (c) and (e) and redesignated subsecs. (d), (f), and (g) as (a), (b), and (c), respectively. Prior to amendment section read as follows: 'Sec. 4082. Commitment to Attorney General; residential treatment centers; extension of limits of confinement; work furlough '(a) A person convicted of an offense against the United States shall be committed, for such term of imprisonment as the court may direct, to the custody of the Attorney General of the United States, who shall designate the place of confinement where the sentence shall be served. '(b) The Attorney General may designate as a place of confinement any available, suitable, and appropriate institution or facility, whether maintained by the Federal Government or otherwise, and whether within or without the judicial district in which the person was convicted, and may at any time transfer a person from one place of confinement to another. '(c) The Attorney General may extend the limits of the place of confinement of a prisoner as to whom there is reasonable cause to believe he will honor his trust, by authorizing him, under prescribed conditions, to - '(1) visit a specifically designated place or places for a period not to exceed thirty days and return to the same or another institution or facility. An extension of limits may be granted to permit a visit to a dying relative, attendance at the funeral of a relative, the obtaining of medical services not otherwise available, the contacting of prospective employers, the establishment or reestablishment of family and community ties or for any other significant reason consistent with the public interest; or '(2) work at paid employment or participate in a training program in the community on a voluntary basis while continuing as a prisoner of the institution or facility to which he is committed, provided that - '(i) representatives of local union central bodies or similar labor union organizations are consulted; '(ii) such paid employment will not result in the displacement of employed workers, or be applied in skills, crafts, or trades in which there is a surplus of available gainful labor in the locality, or impair existing contracts for services; and '(iii) the rates of pay and other conditions of employment will not be less than those paid or provided for work of similar nature in the locality in which the work is to be performed. A prisoner authorized to work at paid employment in the community under this subsection may be required to pay, and the Attorney General is authorized to collect, such costs incident to the prisoner's confinement as the Attorney General deems appropriate and reasonable. Collections shall be deposited in the Treasury of the United States as miscellaneous receipts. '(d) The willful failure of a prisoner to remain within the extended limits of his confinement, or to return within the time prescribed to an institution or facility designated by the Attorney General, shall be deemed an escape from the custody of the Attorney General punishable as provided in chapter 35 of this title. '(e) The authority conferred upon the Attorney General by this section shall extend to all persons committed to the National Training School for Boys. '(f)(1) The Attorney General shall, upon the request of the head of any law enforcement agency of a State or of a unit of local government in a State, make available as expeditiously as possible to such agency, with respect to prisoners who have been convicted of felony offenses against the United States and who are confined at a facility which is a residential community treatment center located in the geographical area in which such agency has jurisdiction, the following information maintained by the Bureau of Prisons (to the extent that the Bureau of Prisons maintains such information) - '(A) the names of such prisoners; '(B) the community treatment center addresses of such prisoners; '(C) the dates of birth of such prisoners; '(D) the Federal Bureau of Investigation numbers assigned to such prisoners; '(E) photographs and fingerprints of such prisoners; and '(F) the nature of the offenses against the United States of which each such prisoner has been convicted and the factual circumstances relating to such offenses. '(2) Any law enforcement agency which receives information under this subsection shall not disseminate such information outside of such agency. '(g) As used in this section - 'the term 'facility' shall include a residential community treatment center; and 'the term 'relative' shall mean a spouse, child (including stepchild, adopted child or child as to whom the prisoner, though not a natural parent, has acted in the place of a parent), parent (including a person who, though not a natural parent, has acted in the place of a parent), brother, or sister.' 1973 - Subsec. (c)(1). Pub. L. 93-209 provided for extension of limits to permit establishment or reestablishment of family and community ties and struck out 'only' after 'may be granted'. 1965 - Subsec. (a). Pub. L. 89-176 designated as subsec. (a) first unnumbered par. and struck out 'or his authorized representative' after 'Attorney General of the United States'. Subsec. (b). Pub. L. 89-176 designated as subsec. (b) second and third unnumbered par., inserted 'or facility' after 'appropriate institution', substituted 'may at any time transfer a person from one place of confinement to another' for 'may order any inmate transferred from one institution to another', and made minor changes in language. Subsecs. (c), (d). Pub. L. 89-176 added subsecs. (c) and (d). Subsec. (e). Pub. L. 89-176 designated as subsec. (e) fourth and last unnumbered pars. Subsec. (f). Pub. L. 89-176 added subsec. (f). EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. NATIONAL TRAINING SCHOOL FOR BOYS The National Training School for Boys was governed and managed by a Board of Trustees until July 1, 1939, at which time 1939 Reorg. Plan No. 2 (4 F.R. 2731, 53 Stat. 1431) abolished the Board of Trustees and transferred the School and its functions (including the functions of the Board of Trustees) to the Department of Justice, to be administered by the Director of the Bureau of Prisons, under the direction and supervision of the Attorney General. The School was so operated until May 15, 1968, when it was closed pursuant to order of the Attorney General. -EXEC- EX. ORD. NO. 11755. PRISON LABOR Ex. Ord. No. 11755, Dec. 29, 1973, 39 F.R. 779, as amended by Ex. Ord. No. 12608, Sept. 9, 1987, 52 F.R. 34617, provided: The development of the occupational and educational skills of prison inmates is essential to their rehabilitation and to their ability to make an effective return to free society. Meaningful employment serves to develop those skills. It is also true, however, that care must be exercised to avoid either the exploitation of convict labor or any unfair competition between convict labor and free labor in the production of goods and services. Under section 4082 of title 18 of the United States Code, the Attorney General is empowered to authorize Federal prisoners to work at paid employment in the community during their terms of imprisonment under conditions that protect against both the exploitation of convict labor and unfair competition with free labor. Several states and other jurisdictions have similar laws or regulations under which individuals confined for violations of the laws of those places may be authorized to work at paid employment in the community. Executive Order No. 325A, which was originally issued by President Theodore Roosevelt in 1905, prohibits the employment, in the performance of Federal contracts, of any person who is serving a sentence of imprisonment at hard labor imposed by a court of a State, territory, or municipality. I have now determined that Executive Order No. 325A should be replaced with a new Executive Order which would permit the employment of non-Federal prison inmates in the performance of Federal contracts under terms and conditions that are comparable to those now applicable to inmates of Federal prisons. NOW, THEREFORE, pursuant to the authority vested in me as President of the United States, it is hereby ordered as follows: Section 1. (a) All contracts involving the use of appropriated funds which shall hereafter be entered into by any department or agency of the executive branch for performance in any State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, or the Trust Territory of the Pacific Islands shall, unless otherwise provided by law, contain a stipulation forbidding in the performance of such contracts, the employment of persons undergoing sentences of imprisonment which have been imposed by any court of a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, or the Trust Territory of the Pacific Islands. This limitation, however, shall not prohibit the employment by a contractor in the performance of such contracts of persons on parole or probation to work at paid employment during the term of their sentence or persons who have been pardoned or who have served their terms. Nor shall it prohibit the employment by a contractor in the performance of such contracts of persons confined for violation of the laws of any of the States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, or the Trust Territory of the Pacific Islands who are authorized to work at paid employment in the community under the laws of such jurisdiction, if (1)(A) The worker is paid or is in an approved work training program on a voluntary basis; (B) Representatives of local union central bodies or similar labor union organizations have been consulted; (C) Such paid employment will not result in the displacement of employed workers, or be applied in skills, crafts, or trades in which there is a surplus of available gainful labor in the locality, or impair existing contracts for services; and (D) The rates of pay and other conditions of employment will not be less than those paid or provided for work of a similar nature in the locality in which the work is being performed; and (2) The Attorney General has certified that the work-release laws or regulations of the jurisdiction involved are in conformity with the requirements of this order. (b) After notice and opportunity for hearing, the Attorney General shall revoke any such certification under section 1(a)(2) if he finds that the work-release program of the jurisdiction involved is not being conducted in conformity with the requirements of this order or with its intent or purposes. Sec. 2. The Federal Procurement Regulations, the Armed Services Procurement Regulations, and to the extent necessary, any supplemental or comparable regulations issued by any agency of the executive branch shall be revised to reflect the policy prescribed by this order. Sec. 3. Executive Order No. 325A is hereby superseded. Sec. 4. This order shall be effective as of January 1, 1974. -CROSS- CROSS REFERENCES Expense of transferring prisoners at prison camps, see section 4125 of this title. Expenses of transportation of prisoners, see section 4008 of this title. Penitentiary imprisonment for term of one year prohibited except with consent of defendant, see section 4083 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 5003 of this title. ------DocID 24957 Document 1199 of 1438------ -CITE- 18 USC Sec. 4083 -EXPCITE- TITLE 18 PART III CHAPTER 305 -HEAD- Sec. 4083. Penitentiary imprisonment; consent -STATUTE- Persons convicted of offenses against the United States or by courts-martial punishable by imprisonment for more than one year may be confined in any United States penitentiary. A sentence for an offense punishable by imprisonment for one year or less shall not be served in a penitentiary without the consent of the defendant. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 850; Sept. 14, 1959, Pub. L. 86-256, 73 Stat. 518.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 753f, 762 (Mar. 2, 1895, ch. 189, Sec. 1, 28 Stat. 957; June 10, 1896, ch. 400, Sec. 1, 29 Stat. 380; May 14, 1930, ch. 274, Sec. 7, 46 Stat. 326; June 14, 1941, ch. 204, 55 Stat. 252; Oct. 21, 1941, ch. 453, 55 Stat. 743). Said section 762 was condensed and simplified and extended to all penitentiaries instead of to Leavenworth only, since the section is merely declaratory of existing law. (See section 1 of this title classifying offenses and notes thereunder.) The second paragraph is derived from said section 753f of title 18, U.S.C., 1940 ed. Minor changes of phraseology were made. AMENDMENTS 1959 - Pub. L. 86-256 substituted 'punishable by imprisonment for' for 'and sentenced to terms of imprisonment of' in first sentence. ------DocID 24958 Document 1200 of 1438------ -CITE- 18 USC Sec. 4084, 4085 -EXPCITE- TITLE 18 PART III CHAPTER 305 -HEAD- (Sec. 4084, 4085. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(3), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of these sections is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Prior to repeal, these sections read as follows: Sec. 4084. Copy of commitment delivered with prisoner Whenever a prisoner is committed to a warden, sheriff or jailer by virtue of a writ, or warrant, a copy thereof shall be delivered to such officer as his authority to hold the prisoner, and the original shall be returned to the proper court or officer, with the officer's return endorsed thereon. (June 25, 1948, ch. 645, 62 Stat. 850.) Sec. 4085. Transfer for state offense; expense (a) Whenever any federal prisoner has been indicted, informed against, or convicted of a felony in a court of record of any State or the District of Columbia, the Attorney General shall, if he finds it in the public interest to do so, upon the request of the Governor or the executive authority thereof, and upon the presentation of a certified copy of such indictment, information or judgment of conviction, cause such person, prior to his release, to be transferred to a penal or correctional institution within such State or District. If more than one such request is presented in respect to any prisoner, the Attorney General shall determine which request should receive preference. The expense of personnel and transportation incurred shall be chargeable to the appropriation for the 'Support of United States prisoners.' (b) This section shall not limit the authority of the Attorney General to transfer prisoners pursuant to other provisions of law. (June 25, 1948, ch. 645, 62 Stat. 850.) ------DocID 24959 Document 1201 of 1438------ -CITE- 18 USC Sec. 4086 -EXPCITE- TITLE 18 PART III CHAPTER 305 -HEAD- Sec. 4086. Temporary safe-keeping of federal offenders by marshals -STATUTE- United States marshals shall provide for the safe-keeping of any person arrested, or held under authority of any enactment of Congress pending commitment to an institution. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 851.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 691, 692, (R.S. Sec. 5537, 5538). Said section 691 of title 18, U.S.C., 1940 ed., is superseded by sections 753b and 753c of title 18, U.S.C., 1940 ed., which are incorporated in sections 4002, 4003 and 4042 of this title. This section is rewritten to retain the intent of section 692 of title 18, U.S.C., 1940 ed., which was to insure a safekeeping of United States prisoners until their commitment or confinement in Federal penal institutions. The language conforms with that of said sections 692 and 753b. Minor changes were made in phraseology. -CROSS- CROSS REFERENCES Bureau of Prisons responsible for safekeeping of United States prisoners, see sections 4002 and 4042 of this title. Construction of Federal prisons in States without facilities for Federal prisoners, see sections 4003 and 4009 of this title. ------DocID 24960 Document 1202 of 1438------ -CITE- 18 USC CHAPTER 306 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- CHAPTER 306 - TRANSFER TO OR FROM FOREIGN COUNTRIES -MISC1- Sec. 4100. Scope and limitation of chapter. 4101. Definitions. 4102. Authority of the Attorney General. 4103. Applicability of United States laws. 4104. Transfer of offenders on probation. 4105. Transfer of offenders serving sentence of imprisonment. 4106. Transfer of offenders on parole; parole of offenders transferred. 4106A. Transfer of offenders on parole; parole of offenders transferred. 4107. Verification of consent of offender to transfer from the United States. 4108. Verification of consent of offender to transfer to the United States. 4109. Right to counsel, appointment of counsel. 4110. Transfer of juveniles. 4111. Prosecution barred by foreign conviction. 4112. Loss of rights, disqualification. 4113. Status of alien offender transferred to a foreign country. 4114. Return of transferred offenders. 4115. Execution of sentences imposing an obligation to make restitution or reparations. AMENDMENTS 1988 - Pub. L. 100-690, title VII, Sec. 7101(c), Nov. 18, 1988, 102 Stat. 4415, added item 4106A. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 10 section 955. ------DocID 24961 Document 1203 of 1438------ -CITE- 18 USC Sec. 4100 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4100. Scope and limitation of chapter -STATUTE- (a) The provisions of this chapter relating to the transfer of offenders shall be applicable only when a treaty providing for such a transfer is in force, and shall only be applicable to transfers of offenders to and from a foreign country pursuant to such a treaty. A sentence imposed by a foreign country upon an offender who is subsequently transferred to the United States pursuant to a treaty shall be subject to being fully executed in the United States even though the treaty under which the offender was transferred is no longer in force. (b) An offender may be transferred from the United States pursuant to this chapter only to a country of which the offender is a citizen or national. Only an offender who is a citizen or national of the United States may be transferred to the United States. An offender may be transferred to or from the United States only with the offender's consent, and only if the offense for which the offender was sentenced satisfies the requirement of double criminality as defined in this chapter. Once an offender's consent to transfer has been verified by a verifying officer, that consent shall be irrevocable. If at the time of transfer the offender is under eighteen years of age, or is deemed by the verifying officer to be mentally incompetent or otherwise incapable of knowingly and voluntarily consenting to the transfer, the transfer shall not be accomplished unless consent to the transfer be given by a parent or guardian, guardian ad litem, or by an appropriate court of the sentencing country. The appointment of a guardian ad litem shall be independent of the appointment of counsel under section 4109 of this title. (c) An offender shall not be transferred to or from the United States if a proceeding by way of appeal or of collateral attack upon the conviction or sentence be pending. (d) The United States upon receiving notice from the country which imposed the sentence that the offender has been granted a pardon, commutation, or amnesty, or that there has been an ameliorating modification or a revocation of the sentence shall give the offender the benefit of the action taken by the sentencing country. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1212, and amended Pub. L. 100-690, title VII, Sec. 7101(e), Nov. 18, 1988, 102 Stat. 4416.) -MISC1- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690 inserted ', or is deemed by the verifying officer to be mentally incompetent or otherwise incapable of knowingly and voluntarily consenting to the transfer,' after 'under eighteen years of age', ', guardian ad litem,' after 'guardian', and 'The appointment of a guardian ad litem shall be independent of the appointment of counsel under section 4109 of this title.' AUTHORIZATION OF APPROPRIATIONS Section 5(a) of Pub. L. 95-144 provided that: 'There is authorized to be appropriated such funds as may be required to carry out the purposes of this Act (which enacted this chapter and sections 955 of Title 10, Armed Forces, and 2256 of Title 28, Judiciary and Judicial Procedure, amended section 636 of Title 28, and enacted provisions set out as notes under sections 3006A, 4100, and 4102 of this title)'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4109 of this title. ------DocID 24962 Document 1204 of 1438------ -CITE- 18 USC Sec. 4101 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4101. Definitions -STATUTE- As used in this chapter the term - (a) 'double criminality' means that at the time of transfer of an offender the offense for which he has been sentenced is still an offense in the transferring country and is also an offense in the receiving country. With regard to a country which has a federal form of government, an act shall be deemed to be an offense in that country if it is an offense under the federal laws or the laws of any state or province thereof; (b) 'imprisonment' means a penalty imposed by a court under which the individual is confined to an institution; (c) 'juvenile' means - (1) a person who is under eighteen years of age; or (2) for the purpose of proceedings and disposition under chapter 403 of this title because of an act of juvenile delinquency, a person who is under twenty-one years of age; (d) 'juvenile delinquency' means - (1) a violation of the laws of the United States or a State thereof or of a foreign country committed by a juvenile which would have been a crime if committed by an adult; or (2) noncriminal acts committed by a juvenile for which supervision or treatment by juvenile authorities of the United States, a State thereof, or of the foreign country concerned is authorized; (e) 'offender' means a person who has been convicted of an offense or who has been adjudged to have committed an act of juvenile delinquency; (f) 'parole' means any form of release of an offender from imprisonment to the community by a releasing authority prior to the expiration of his sentence, subject to conditions imposed by the releasing authority and to its supervision, including a term of supervised release pursuant to section 3583; (g) 'probation' means any form of a sentence under which the offender is permitted to remain at liberty under supervision and subject to conditions for the breach of which a penalty of imprisonment may be ordered executed; (h) 'sentence' means not only the penalty imposed but also the judgment of conviction in a criminal case or a judgment of acquittal in the same proceeding, or the adjudication of delinquency in a juvenile delinquency proceeding or dismissal of allegations of delinquency in the same proceedings; (i) 'State' means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and any territory or possession of the United States; (j) 'transfer' means a transfer of an individual for the purpose of the execution in one country of a sentence imposed by the courts of another country; and (k) 'treaty' means a treaty under which an offender sentenced in the courts of one country may be transferred to the country of which he is a citizen or national for the purpose of serving the sentence. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1213, and amended Pub. L. 98-473, title II, Sec. 223(m)(1), Oct. 12, 1984, 98 Stat. 2029.) -MISC1- AMENDMENTS 1984 - Subsec. (f). Pub. L. 98-473 inserted 'including a term of supervised release pursuant to section 3583' after 'supervision'. Subsec. (g). Pub. L. 98-473 substituted 'under which' for 'to a penalty of imprisonment the execution of which is suspended' and 'a' for 'the suspended' before 'penalty'. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 24963 Document 1205 of 1438------ -CITE- 18 USC Sec. 4102 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4102. Authority of the Attorney General -STATUTE- The Attorney General is authorized - (1) to act on behalf of the United States as the authority referred to in a treaty; (2) to receive custody of offenders under a sentence of imprisonment, on parole, or on probation who are citizens or nationals of the United States transferred from foreign countries and as appropriate confine them in penal or correctional institutions, or assign them to the parole or probation authorities for supervision; (3) to transfer offenders under a sentence of imprisonment, on parole, or on probation to the foreign countries of which they are citizens or nationals; (4) to make regulations for the proper implementation of such treaties in accordance with this chapter and to make regulations to implement this chapter; (5) to render to foreign countries and to receive from them the certifications and reports required to be made under such treaties; (6) to make arrangements by agreement with the States for the transfer of offenders in their custody who are citizens or nationals of foreign countries to the foreign countries of which they are citizens or nationals and for the confinement, where appropriate, in State institutions of offenders transferred to the United States; (7) to make agreements and establish regulations for the transportation through the territory of the United States of offenders convicted in a foreign country who are being transported to a third country for the execution of their sentences, the expenses of which shall be paid by the country requesting the transportation; (8) to make agreements with the appropriate authorities of a foreign country and to issue regulations for the transfer and treatment of juveniles who are transferred pursuant to treaty, the expenses of which shall be paid by the country of which the juvenile is a citizen or national; (9) in concert with the Secretary of Health, Education, and Welfare, to make arrangements with the appropriate authorities of a foreign country and to issue regulations for the transfer and treatment of individuals who are accused of an offense but who have been determined to be mentally ill; the expenses of which shall be paid by the country of which such person is a citizen or national; (10) to designate agents to receive, on behalf of the United States, the delivery by a foreign government of any citizen or national of the United States being transferred to the United States for the purpose of serving a sentence imposed by the courts of the foreign country, and to convey him to the place designated by the Attorney General. Such agent shall have all the powers of a marshal of the United States in the several districts through which it may be necessary for him to pass with the offender, so far as such power is requisite for the offender's transfer and safekeeping; within the territory of a foreign country such agent shall have such powers as the authorities of the foreign country may accord him; (11) to delegate the authority conferred by this chapter to officers of the Department of Justice. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1214.) -CHANGE- CHANGE OF NAME Secretary and Department of Health, Education, and Welfare redesignated Secretary and Department of Health and Human Services by Pub. L. 96-88, title V, Sec. 509(b), Oct. 17, 1979, 93 Stat. 695, which is classified to section 3508(b) of Title 20, Education. -MISC4- CERTIFICATION BY ATTORNEY GENERAL TO SECRETARY OF STATE FOR REIMBURSEMENT OF EXPENSES INCURRED UNDER TRANSFER TREATY Section 5(b) of Pub. L. 95-144 provided that: 'The Attorney General shall certify to the Secretary of State the expenses of the United States related to the return of an offender to the foreign country of which the offender is a citizen or national for which the United States is entitled to seek reimbursement from that country under a treaty providing for transfer and reimbursement.' ------DocID 24964 Document 1206 of 1438------ -CITE- 18 USC Sec. 4103 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4103. Applicability of United States laws -STATUTE- All laws of the United States, as appropriate, pertaining to prisoners, probationers, parolees, and juvenile offenders shall be applicable to offenders transferred to the United States, unless a treaty or this chapter provides otherwise. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1215.) ------DocID 24965 Document 1207 of 1438------ -CITE- 18 USC Sec. 4104 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4104. Transfer of offenders on probation -STATUTE- (a) Prior to consenting to the transfer to the United States of an offender who is on probation, the Attorney General shall determine that the appropriate United States district court is willing to undertake the supervision of the offender. (b) Upon the receipt of an offender on probation from the authorities of a foreign country, the Attorney General shall cause the offender to be brought before the United States district court which is to exercise supervision over the offender. (c) The court shall place the offender under supervision of the probation officer of the court. The offender shall be supervised by a probation officer, under such conditions as are deemed appropriate by the court as though probation had been imposed by the United States district court. (d) The probation may be revoked in accordance with section 3653 of this title and rule 32(f) of the Federal Rules of Criminal Procedure. A violation of the conditions of probation shall constitute grounds for revocation. If probation is revoked the suspended sentence imposed by the sentencing court shall be executed. (e) The provisions of sections 4105 and 4106 of this title shall be applicable following a revocation of probation. (f) Prior to consenting to the transfer from the United States of an offender who is on probation, the Attorney General shall obtain the assent of the court exercising jurisdiction over the probationer. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1215.) ------DocID 24966 Document 1208 of 1438------ -CITE- 18 USC Sec. 4105 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4105. Transfer of offenders serving sentence of imprisonment -STATUTE- (a) Except as provided elsewhere in this section, an offender serving a sentence of imprisonment in a foreign country transferred to the custody of the Attorney General shall remain in the custody of the Attorney General under the same conditions and for the same period of time as an offender who had been committed to the custody of the Attorney General by a court of the United States for the period of time imposed by the sentencing court. (b) The transferred offender shall be given credit toward service of the sentence for any days, prior to the date of commencement of the sentence, spent in custody in connection with the offense or acts for which the sentence was imposed. (c)(1) The transferred offender shall be entitled to all credits for good time, for labor, or any other credit toward the service of the sentence which had been given by the transferring country for time served as of the time of the transfer. Subsequent to the transfer, the offender shall in addition be entitled to credits toward service of sentence for satisfactory behavior, computed on the basis of the time remaining to be served at the time of the transfer and at the rate provided in section 3624(b) of this title for a sentence of the length of the total sentence imposed and certified by the foreign authorities. These credits shall be combined to provide a release date for the offender pursuant to section 3624(a) of this title. (2) If the country from which the offender is transferred does not give credit for good time, the basis of computing the deduction from the sentence shall be the sentence imposed by the sentencing court and certified to be served upon transfer, at the rate provided in section 3624(b) of this title. (3) Credit toward service of sentence may be withheld as provided in section 3624(b) of this title. (4) Any sentence for an offense against the United States, imposed while the transferred offender is serving the sentence of imprisonment imposed in a foreign country, shall be aggregated with the foreign sentence, in the same manner as if the foreign sentence was one imposed by a United States district court for an offense against the United States. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1215, and amended Pub. L. 98-473, title II, Sec. 223(m)(2), Oct. 12, 1984, 98 Stat. 2029.) -MISC1- AMENDMENTS 1984 - Subsec. (c)(1). Pub. L. 98-473 substituted 'toward service of sentence for satisfactory behavior' for 'for good time', '3624(b)' for '4161', and '3624(a)' for '4164'. Subsec. (c)(2). Pub. L. 98-473 substituted '3624(b)' for '4161'. Subsec. (c)(3), (4). Pub. L. 98-473 redesignated par. (4) as (3) and amended it generally, and struck out former par. (3). Prior to redesignation and amendment, former pars. (3) and (4) read as follows: '(3) A transferred offender may earn extra good time deductions, as authorized in section 4162 of this title, from the time of transfer. '(4) All credits toward service of the sentence, other than the credit for time in custody before sentencing, may be forfeited as provided in section 4165 of this title and may be restored by the Attorney General as provided in section 4166 of this title.' Subsec. (c)(5). Pub. L. 98-473 redesignated par. (5) as (4). EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4104 of this title. ------DocID 24967 Document 1209 of 1438------ -CITE- 18 USC Sec. 4106 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4106. Transfer of offenders on parole; parole of offenders transferred -STATUTE- (a) Upon the receipt of an offender who is on parole from the authorities of a foreign country, the Attorney General shall assign the offender to the United States Parole Commission for supervision. (b) The United States Parole Commission and the Chairman of the Commission shall have the same powers and duties with reference to an offender transferred to the United States to serve a sentence of imprisonment or who at the time of transfer is on parole as they have with reference to an offender convicted in a court of the United States except as otherwise provided in this chapter or in the pertinent treaty. Sections 4201 through 4204; 4205(d), (e), and (h); 4206 through 4215; and 4218 (FOOTNOTE 1) of this title shall be applicable. (FOOTNOTE 1) See References in Text note below. (c) An offender transferred to the United States to serve a sentence of imprisonment may be released on parole at such time as the Parole Commission may determine. (d) This section shall apply only to offenses committed before November 1, 1987, and the Parole Commission's performance of its responsibilities under this section shall be subject to section 235 of the Comprehensive Crime Control Act of 1984. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1216, and amended Pub. L. 98-473, title II, Sec. 223(m)(3), Oct. 12, 1984, 98 Stat. 2029; Pub. L. 100-182, Sec. 14, Dec. 7, 1987, 101 Stat. 1268; Pub. L. 100-690, title VII, Sec. 7072(c), Nov. 18, 1988, 102 Stat. 4405.) -REFTEXT- REFERENCES IN TEXT Sections 4201 through 4204; 4205(d), (e), and (h); 4206 through 4215; and 4218 of this title, referred to in subsec. (b), were repealed effective Nov. 1, 1987, by Pub. L. 98-473, title II, Sec. 218(a)(5), 235(a)(1), (b)(1), Oct. 12, 1984, 98 Stat. 2027, 2031, 2032, subject to remaining effective for five years after Nov. 1, 1987, in certain circumstances. Section 235 of the Comprehensive Crime Control Act of 1984, referred to in subsec. (d), is set out as an Effective Date note under section 3551 of this title. -MISC2- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690 substituted '4215' for '4216'. 1987 - Pub. L. 100-182 amended section generally. Prior to amendment, section read as follows: '(a) Upon the receipt of an offender who is on parole from the authorities of a foreign country, the Attorney General shall assign the offender to the United States Probation System for supervision. '(b) An offender transferred to the United States to serve a sentence of imprisonment shall be released pursuant to section 3624(a) of this title after serving the period of time specified in the applicable sentencing guideline promulgated pursuant to 28 U.S.C. 994(a)(1). He shall be released to serve a term of supervised release for any term specified in the applicable guideline. The provisions of section 3742 of this title apply to a sentence to a term of imprisonment under this subsection, and the United States court of appeals for the district in which the offender is imprisoned after transfer to the United States has jurisdiction to review the period of imprisonment as though it had been imposed by the United States district court.' 1984 - Subsec. (a). Pub. L. 98-473 substituted 'Probation System' for 'Parole Commission'. Subsec. (b). Pub. L. 98-473 amended subsec. (b) generally. Prior to amendment, subsec. (b) read as follows: 'The United States Parole Commission and the Chairman of the Commission shall have the same powers and duties with reference to an offender transferred to the United States to serve a sentence of imprisonment or who at the time of transfer is on parole as they have with reference to an offender convicted in a court of the United States except as otherwise provided in this chapter or in the pertinent treaty. Sections 4201 through 4204; 4205(d), (e), and (h); 4206 through 4216; and 4218 of this title shall be applicable.' Subsec. (c). Pub. L. 98-473 struck out subsec. (c) which read as follows: 'An offender transferred to the United States to serve a sentence of imprisonment may be released on parole at such time as the Parole Commission may determine.' EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4104 of this title. ------DocID 24968 Document 1210 of 1438------ -CITE- 18 USC Sec. 4106A -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4106A. Transfer of offenders on parole; parole of offenders transferred -STATUTE- (a) Upon the receipt of an offender who is on parole from the authorities of a foreign country, the Attorney General shall assign the offender to the United States Parole Commission for supervision. (b)(1)(A) The United States Parole Commission shall, without unnecessary delay, determine a release date and a period and conditions of supervised release for an offender transferred to the United States to serve a sentence of imprisonment, as though the offender were convicted in a United States district court of a similar offense. (B) In making such determination, the United States Parole Commission shall consider - (i) any recommendation of the United States Probation Service, including any recommendation as to the applicable guideline range; and (ii) any documents provided by the transferring country; relating to that offender. (C) The combined periods of imprisonment and supervised release that result from such determination shall not exceed the term of imprisonment imposed by the foreign court on that offender. (D) The duties conferred on a United States probation officer with respect to a defendant by section 3552 of this title shall, with respect to an offender so transferred, be carried out by the United States Probation Service. (2)(A) A determination by the United States Parole Commission under this subsection may be appealed to the United States court of appeals for the circuit in which the offender is imprisoned at the time of the determination of such Commission. Notice of appeal must be filed not later than 45 days after receipt of notice of such determination. (B) The court of appeals shall decide and dispose of the appeal in accordance with section 3742 of this title as though the determination appealed had been a sentence imposed by a United States district court. (3) During the supervised release of an offender under this subsection, the United States district court for the district in which the offender resides shall supervise the offender. (c) This section shall apply only to offenses committed on or after November 1, 1987. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7101(a), Nov. 18, 1988, 102 Stat. 4415, and amended Pub. L. 101-647, title XXXV, Sec. 3599B, 3599C, Nov. 29, 1990, 104 Stat. 4931, 4932.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647, Sec. 3599B, inserted 'of' before second reference to 'offenders' in section catchline. Subsec. (b)(1)(C). Pub. L. 101-647, Sec. 3599C, inserted period at end. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3006A, 4109 of this title. ------DocID 24969 Document 1211 of 1438------ -CITE- 18 USC Sec. 4107 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4107. Verification of consent of offender to transfer from the United States -STATUTE- (a) Prior to the transfer of an offender from the United States, the fact that the offender consents to such transfer and that such consent is voluntary and with full knowledge of the consequences thereof shall be verified by a United States magistrate or a judge as defined in section 451 of title 28, United States Code. (b) The verifying officer shall inquire of the offender whether he understands and agrees that the transfer will be subject to the following conditions: (1) only the appropriate courts in the United States may modify or set aside the conviction or sentence, and any proceedings seeking such action may only be brought in such courts; (2) the sentence shall be carried out according to the laws of the country to which he is to be transferred and that those laws are subject to change; (3) if a court in the country to which he is transferred should determine upon a proceeding initiated by him or on his behalf that his transfer was not accomplished in accordance with the treaty or laws of that country, he may be returned to the United States for the purpose of completing the sentence if the United States requests his return; and (4) his consent to transfer, once verified by the verifying officer, is irrevocable. (c) The verifying officer, before determining that an offender's consent is voluntary and given with full knowledge of the consequences, shall advise the offender of his right to consult with counsel as provided by this chapter. If the offender wishes to consult with counsel before giving his consent, he shall be advised that the proceedings will be continued until he has had an opportunity to consult with counsel. (d) The verifying officer shall make the necessary inquiries to determine that the offender's consent is voluntary and not the result of any promises, threats, or other improper inducements, and that the offender accepts the transfer subject to the conditions set forth in subsection (b). The consent and acceptance shall be on an appropriate form prescribed by the Attorney General. (e) The proceedings shall be taken down by a reporter or recorded by suitable sound recording equipment. The Attorney General shall maintain custody of the records. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1216.) -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4109 of this title; title 28 section 636. ------DocID 24970 Document 1212 of 1438------ -CITE- 18 USC Sec. 4108 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4108. Verification of consent of offender to transfer to the United States -STATUTE- (a) Prior to the transfer of an offender to the United States, the fact that the offender consents to such transfer and that such consent is voluntary and with full knowledge of the consequences thereof, shall be verified in the country in which the sentence was imposed by a United States magistrate, or by a citizen specifically designated by a judge of the United States as defined in section 451 of title 28, United States Code. The designation of a citizen who is an employee or officer of a department or agency of the United States shall be with the approval of the head of that department or agency. (b) The verifying officer shall inquire of the offender whether he understands and agrees that the transfer will be subject to the following conditions: (1) only the country in which he was convicted and sentenced can modify or set aside the conviction or sentence, and any proceedings seeking such action may only be brought in that country; (2) the sentence shall be carried out according to the laws of the United States and that those laws are subject to change; (3) if a United States court should determine upon a proceeding initiated by him or on his behalf that his transfer was not accomplished in accordance with the treaty or laws of the United States, he may be returned to the country which imposed the sentence for the purpose of completing the sentence if that country requests his return; and (4) his consent to transfer, once verified by the verifying officer, is irrevocable. (c) The verifying officer, before determining that an offender's consent is voluntary and given with full knowledge of the consequences, shall advise the offender of his right to consult with counsel as provided by this chapter. If the offender wishes to consult with counsel before giving his consent, he shall be advised that the proceedings will be continued until he has had an opportunity to consult with counsel. (d) The verifying officer shall make the necessary inquiries to determine that the offender's consent is voluntary and not the result of any promises, threats, or other improper inducements, and that the offender accepts the transfer subject to the conditions set forth in subsection (b). The consent and acceptance shall be on an appropriate form prescribed by the Attorney General. (e) The proceedings shall be taken down by a reporter or recorded by suitable sound recording equipment. The Attorney General shall maintain custody of the records. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1217, and amended Pub. L. 98-473, title II, Sec. 223(m)(4), Oct. 12, 1984, 98 Stat. 2030; Pub. L. 100-690, title VII, Sec. 7101(b), Nov. 18, 1988, 102 Stat. 4415.) -MISC1- AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690 struck out 'including any term of imprisonment or term of supervised release specified in the applicable sentencing guideline promulgated pursuant to 28 U.S.C. 944(a)(1),' after 'consequences thereof,'. 1984 - Subsec. (a). Pub. L. 98-473 inserted ', including any term of imprisonment or term of supervised release specified in the applicable sentencing guideline promulgated pursuant to 28 U.S.C. 994(a)(1),' after 'consequences thereof'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 28 section 636. ------DocID 24971 Document 1213 of 1438------ -CITE- 18 USC Sec. 4109 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4109. Right to counsel, appointment of counsel -STATUTE- (a) In proceedings to verify consent of an offender for transfer, the offender shall have the right to advice of counsel. If the offender is financially unable to obtain counsel - (1) counsel for proceedings conducted under section 4107 shall be appointed in accordance with section 3006A of this title. Such appointment shall be considered an appointment in a misdemeanor case for purposes of compensation under the Act; (FOOTNOTE 1) (FOOTNOTE 1) So in original. Probably should be 'section 3006A of this title;'. See 1990 Amendment note below. (2) counsel for proceedings conducted under section 4108 shall be appointed by the verifying officer pursuant to such regulations as may be prescribed by the Director of the Administrative Office of the United States Courts. The Secretary of State shall make payments of fees and expenses of the appointed counsel, in amounts approved by the verifying officer, which shall not exceed the amounts authorized under section 3006A of this title for representation in a misdemeanor case. Payment in excess of the maximum amount authorized may be made for extended or complex representation whenever the verifying officer certifies that the amount of the excess payment is necessary to provide fair compensation, and the payment is approved by the chief judge of the United States court of appeals for the appropriate circuit. Counsel from other agencies in any branch of the Government may be appointed: Provided, That in such cases the Secretary of State shall pay counsel directly, or reimburse the employing agency for travel and transportation expenses. Notwithstanding section 3324(a) and (b) of title 31, the Secretary may make advance payments of travel and transportation expenses to counsel appointed under this subsection. (b) Guardians ad litem appointed by the verifying officer under section 4100 of this title to represent offenders who are financially unable to provide for compensation and travel expenses of the guardian ad litem shall be compensated and reimbursed under subsection (a)(1) of this section. (c) The offender shall have the right to advice of counsel in proceedings before the United States Parole Commission under section 4106A of this title and in an appeal from a determination of such Commission under such section. If the offender is financially unable to obtain counsel, counsel for such proceedings and appeal shall be appointed under section 3006A of this title. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1218, and amended Pub. L. 97-258, Sec. 3(e)(2), Sept. 13, 1982, 96 Stat. 1064; Pub. L. 100-690, title VII, Sec. 7101(d), Nov. 18, 1988, 102 Stat. 4416; Pub. L. 101-647, title XXXV, Sec. 3598, Nov. 29, 1990, 104 Stat. 4931.) -MISC1- AMENDMENTS 1990 - Subsec. (a). Pub. L. 101-647 substituted 'section 3006A of this title' for 'the Criminal Justice Act (18 U.S.C. 3006A)' in par. (1) and for 'the Criminal Justice Act (18 U.S.C. 3006(a))' in par. (2). 1988 - Pub. L. 100-690 designated existing provisions as subsec. (a) and added subsecs. (b) and (c). 1982 - Par. (2). Pub. L. 97-258 substituted 'section 3324(a) and (b) of title 31' for 'section 3648 of the Revised Statutes as amended (31 U.S.C. 529)'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3006A, 4100 of this title; title 28 section 636. ------DocID 24972 Document 1214 of 1438------ -CITE- 18 USC Sec. 4110 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4110. Transfer of juveniles -STATUTE- An offender transferred to the United States because of an act which would have been an act of juvenile delinquency had it been committed in the United States or any State thereof shall be subject to the provisions of chapter 403 of this title except as otherwise provided in the relevant treaty or in an agreement pursuant to such treaty between the Attorney General and the authority of the foreign country. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1218.) ------DocID 24973 Document 1215 of 1438------ -CITE- 18 USC Sec. 4111 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4111. Prosecution barred by foreign conviction -STATUTE- An offender transferred to the United States shall not be detained, prosecuted, tried, or sentenced by the United States, or any State thereof for any offense the prosecution of which would have been barred if the sentence upon which the transfer was based had been by a court of the jurisdiction seeking to prosecute the transferred offender, or if prosecution would have been barred by the laws of the jurisdiction seeking to prosecute the transferred offender if the sentence on which the transfer was based had been issued by a court of the United States or by a court of another State. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1218.) ------DocID 24974 Document 1216 of 1438------ -CITE- 18 USC Sec. 4112 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4112. Loss of rights, disqualification -STATUTE- An offender transferred to the United States to serve a sentence imposed by a foreign court shall not incur any loss of civil, political, or civic rights nor incur any disqualification other than those which under the laws of the United States or of the State in which the issue arises would result from the fact of the conviction in the foreign country. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1218.) ------DocID 24975 Document 1217 of 1438------ -CITE- 18 USC Sec. 4113 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4113. Status of alien offender transferred to a foreign country -STATUTE- (a) An alien who is deportable from the United States but who has been granted voluntary departure pursuant to section 1252(b) or section 1254(e) of title 8, United States Code, and who is transferred to a foreign country pursuant to this chapter shall be deemed for all purposes to have voluntarily departed from this country. (b) An alien who is the subject of an order of deportation from the United States pursuant to section 1252 of title 8, United States Code, who is transferred to a foreign country pursuant to this chapter shall be deemed for all purposes to have been deported from this country. (c) An alien who is the subject of an order of exclusion and deportation from the United States pursuant to section 1226 of title 8, United States Code, who is transferred to a foreign country pursuant to this chapter shall be deemed for all purposes to have been excluded from admission and deported from the United States. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1219.) ------DocID 24976 Document 1218 of 1438------ -CITE- 18 USC Sec. 4114 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4114. Return of transferred offenders -STATUTE- (a) Upon a final decision by the courts of the United States that the transfer of the offender to the United States was not in accordance with the treaty or the laws of the United States and ordering the offender released from serving the sentence in the United States the offender may be returned to the country from which he was transferred to complete the sentence if the country in which the sentence was imposed requests his return. The Attorney General shall notify the appropriate authority of the country which imposed the sentence, within ten days, of a final decision of a court of the United States ordering the offender released. The notification shall specify the time within which the sentencing country must request the return of the offender which shall be no longer than thirty days. (b) Upon receiving a request from the sentencing country that the offender ordered released be returned for the completion of his sentence, the Attorney General may file a complaint for the return of the offender with any justice or judge of the United States or any authorized magistrate within whose jurisdiction the offender is found. The complaint shall be upon oath and supported by affidavits establishing that the offender was convicted and sentenced by the courts of the country to which his return is requested; the offender was transferred to the United States for the execution of his sentence; the offender was ordered released by a court of the United States before he had completed his sentence because the transfer of the offender was not in accordance with the treaty or the laws of the United States; and that the sentencing country has requested that he be returned for the completion of the sentence. There shall be attached to the complaint a copy of the sentence of the sentencing court and of the decision of the court which ordered the offender released. A summons or a warrant shall be issued by the justice, judge or magistrate ordering the offender to appear or to be brought before the issuing authority. If the justice, judge, or magistrate finds that the person before him is the offender described in the complaint and that the facts alleged in the complaint are true, he shall issue a warrant for commitment of the offender to the custody of the Attorney General until surrender shall be made. The findings and a copy of all the testimony taken before him and of all documents introduced before him shall be transmitted to the Secretary of State, that a Return Warrant may issue upon the requisition of the proper authorities of the sentencing country, for the surrender of offender. (c) A complaint referred to in subsection (b) must be filed within sixty days from the date on which the decision ordering the release of the offender becomes final. (d) An offender returned under this section shall be subject to the jurisdiction of the country to which he is returned for all purposes. (e) The return of an offender shall be conditioned upon the offender being given credit toward service of the sentence for the time spent in the custody of or under the supervision of the United States. (f) Sections 3186, 3188 through 3191, and 3195 of this title shall be applicable to the return of an offender under this section. However, an offender returned under this section shall not be deemed to have been extradited for any purpose. (g) An offender whose return is sought pursuant to this section may be admitted to bail or be released on his own recognizance at any stage of the proceedings. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1219.) -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 24977 Document 1219 of 1438------ -CITE- 18 USC Sec. 4115 -EXPCITE- TITLE 18 PART III CHAPTER 306 -HEAD- Sec. 4115. Execution of sentences imposing an obligation to make restitution or reparations -STATUTE- If in a sentence issued in a penal proceeding of a transferring country an offender transferred to the United States has been ordered to pay a sum of money to the victim of the offense for damage caused by the offense, that penalty or award of damages may be enforced as though it were a civil judgment rendered by a United States district court. Proceedings to collect the moneys ordered to be paid may be instituted by the Attorney General in any United States district court. Moneys recovered pursuant to such proceedings shall be transmitted through diplomatic channels to the treaty authority of the transferring country for distribution to the victim. -SOURCE- (Added Pub. L. 95-144, Sec. 1, Oct. 28, 1977, 91 Stat. 1220.) ------DocID 24978 Document 1220 of 1438------ -CITE- 18 USC CHAPTER 307 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- CHAPTER 307 - EMPLOYMENT -MISC1- Sec. 4121. Federal Prison Industries; board of directors. 4122. Administration of Federal Prison Industries. 4123. New industries. 4124. Purchase of prison-made products by Federal departments. 4125. Public works; prison camps. 4126. Prison Industries Fund; use and settlement of accounts. 4127. Prison Industries report to Congress. 4128. Enforcement by Attorney General. 4129. Authority to borrow and invest. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3599A, Nov. 29, 1990, 104 Stat. 4931, substituted 'Fund' for 'fund' in item 4126. 1988 - Pub. L. 100-690, title VII, Sec. 7093(b), Nov. 18, 1988, 102 Stat. 4412, added item 4129. -CROSS- CROSS REFERENCES No postal equipment or supplies to be manufactured by convict labor except as provided in this chapter, see section 2201 of Title 39, Postal Service. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 39 section 2201; title 41 sections 42, 48. ------DocID 24979 Document 1221 of 1438------ -CITE- 18 USC Sec. 4121 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4121. Federal Prison Industries; board of directors -STATUTE- 'Federal Prison Industries', a government corporation of the District of Columbia, shall be administered by a board of six directors, appointed by the President to serve at the will of the President without compensation. The directors shall be representatives of (1) industry, (2) labor, (3) agriculture, (4) retailers and consumers, (5) the Secretary of Defense, and (6) the Attorney General, respectively. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 851; May 24, 1949, ch. 139, Sec. 62, 63 Stat. 98.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 744i, 744j (June 23, 1934, ch. 736, Sec. 1, 2, 48 Stat. 1211). Section consolidates sections 744i and 744j of title 18, U.S.C., 1940 ed. The former was rewritten omitting unnecessary recital as to policy and expressing the original language of the two sections more logically. Changes were made in transportation and phraseology. 1949 ACT This section (section 62) incorporates in section 4121 of title 18, U.S.C., with changes in phraseology, the provisions of section 3 of act of June 29, 1948 (ch. 719, 62 Stat. 1100), which was enacted subsequent to the enactment of the revision of title 18 and which provided for appointment of an additional member of the board of directors of the Federal Prison Industries, as a representative of the Secretary of Defense. AMENDMENTS 1949 - Act May 24, 1949, made a representative of the Secretary of Defense a member of the board of directors. -TRANS- TRANSFER OF FUNCTIONS Federal Prison Industries, Inc. (together with its Board of Directors), and its functions transferred to Department of Justice to be administered under general direction and supervision of Attorney General, by Reorg. Plan No. II of 1939, Sec. 3(a), eff. July 1, 1939, 4 F.R. 2731, 53 Stat. 1431, set out in the Appendix to Title 5, Government Organization and Employees. See, also, Reorg. Plan No. 2 of 1950, Sec. 1, eff. May 1, 1950, 15 F.R. 3173, 64 Stat. 1261, and section 509 of Title 28, Judiciary and Judicial Procedure. -MISC5- MANDATORY WORK REQUIREMENT FOR ALL PRISONERS Pub. L. 101-647, title XXIX, Sec. 2905, Nov. 29, 1990, 104 Stat. 4914, provided that: '(a) In General. - (1) It is the policy of the Federal Government that convicted inmates confined in Federal prisons, jails, and other detention facilities shall work. The type of work in which they will be involved shall be dictated by appropriate security considerations and by the health of the prisoner involved. '(2) A Federal prisoner may be excused from the requirement to work only as necessitated by - '(A) security considerations; '(B) disciplinary action; '(C) medical certification of disability such as would make it impracticable for prison officials to arrange useful work for the prisoner to perform; or '(D) a need for the prisoner to work less than a full work schedule in order to participate in literacy training, drug rehabilitation, or similar programs in addition to the work program.' CLOSURE OF MCNEIL ISLAND PENITENTIARY; REPORT ON STATUS OF FEDERAL PRISON INDUSTRIES Pub. L. 95-624, Sec. 10, Nov. 9, 1978, 92 Stat. 3463, provided that: '(a) On or before September 1, 1979, the Attorney General shall submit to the Congress - '(1) a plan to assure the closure of the United States Penitentiary on McNeil Island, Steilacoom, Washington, on or before January 1, 1982; and '(2) a report on the status of the Federal Prison Industries. '(b) The report made under this section shall include a long-range plan for the improvement of meaningful employment training, and the methods which could be undertaken to employ a greater number of United States prisoners in the program. Such report may include recommendations for legislation.' -CROSS- CROSS REFERENCES Federal Prison Industries, Inc. as wholly owned Government Corporation, see section 9101 of Title 31, Money and Finance. ------DocID 24980 Document 1222 of 1438------ -CITE- 18 USC Sec. 4122 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4122. Administration of Federal Prison Industries -STATUTE- (a) Federal Prison Industries shall determine in what manner and to what extent industrial operations shall be carried on in Federal penal and correctional institutions for the production of commodities for consumption in such institutions or for sale to the departments or agencies of the United States, but not for sale to the public in competition with private enterprise. (b)(1) Its board of directors shall provide employment for the greatest number of those inmates in the United States penal and correctional institutions who are eligible to work as is reasonably possible, diversify, so far as practicable, prison industrial operations and so operate the prison shops that no single private industry shall be forced to bear an undue burden of competition from the products of the prison workshops, and to reduce to a minimum competition with private industry or free labor. (2) Federal Prison Industries shall conduct its operations so as to produce products on an economic basis, but shall avoid capturing more than a reasonable share of the market among Federal departments, agencies, and institutions for any specific product. Federal Prison Industries shall concentrate on providing to the Federal Government only those products which permit employment of the greatest number of those inmates who are eligible to work as is reasonably possible. (3) Federal Prison Industries shall diversify its products so that its sales are distributed among its industries as broadly as possible. (4) Any decision by Federal Prison Industries to produce a new product or to significantly expand the production of an existing product shall be made by the board of directors of the corporation. Before the board of directors makes a final decision, the corporation shall do the following: (A) The corporation shall prepare a detailed written analysis of the probable impact on industry and free labor of the plans for new production or expanded production. In such written analysis the corporation shall, at a minimum, identify and consider - (i) the number of vendors currently meeting the requirements of the Federal Government for the product; (ii) the proportion of the Federal Government market for the product currently served by small businesses, small disadvantaged businesses, or businesses operating in labor surplus areas; (iii) the size of the Federal Government and non-Federal Government markets for the product; (iv) the projected growth in the Federal Government demand for the product; and (v) the projected ability of the Federal Government market to sustain both Federal Prison Industries and private vendors. (B) The corporation shall announce in a publication designed to most effectively provide notice to potentially affected private vendors the plans to produce any new product or to significantly expand production of an existing product. The announcement shall also indicate that the analysis prepared under subparagraph (A) is available through the corporation and shall invite comments from private industry regarding the new production or expanded production. (C) The corporation shall directly advise those affected trade associations that the corporation can reasonably identify the plans for new production or expanded production, and the corporation shall invite such trade associations to submit comments on those plans. (D) The corporation shall provide to the board of directors - (i) the analysis prepared under subparagraph (A) on the proposal to produce a new product or to significantly expand the production of an existing product, (ii) comments submitted to the corporation on the proposal, and (iii) the corporation's recommendations for action on the proposal in light of such comments. In addition, the board of directors, before making a final decision under this paragraph on a proposal, shall, upon the request of an established trade association or other interested representatives of private industry, provide a reasonable opportunity to such trade association or other representatives to present comments directly to the board of directors on the proposal. (5) Federal Prison Industries shall publish in the manner specified in paragraph (4)(B) the final decision of the board with respect to the production of a new product or the significant expansion of the production of an existing product. (6) Federal Prison Industries shall publish, after the end of each 6-month period, a list of sales by the corporation for that 6-month period. Such list shall be made available to all interested parties. (c) Its board of directors may provide for the vocational training of qualified inmates without regard to their industrial or other assignments. (d)(1) The provisions of this chapter shall apply to the industrial employment and training of prisoners convicted by general courts-martial and confined in any institution under the jurisdiction of any department or agency comprising the Department of Defense, to the extent and under terms and conditions agreed upon by the Secretary of Defense, the Attorney General and the Board of Directors of Federal Prison Industries. (2) Any department or agency of the Department of Defense may, without exchange of funds, transfer to Federal Prison Industries any property or equipment suitable for use in performing the functions and duties covered by agreement entered into under paragraph (1) of this subsection. (e)(1) The provisions of this chapter shall apply to the industrial employment and training of prisoners confined in any penal or correctional institution under the direction of the Commissioner of the District of Columbia to the extent and under terms and conditions agreed upon by the Commissioner, the Attorney General, and the Board of Directors of Federal Prison Industries. (2) The Commissioner of the District of Columbia may, without exchange of funds, transfer to the Federal Prison Industries any property or equipment suitable for use in performing the functions and duties covered by an agreement entered into under subsection (e)(1) of this section. (3) Nothing in this chapter shall be construed to affect the provisions of the Act approved October 3, 1964 (D.C. Code, sections 24-451 et seq.), entitled 'An Act to establish in the Treasury a correctional industries fund for the government of the District of Columbia, and for other purposes.' -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 851; May 24, 1949, ch. 139, Sec. 63, 63 Stat. 98; Oct. 31, 1951, ch. 655, Sec. 31, 65 Stat. 722; Dec. 27, 1967, Pub. L. 90-226, title VIII, Sec. 802, 81 Stat. 741; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7096, 102 Stat. 4413.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 744a, 744c, 744k (May 27, 1930, ch. 340, Sec. 1, 3, 46 Stat. 391; June 23, 1934, ch. 736, Sec. 3, 48 Stat. 1211). Section consolidates sections 744a, part of 744c, and 744k of title 18, U.S.C., 1940 ed., with such changes of phraseology as were necessary to effect the consolidation. Provisions in section 744k of title 18, U.S.C., 1940 ed., for transfer of duties to the corporation was omitted as executed. Other provisions of said section 744c of title 18, U.S.C., 1940 ed., form section 4123 of this title. Changes were made in phraseology. 1949 ACT Subsection (c) of section 4122 of title 18, U.S.C., as added by this amendment (see section 63), incorporates provisions of act of May 11, 1948 (ch. 276, 62 Stat. 230), which was not incorporated in title 18 when the revision was enacted. The remainder of such act is incorporated in section 4126 of such title by another section of this bill. Subsections (d) and (e) of such section 4122, added by this amendment (see section 63), incorporate, with changes in phraseology, the provisions of sections 1 and 2 of act of June 29, 1948 (ch. 719, 62 Stat. 1100), extending the functions and duties of Federal Prisons Industries, Incorporated, to military disciplinary barracks. Section 3 of such act is incorporated in section 4121 of such title by another section of this bill, and section 4 of such act is classified to section 1621a of title 50, U.S.C., Appendix, War and National Defense. -REFTEXT- REFERENCES IN TEXT The Act approved October 3, 1964 (D.C. Code, sections 24-451 et seq.), entitled 'An Act to establish in the Treasury a correctional institution industries fund for the government of the District of Columbia, and for other purposes', referred to in subsec. (e)(3), is Pub. L. 88-622, Oct. 3, 1964, 78 Stat. 1000. -MISC2- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690 designated existing provisions as par. (1), substituted 'the greatest number of those inmates in the United States penal and correctional institutions who are eligible to work as is reasonably possible' for 'all physically fit inmates in the United States penal and correctional institutions', and added pars. (2) to (6). 1967 - Subsec. (d). Pub. L. 90-226, Sec. 802(1), (2), designated existing provisions of subsec. (d) as par. (1) thereof, designated existing provisions of subsec. (e) as par. (2) of subsec. (d), and substituted reference to par. (1) of this subsection for reference to subsec. (d) of this section. Subsec. (e). Pub. L. 90-226, Sec. 802(3), added subsec. (e). Former subsec. (e) redesignated (d)(2). 1951 - Subsecs. (d), (e). Act Oct. 31, 1951, substituted 'Department of Defense' for 'National Military Establishment'. 1949 - Act May 24, 1949, designated existing first two pars. as subsecs. (a) and (b), respectively, and added subsecs. (c) to (e). -TRANS- TRANSFER OF FUNCTIONS Office of Commissioner of District of Columbia, as established by Reorg. Plan No. 3 of 1967, abolished as of noon Jan. 2, 1975, by Pub. L. 93-198, title VII, Sec. 711, Dec. 24, 1973, 87 Stat. 818, and replaced by Office of Mayor of District of Columbia by section 421 of Pub. L. 93-198, classified to section 1-241 of the District of Columbia Code. -MISC5- UTILIZATION OF SURPLUS PROPERTY Act June 29, 1948, ch. 719, Sec. 4, 62 Stat. 1100, provided that: 'For its own use in the industrial employment and training of prisoners and not for transfer or disposition, transfers of surplus property under the Surplus Property Act of 1944 (former sections 1611 to 1646 of Appendix to Title 50, War and National Defense, may be made to Federal Prison Industries, Incorporated, without reimbursement or transfer of funds.' ------DocID 24981 Document 1223 of 1438------ -CITE- 18 USC Sec. 4123 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4123. New industries -STATUTE- Any industry established under this chapter shall be so operated as not to curtail the production of any existing arsenal, navy yard, or other Government workshop. Such forms of employment shall be provided as will give the inmates of all Federal penal and correctional institutions a maximum opportunity to acquire a knowledge and skill in trades and occupations which will provide them with a means of earning a livelihood upon release. The industries may be either within the precincts of any penal or correctional institution or in any convenient locality where an existing property may be obtained by lease, purchase, or otherwise. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 851.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 744c (May 27, 1930, ch. 340, Sec. 3, 46 Stat. 391). A part of said section 744c of title 18, U.S.C., 1940 ed., is incorporated in section 4122 of this title. References to the Attorney General were omitted because section 744k of title 18, U.S.C., 1940 ed., as originally enacted, provided for the transfer to Federal Prison Industries of the powers and duties then vested in the Attorney General. References to 'this chapter' were substituted for 'this section' since the general authority to establish and supervise prison industries is contained in this chapter. Minor changes of phraseology were made. ------DocID 24982 Document 1224 of 1438------ -CITE- 18 USC Sec. 4124 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4124. Purchase of prison-made products by Federal departments -STATUTE- (a) The several Federal departments and agencies and all other Government institutions of the United States shall purchase at not to exceed current market prices, such products of the industries authorized by this chapter as meet their requirements and may be available. (b) Disputes as to the price, quality, character, or suitability of such products shall be arbitrated by a board consisting of the Comptroller General of the United States, the Administrator of General Services, and the President, or their representatives. Their decision shall be final and binding upon all parties. (c) Each Federal department, agency, and institution subject to the requirements of subsection (a) shall separately report to the General Services Administration all of its acquisitions of products and services from Federal Prison Industries, and that reported information shall be entered in the Federal Procurement Data System referred to in section 6(d)(4) of the Office of Federal Procurement Policy Act. Each report published by the Federal Procurement Data System that contains the information collected by the System shall include a statement to accompany the information reported by the department, agency, or institution under the preceding sentence as follows: 'Under current law, sales by Federal Prison Industries are considered intragovernmental transfers. The purpose of reporting sales by Federal Prison Industries is to provide a complete overview of acquisitions by the Federal Government during the reporting period.'. (d) Within 90 days after the date of the enactment of this subsection, Federal Prison Industries shall publish a catalog of all products and services which it offers for sale. This catalog shall be updated periodically to the extent necessary to ensure that the information in the catalog is complete and accurate. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 851; Oct. 31, 1951, ch. 655, Sec. 32, 65 Stat. 723; Feb. 14, 1984, Pub. L. 98-216, Sec. 3(b)(2), 98 Stat. 6; Nov. 29, 1990, Pub. L. 101-647, title XXIX, Sec. 2901, 104 Stat. 4912.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 744g (May 27, 1930, ch. 340, Sec. 7, 46 Stat. 392). The revised section substituted the Director of the Bureau of Federal Supply of the Treasury Department for the General Supply Committee, the functions of the latter having been transferred to the Procurement Division of the Treasury Department by Executive Order No. 6166, Sec. 1, June 10, 1933, and the name of that unit having been changed to Bureau of Federal Supply by order of the Secretary of the Treasury effective January 1, 1947, 11 Federal Register No. 13,638. The Bureau of the Budget was substituted for the Bureau of Efficiency which was abolished by Act of March 3, 1933, ch. 212, Sec. 17, 47 Stat. 1519, without transferring its functions elsewhere. However, the Bureau of the Budget performs similar duties and its Director logically should serve on the arbitration board. Reference to authority for appropriations was omitted and words 'by this chapter' substituted therefor. The word 'agencies' was substituted for 'independent establishments' to avoid any possibility of ambiguity. See definition of 'agency' in section 6 of this title. -REFTEXT- REFERENCES IN TEXT Section 6(d)(4) of the Office of Federal Procurement Policy Act, referred to in subsec. (c), is classified to section 405(d)(4) of Title 41, Public Contracts. The date of the enactment of this subsection, referred to in subsec. (d), is the date of enactment of Pub. L. 101-647, which was approved Nov. 29, 1990. -MISC2- AMENDMENTS 1990 - Pub. L. 101-647 designated first and second pars. as subsecs. (a) and (b), respectively, and added subsecs. (c) and (d). 1984 - Pub. L. 98-216 substituted 'President' for 'Director of the Bureau of the Budget' in second par. 1951 - Act Oct. 31, 1951, substituted 'Administrator of General Services' for 'Director of the Bureau of Federal Supply, Department of the Treasury' in second par. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 41 section 48. ------DocID 24983 Document 1225 of 1438------ -CITE- 18 USC Sec. 4125 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4125. Public works; prison camps -STATUTE- (a) The Attorney General may make available to the heads of the several departments the services of United States prisoners under terms, conditions, and rates mutually agreed upon, for constructing or repairing roads, clearing, maintaining and reforesting public lands, building levees, and constructing or repairing any other public ways or works financed wholly or in major part by funds appropriated by Congress. (b) The Attorney General may establish, equip, and maintain camps upon sites selected by him elsewhere than upon Indian reservations, and designate such camps as places for confinement of persons convicted of an offense against the laws of the United States. (c) The expenses of transferring and maintaining prisoners at such camps and of operating such camps shall be paid from the appropriation 'Support of United States prisoners', which may, in the discretion of the Attorney General, be reimbursed for such expenses. (d) As part of the expense of operating such camps the Attorney General is authorized to provide for the payment to the inmates or their dependents such pecuniary earnings as he may deem proper, under such rules and regulations as he may prescribe. (e) All other laws of the United States relating to the imprisonment, transfer, control, discipline, escape, release of, or in any way affecting prisoners, shall apply to prisoners transferred to such camps. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 852.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 744b, 851, 853, 854, 855 (Feb. 26, 1929, ch. 336, Sec. 1, 3, 4, 5, 45 Stat. 1318; May 27, 1930, ch. 340, Sec. 2, 46 Stat. 391). Section consolidates section 744b of title 18, U.S.C., 1940 ed., with those portions of sections 851, 853-855 of title 18, U.S.C., 1940 ed., which may not have been superseded by section 744b of said title. Section 851 of title 18, U.S.C., 1940 ed., was superseded except for the proviso which formed the basis for the added words 'elsewhere than upon Indian reservations'. Section 855 of title 18, U.S.C., 1940 ed., was superseded by section 744b of title 18, U.S.C., 1940 ed., except as to the specific mention in section 855 of said title of expense for maintenance and operation of camps. Hence a reference to operation was added in subsection (c) of this section. Section 854 of title 18, U.S.C., 1940 ed., was added as a part of subsection (c). Section 853 of title 18, U.S.C., 1940 ed., was added as subsection (d) of this section, although its retention may be unnecessary. The phrase 'the cost of which is borne exclusively by the United States' which followed the words 'constructing or repairing roads' was omitted as inconsistent with the later phrase 'constructing or repairing any other public ways or works financed wholly or in major part by funds appropriated from the Treasury of the United States.' The provision for transfer of prisoners was omitted as duplicitous of a similar provision in section 4082 of this title. Other changes of phraseology were made. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4126 of this title. ------DocID 24984 Document 1226 of 1438------ -CITE- 18 USC Sec. 4126 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4126. Prison Industries Fund; use and settlement of accounts -STATUTE- (a) All moneys under the control of Federal Prison Industries, or received from the sale of the products or by-products of such Industries, or for the services of federal prisoners, shall be deposited or covered into the Treasury of the United States to the credit of the Prison Industries Fund and withdrawn therefrom only pursuant to accountable warrants or certificates of settlement issued by the General Accounting Office. (b) All valid claims and obligations payable out of said fund shall be assumed by the corporation. (c) The corporation, in accordance with the laws generally applicable to the expenditures of the several departments, agencies, and establishments of the Government, is authorized to employ the fund, and any earnings that may accrue to the corporation - (1) as operating capital in performing the duties imposed by this chapter; (2) in the lease, purchase, other acquisition, repair, alteration, erection, and maintenance of industrial buildings and equipment; (3) in the vocational training of inmates without regard to their industrial or other assignments; (4) in paying, under rules and regulations promulgated by the Attorney General, compensation to inmates employed in any industry, or performing outstanding services in institutional operations, and compensation to inmates or their dependents for injuries suffered in any industry or in any work activity in connection with the maintenance or operation of the institution in which the inmates are confined. In no event may compensation for such injuries be paid in an amount greater than that provided in chapter 81 of title 5. (d) Accounts of all receipts and disbursements of the corporation shall be rendered to the General Accounting Office for settlement and adjustment, as required by the Comptroller General. (e) Such accounting shall include all fiscal transactions of the corporation, whether involving appropriated moneys, capital, or receipts from other sources. (f) Funds available to the corporation may be used for the lease, purchase, other acquisition, repair, alteration, erection, or maintenance of facilities only to the extent such facilities are necessary for the industrial operations of the corporation under this chapter. Such funds may not be used for the construction or acquisition of penal or correctional institutions, including camps described in section 4125. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 852; May 24, 1949, ch. 139, Sec. 64, 63 Stat. 99; Sept. 26, 1961, Pub. L. 87-317, 75 Stat. 681; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7094, 102 Stat. 4412.) -MISC1- HISTORICAL AND REVISION NOTES 1948 ACT Based on title 18, U.S.C., 1940 ed., Sec. 744d, 744e, 744f, 744l (May 27, 1930, ch. 340, Sec. 4-6, 46 Stat. 391, 392; June 23, 1934, ch. 736, Sec. 4, 48 Stat. 1211). This section is a restatement of section 744l of title 18, U.S.C., 1940 ed., with which sections 744d and 744f and the first sentence of section 744e of title 18, U.S.C., 1940 ed., are consolidated, in view of the fact that those provisions have been superseded by section 744l of title 18, U.S.C., 1940 ed., in connection with other provisions of the act of June 23, 1934, ch. 736, 48 Stat. 1211. The first sentence of section 744l of title 18, U.S.C., 1940 ed., authorizing replacement of the prison industries working capital fund by the prison industries fund was omitted, as executed. That provision superseded section 744d of title 18, U.S.C., 1940 ed., which authorized creation of the prison industries working capital fund and the first sentence of section 744e of title 18, U.S.C., 1940 ed., directing that certain funds should be credited to the consolidated prison industries working capital fund. The phrase 'or received from the sale of the products or by-products of such Industries, or for the services of Federal prisoners,' was inserted to make the first paragraph of this section complete, and required the Federal Prison Industries to account for all moneys under its control. The words 'in the repair, alteration, erection and maintenance of industrial buildings and equipment' and 'under rules and regulations promulgated by the Attorney General in paying compensation to inmates employed in any industry, or performing outstanding services in industrial operations' were inserted in part to conform to administrative construction, and in part to provide greater flexibility in the operation of Prison Industries. Much friction was caused by the inability of Prison Industries to compensate inmates whose services in operating the utilities of the institution were most necessary but which were uncompensated while those prisoners who worked in the Industries received compensation. This inequitable situation is corrected by the revised section. The words 'in performing the duties imposed by this chapter' were substituted for the words 'for the purposes enumerated in sections 744a-744h of this title,' since the provisions with regard to prison industries now appear in this chapter. The general provisions as to use of the fund supersede the more specific provisions of section 744f of said title (enacted earlier). A reference to the Federal Employees' Compensation Act as appeared in the 1934 act was substituted for the reference to specific sections of title 5. The word 'law' was substituted for the reference to sections in title 31 since translation of the reference in the 1934 act was not practicable. Remaining provisions of said section 744e of title 18, U.S.C., 1940 ed., relating to authorization of appropriations, were omitted as unnecessary. Other changes in phraseology were made. 1949 ACT This section (section 64) incorporates in section 4126 of title 18, U.S.C., provisions of act of May 11, 1948 (ch. 276, 62 Stat. 230), which was not incorporated in title 18 when the revision was enacted. The remainder of such act is incorporated in section 4122 of such title by another section of this bill. AMENDMENTS 1988 - Subsecs. (a), (b). Pub. L. 100-690, Sec. 7094(1), designated first and second pars. as subsecs. (a) and (b), respectively. Subsec. (c). Pub. L. 100-690, Sec. 7094(1), (2), designated third par. as subsec. (c) and amended subsec. (c) generally. Prior to amendment, subsec. (c) read as follows: 'The corporation, in accordance with the laws generally applicable to the expenditures of the several departments and establishments of the government, is authorized to employ the fund, and any earnings that may accrue to the corporation, as operating capital in performing the duties imposed by this chapter; in the repair, alteration, erection and maintenance of industrial buildings and equipment; in the vocational training of inmates without regard to their industrial or other assignments; in paying, under rules and regulations promulgated by the Attorney General, compensation to inmates employed in any industry, or performing outstanding services in institutional operations, and compensation to inmates or their dependents for injuries suffered in any industry or in any work activity in connection with the maintenance or operation of the institution where confined. In no event shall compensation be paid in a greater amount than that provided in the Federal Employees' Compensation Act.' Subsecs. (d), (e). Pub. L. 100-690, Sec. 7094(1), designated fourth and fifth pars. as subsecs. (d) and (e), respectively. Subsec. (f). Pub. L. 100-690, Sec. 7094(3), added subsec. (f). 1961 - Pub. L. 87-317 authorized compensation for injuries to inmates incurred while working in connection with the maintenance or operation of the institution where confined. 1949 - Act May 24, 1949, inserted 'in the vocational training of inmates without regard to their industrial or other assignments;' after second semicolon in third par. -CROSS- CROSS REFERENCES Financial control of Corporation, see section 9101 et seq. of Title 31, Money and Finance. General Accounting Office; creation, powers, duties, etc., see section 702 et seq. of Title 31. ------DocID 24985 Document 1227 of 1438------ -CITE- 18 USC Sec. 4127 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4127. Prison Industries report to Congress -STATUTE- The board of directors of Federal Prison Industries shall submit an annual report to the Congress on the conduct of the business of the corporation during each fiscal year, and on the condition of its funds during such fiscal year. Such report shall include a statement of the amount of obligations issued under section 4129(a)(1) during such fiscal year, and an estimate of the amount of obligations that will be so issued in the following fiscal year. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 852; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7095, 102 Stat. 4413.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 744m (June 23, 1934, ch. 736, Sec. 5, 48 Stat. 1212). Words 'of Federal Prison Industries' were inserted after 'board of directors'. Minor changes were made in phraseology. AMENDMENTS 1988 - Pub. L. 100-690 amended section generally. Prior to amendment, section read as follows: 'The board of directors of Federal Prison Industries shall make annual reports to Congress on the conduct of the business of the corporation and on the condition of its funds.' -CROSS- CROSS REFERENCES Annual management reports to Congress by Government corporations, see section 9106 of Title 31, Money and Finance. ------DocID 24986 Document 1228 of 1438------ -CITE- 18 USC Sec. 4128 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4128. Enforcement by Attorney General -STATUTE- In the event of any failure of Federal Prison Industries to act, the Attorney General shall not be limited in carrying out the duties conferred upon him by law. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 853.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 744n (June 23, 1934, ch. 736, Sec. 6, 48 Stat. 1212). Phrase relating to section being 'supplemental' to sections 744i-744h of title 18, U.S.C., 1940 ed., is omitted as unnecessary. Retention of remainder of section is essential to insure authority of Attorney General to require performance of duties of Prison Industries. (See sections 4001 and 4003 of this title.) This is also consistent with 1939 Reorganization Plan No. II, Sec. 3(a), transferring the corporation to the Department of Justice 'under the general direction and supervision of the Attorney General'. (See section 133t of title 5, U.S.C., 1940 ed., Executive Departments and Government Officers and Employees.) Words 'Federal Prison Industries' were substituted for 'the corporation'. ------DocID 24987 Document 1229 of 1438------ -CITE- 18 USC Sec. 4129 -EXPCITE- TITLE 18 PART III CHAPTER 307 -HEAD- Sec. 4129. Authority to borrow and invest -STATUTE- (a)(1) As approved by the board of directors, Federal Prison Industries, to such extent and in such amounts as are provided in appropriations Acts, is authorized to issue its obligations to the Secretary of the Treasury, and the Secretary of the Treasury, in the Secretary's discretion, may purchase or agree to purchase any such obligations, except that the aggregate amount of obligations issued by Federal Prison Industries under this paragraph that are outstanding at any time may not exceed 25 percent of the net worth of the corporation. For purchases of such obligations by the Secretary of the Treasury, the Secretary is authorized to use as a public debt transaction the proceeds of the sale of any securities issued under chapter 31 of title 31 after the date of the enactment of this section, and the purposes for which securities may be issued under that chapter are extended to include such purchases. Each purchase of obligations by the Secretary of the Treasury under this subsection shall be upon such terms and conditions as to yield a return at a rate not less than a rate determined by the Secretary of the Treasury, taking into consideration the current average yield on outstanding marketable obligations of the United States of comparable maturity. For purposes of the first sentence of this paragraph, the net worth of Federal Prison Industries is the amount by which its assets (including capital) exceed its liabilities. (2) The Secretary of the Treasury may sell, upon such terms and conditions and at such price or prices as the Secretary shall determine, any of the obligations acquired by the Secretary under this subsection. All purchases and sales by the Secretary of the Treasury of such obligations under this subsection shall be treated as public debt transactions of the United States. (b) Federal Prison Industries may request the Secretary of the Treasury to invest excess moneys from the Prison Industries Fund. Such investments shall be in public debt securities with maturities suitable to the needs of the corporation as determined by the board of directors, and bearing interest at rates determined by the Secretary of the Treasury, taking into consideration current market yields on outstanding marketable obligations of the United States of comparable maturities. -SOURCE- (Added Pub. L. 100-690, title VII, Sec. 7093(a), Nov. 18, 1988, 102 Stat. 4411.) -REFTEXT- REFERENCES IN TEXT The date of the enactment of this section, referred to in subsec. (a)(1), is the date of enactment of Pub. L. 100-690 which was approved Nov. 18, 1988. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4127 of this title. ------DocID 24988 Document 1230 of 1438------ -CITE- 18 USC (CHAPTER 309 -EXPCITE- TITLE 18 PART III (CHAPTER 309 -HEAD- (CHAPTER 309 - REPEALED) ------DocID 24989 Document 1231 of 1438------ -CITE- 18 USC Sec. 4161 to 4166 -EXPCITE- TITLE 18 PART III (CHAPTER 309 -HEAD- (Sec. 4161 to 4166. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(4), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; CHAPTER TO REMAIN IN EFFECT FOR FIVE YEARS AFTER NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this chapter is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Section 235(b)(1)(B) of Pub. L. 98-473 provided that the provisions of this chapter in effect before Nov. 1, 1987, shall remain in effect for five years after Nov. 1, 1987, as to an individual who committed an offense or an act of juvenile delinquency before Nov. 1, 1987, and as to a term of imprisonment during the period described in section 235(a)(1)(B) of Pub. L. 98-473. Prior to repeal, the provisions of this chapter read as follows: Sec. 4161. Computation generally Each prisoner convicted of an offense against the United States and confined in a penal or correctional institution for a definite term other than for life, whose record of conduct shows that he has faithfully observed all the rules and has not been subjected to punishment, shall be entitled to a deduction from the term of his sentence beginning with the day on which the sentence commences to run, as follows: Five days for each month, if the sentence is not less than six months and not more than one year. Six days for each month, if the sentence is more than one year and less than three years. Seven days for each month, if the sentence is not less than three years and less than five years. Eight days for each month, if the sentence is not less than five years and less than ten years. Ten days for each month, if the sentence is ten years or more. When two or more consecutive sentences are to be served, the aggregate of the several sentences shall be the basis upon which the deduction shall be computed. (June 25, 1948, ch. 645, 62 Stat. 853; Sept. 14, 1959, Pub. L. 86-259, 73 Stat. 546.) Sec. 4162. Industrial good time A prisoner may, in the discretion of the Attorney General, be allowed a deduction from his sentence of not to exceed three days for each month of actual employment in an industry or camp for the first year or any part thereof, and not to exceed five days for each month of any succeeding year or part thereof. In the discretion of the Attorney General such allowance may also be made to a prisoner performing exceptionally meritorious service or performing duties of outstanding importance in connection with institutional operations. Such allowance shall be in addition to commutation of time for good conduct, and under the same terms and conditions and without regard to length of sentence. (June 25, 1948, ch. 645, 62 Stat. 853.) Sec. 4163. Discharge Except as hereinafter provided a prisoner shall be released at the expiration of his term of sentence less the time deducted for good conduct. A certificate of such deduction shall be entered on the commitment by the warden or keeper. If such release date falls upon a Saturday, a Sunday, or on a Monday which is a legal holiday at the place of confinement, the prisoner may be released at the discretion of the warden or keeper on the preceding Friday. If such release date falls on a holiday which falls other than on a Saturday, Sunday, or Monday, the prisoner may be released at the discretion of the warden or keeper on the day preceding the holiday. (June 25, 1948, ch. 645, 62 Stat. 853; Sept. 19, 1962, Pub. L. 87-665, 76 Stat. 552.) Sec. 4164. Released prisoner as parolee A prisoner having served his term or terms less good-time deductions shall, upon release, be deemed as if released on parole until the expiration of the maximum term or terms for which he was sentenced less one hundred and eighty days. This section shall not prevent delivery of a prisoner to the authorities of any State otherwise entitled to his custody. (June 25, 1948, ch. 645, 62 Stat. 853; June 29, 1951, ch. 176, 65 Stat. 98.) Sec. 4165. Forfeiture for offense If during the term of imprisonment a prisoner commits any offense or violates the rules of the institution, all or any part of his earned good time may be forfeited. (June 25, 1948, ch. 645, 62 Stat. 854.) Sec. 4166. Restoration of forfeited commutation The Attorney General may restore any forfeited or lost good time or such portion thereof as he deems proper upon recommendation of the Director of the Bureau of Prisons. (June 25, 1948, ch. 645, 62 Stat. 854.) ------DocID 24990 Document 1232 of 1438------ -CITE- 18 USC (CHAPTER 311 -EXPCITE- TITLE 18 PART III (CHAPTER 311 -HEAD- (CHAPTER 311 - REPEALED) -COD- CODIFICATION A prior chapter 311, consisting of sections 4201-4210, act June 25, 1948, ch. 645, 62 Stat. 854, 855, as amended, was repealed by section 2 of Pub. L. 94-233 as part of the general revision of this chapter by Pub. L. 94-233. ------DocID 24991 Document 1233 of 1438------ -CITE- 18 USC Sec. 4201 to 4218 -EXPCITE- TITLE 18 PART III (CHAPTER 311 -HEAD- (Sec. 4201 to 4218. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(5), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; CHAPTER TO REMAIN IN EFFECT FOR TEN YEARS AFTER NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this chapter is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Section 235(b)(1)(A) of Pub. L. 98-473 provided that the provisions of this chapter in effect before Nov. 1, 1987, shall remain in effect for five years after Nov. 1, 1987, as to an individual who committed an offense or an act of juvenile delinquency before Nov. 1, 1987, and as to a term of imprisonment during the period described in section 235(a)(1)(B) of Pub. L. 98-473. Pub. L. 101-650, title III, Sec. 316, Dec. 1, 1990, 104 Stat. 5115, extended the period that this chapter remains in effect after Nov. 1, 1987, from five years to ten years. Prior to repeal, the provisions of this chapter read as follows: Sec. 4201. Definitions As used in this chapter - (1) 'Commission' means the United States Parole Commission; (2) 'Commissioner' means any member of the United States Parole Commission; (3) 'Director' means the Director of the Bureau of Prisons; (4) 'Eligible prisoner' means any Federal prisoner who is eligible for parole pursuant to this title or any other law including any Federal prisoner whose parole has been revoked and who is not otherwise ineligible for parole; (5) 'Parolee' means any eligible prisoner who has been released on parole or deemed as if released on parole under section 4164 or section 4205(f); and (6) 'Rules and regulations' means rules and regulations promulgated by the Commission pursuant to section 4203 and section 553 of title 5, United States Code. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 219.) Sec. 4202. Parole Commission created There is hereby established, as an independent agency in the Department of Justice, a United States Parole Commission which shall be comprised of nine members appointed by the President, by and with the advice and consent of the Senate. The President shall designate from among the Commissioners one to serve as Chairman. The term of office of a Commissioner shall be six years, except that the term of a person appointed as a Commissioner to fill a vacancy shall expire six years from the date upon which such person was appointed and qualified. Upon the expiration of a term of office of a Commissioner, the Commissioner shall continue to act until a successor has been appointed and qualified, except that no Commissioner may serve in excess of twelve years. Commissioners shall be compensated at the highest rate now or hereafter prescribed for grade 18 of the General Schedule pay rates (5 U.S.C. 5332). (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 219.) REFERENCES IN OTHER LAWS TO GS-16, 17, OR 18 PAY RATES References in laws to the rates of pay for GS-16, 17, or 18, or to maximum rates of pay under the General Schedule, to be considered references to rates payable under specified sections of Title 5, Government Organization and Employees, see section 529 (title I, Sec. 101(c)(1)) of Pub. L. 101-509, set out in a note under section 5376 of Title 5. EXTENSION OF TERM OF COMMISSIONER Section 235(b)(2) of Pub. L. 98-473 provided that notwithstanding the provisions of section 4202 of this title as in effect on the day before Nov. 1, 1987 (set out above), the term of office of a Commissioner who is in office on Nov. 1, 1987, is extended to the end of the five-year period after Nov. 1, 1987. Pub. L. 101-650, title III, Sec. 316, Dec. 1, 1990, 104 Stat. 5115, further extended the term of office of a Commissioner to a ten-year period after Nov. 1, 1987. Sec. 4203. Powers and duties of the Commission (a) The Commission shall meet at least quarterly, and by majority vote shall - (1) promulgate rules and regulations establishing guidelines for the powers enumerated in subsection (b) of this section and such other rules and regulations as are necessary to carry out a national parole policy and the purposes of this chapter; (2) create such regions as are necessary to carry out the provisions of this chapter; and (3) ratify, revise, or deny any request for regular, supplemental, or deficiency appropriations, prior to the submission of the requests to the Office of Management and Budget by the Chairman, which requests shall be separate from those of any other agency of the Department of Justice. (b) The Commission, by majority vote, and pursuant to the procedures set out in this chapter, shall have the power to - (1) grant or deny an application or recommendation to parole any eligible prisoner; (2) impose reasonable conditions on an order granting parole; (3) modify or revoke an order paroling any eligible prisoner; and (4) request probation officers and other individuals, organizations, and public or private agencies to perform such duties with respect to any parolee as the Commission deems necessary for maintaining proper supervision of and assistance to such parolees; and so as to assure that no probation officers, individuals, organizations, or agencies shall bear excessive caseloads. (c) The Commission, by majority vote, and pursuant to rules and regulations - (1) may delegate to any Commissioner or commissioners powers enumerated in subsection (b) of this section; (2) may delegate to hearing examiners any powers necessary to conduct hearings and proceedings, take sworn testimony, obtain and make a record of pertinent information, make findings of probable cause and issue subpenas for witnesses or evidence in parole revocation proceedings, and recommend disposition of any matters enumerated in subsection (b) of this section, except that any such findings or recommendations shall be based upon the concurrence of not less than two hearing examiners; (3) may delegate authority to conduct hearings held pursuant to section 4214 to any officer or employee of the executive or judicial branch of Federal or State government; and (4) may review, or may delegate to the National Appeals Board the power to review, any decision made pursuant to subparagraph (1) of this subsection except that any such decision so reviewed must be reaffirmed, modified or reversed within thirty days of the date the decision is rendered, and, in case of such review, the individual to whom the decision applies shall be informed in writing of the Commission's actions with respect thereto and the reasons for such actions. (d) Except as otherwise provided by law, any action taken by the Commission pursuant to subsection (a) of this section shall be taken by a majority vote of all individuals currently holding office as members of the Commission which shall maintain and make available for public inspection a record of the final vote of each member on statements of policy and interpretations adopted by it. In so acting, each Commissioner shall have equal responsibility and authority, shall have full access to all information relating to the performance of such duties and responsibilities, and shall have one vote. (e)(1) The Commission shall, upon the request of the head of any law enforcement agency of a State or of a unit of local government in a State, make available as expeditiously as possible to such agency, with respect to individuals who are under the jurisdiction of the Commission, who have been convicted of felony offenses against the United States, and who reside, are employed, or are supervised in the geographical area in which such agency has jurisdiction, the following information maintained by the Commission (to the extent that the Commission maintains such information) - (A) the names of such individuals; (B) the addresses of such individuals; (C) the dates of birth of such individuals; (D) the Federal Bureau of Investigation numbers assigned to such individuals; (E) photographs and fingerprints of such individuals; and (F) the nature of the offenses against the United States of which each such individual has been convicted and the factual circumstances relating to such offense. (2) Any law enforcement agency which receives information under this subsection shall not disseminate such information outside of such agency. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 220, and amended Pub. L. 99-646, Sec. 57(b), (c), Nov. 10, 1986, 100 Stat. 3611, 3612.) Sec. 4204. Powers and duties of the Chairman (a) The Chairman shall - (1) convene and preside at meetings of the Commission pursuant to section 4203 and such additional meetings of the Commission as the Chairman may call or as may be requested in writing by at least three Commissioners; (2) appoint, fix the compensation of, assign, and supervise all personnel employed by the Commission except that - (A) the appointment of any hearing examiner shall be subject to approval of the Commission within the first year of such hearing examiner's employment; and (B) regional Commissioners shall appoint and supervise such personnel employed regularly and full time in their respective regions as are compensated at a rate up to and including grade 9 of the General Schedule pay rates (5 U.S.C. 5332); (3) assign duties among officers and employees of the Commission, including Commissioners, so as to balance the workload and provide for orderly administration; (4) direct the preparation of requests for appropriations for the Commission, and the use of funds made available to the Commission; (5) designate not fewer than three Commissioners to serve on the National Appeals Board of whom one shall be so designated to serve as vice chairman of the Commission (who shall act as Chairman of the Commission in the absence or disability of the Chairman or in the event of the vacancy of the Chairmanship), and designate, for each such region established pursuant to section 4203, one Commissioner to serve as regional Commissioner in each such region; except that in each such designation the Chairman shall consider years of service, personal preference and fitness, and no such designation shall take effect unless concurred in by the President, or his designee; (6) serve as spokesman for the Commission and report annually to each House of Congress on the activities of the Commission; and (7) exercise such other powers and duties and perform such other functions as may be necessary to carry out the purposes of this chapter or as may be provided under any other provision of law. (b) The Chairman shall have the power to - (1) without regard to section 3324(a) and (b) of title 31, enter into and perform such contracts, leases, cooperative agreements, and other transactions as may be necessary in the conduct of the functions of the Commission, with any public agency, or with any person, firm, association, corporation, educational institution, or nonprofit organization; (2) accept voluntary and uncompensated services, notwithstanding the provisions of section 1342 of title 31; (3) procure for the Commission temporary and intermittent services to the same extent as is authorized by section 3109(b) of title 5, United States Code; (4) collect systematically the data obtained from studies, research, and the empirical experience of public and private agencies concerning the parole process; (5) carry out programs of research concerning the parole process to develop classification systems which describe types of offenders, and to develop theories and practices which can be applied to the different types of offenders; (6) publish data concerning the parole process; (7) devise and conduct, in various geographical locations, seminars, workshops and training programs providing continuing studies and instruction for personnel of Federal, State and local agencies and private and public organizations working with parolees and connected with the parole process; and (8) utilize the services, equipment, personnel, information, facilities, and instrumentalities with or without reimbursement therefor of other Federal, State, local, and private agencies with their consent. (c) In carrying out his functions under this section, the Chairman shall be governed by the national parole policies promulgated by the Commission. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 221, and amended Pub. L. 97-258, Sec. 3(e)(3), (4), Sept. 13, 1982, 96 Stat. 1064; Pub. L. 99-646, Sec. 58(a), Nov. 10, 1986, 100 Stat. 3612.) -EXEC- EX. ORD. NO. 11919. DELEGATION OF PRESIDENTIAL AUTHORITY TO CONCUR IN DESIGNATIONS OF COMMISSIONERS Ex. Ord. No. 11919, June 9, 1976, 41 F.R. 23663, provided: By virtue of the authority vested in me by section 301 of title 3, United States Code, and section 4204(a)(5) of title 18, United States Code, as enacted by the Parole Commission and Reorganization Act (Public Law 94-233), and as President of the United States of America, it is hereby ordered that the Attorney General shall serve as the President's designee for purposes of concurring in designations of Commissioners of the United States Parole Commission to serve on the National Appeals Board, as vice chairman of the Commission, and as regional Commissioner. Gerald R. Ford. Sec. 4205. Time of eligibility for release on parole (a) Whenever confined and serving a definite term or terms of more than one year, a prisoner shall be eligible for release on parole after serving one-third of such term or terms or after serving ten years of a life sentence or of a sentence of over thirty years, except to the extent otherwise provided by law. (b) Upon entering a judgment of conviction, the court having jurisdiction to impose sentence, when in its opinion the ends of justice and best interest of the public require that the defendant be sentenced to imprisonment for a term exceeding one year, may (1) designate in the sentence of imprisonment imposed a minimum term at the expiration of which the prisoner shall become eligible for parole, which term may be less than but shall not be more than one-third of the maximum sentence imposed by the court, or (2) the court may fix the maximum sentence of imprisonment to be served in which event the court may specify that the prisoner may be released on parole at such time as the Commission may determine. (c) If the court desires more detailed information as a basis for determining the sentence to be imposed, the court may commit the defendant to the custody of the Attorney General, which commitment shall be deemed to be for the maximum sentence of imprisonment prescribed by law, for a study as described in subsection (d) of this section. The results of such study, together with any recommendations which the Director of the Bureau of Prisons believes would be helpful in determining the disposition of the case, shall be furnished to the court within three months unless the court grants time, not to exceed an additional three months, for further study. After receiving such reports and recommendations, the court may in its discretion: (1) place the offender on probation as authorized by section 3651; or (2) affirm the sentence of imprisonment originally imposed, or reduce the sentence of imprisonment, and commit the offender under any applicable provision of law. The term of the sentence shall run from the date of original commitment under this section. (d) Upon commitment of a prisoner sentenced to imprisonment under the provisions of subsections (a) or (b) of this section, the Director, under such regulations as the Attorney General may prescribe, shall cause a complete study to be made of the prisoner and shall furnish to the Commission a summary report together with any recommendations which in his opinion would be helpful in determining the suitability of the prisoner for parole. This report may include but shall not be limited to data regarding the prisoner's previous delinquency or criminal experience, pertinent circumstances of his social background, his capabilities, his mental and physical health, and such other factors as may be considered pertinent. The Commission may make such other investigation as it may deem necessary. (e) Upon request of the Commission, it shall be the duty of the various probation officers and government bureaus and agencies to furnish the Commission information available to such officer, bureau, or agency, concerning any eligible prisoner or parolee and whenever not incompatible with the public interest, their views and recommendation with respect to any matter within the jurisdiction of the Commission. (f) Any prisoner sentenced to imprisonment for a term or terms of not less than six months but not more than one year shall be released at the expiration of such sentence less good time deductions provided by law, unless the court which imposed sentence, shall, at the time of sentencing, provide for the prisoner's release as if on parole after service of one-third of such term or terms notwithstanding the provisions of section 4164. This subsection shall not prevent delivery of any person released on parole to the authorities of any State otherwise entitled to his custody. (g) At any time upon motion of the Bureau of Prisons, the court may reduce any minimum term to the time the defendant has served. The court shall have jurisdiction to act upon the application at any time and no hearing shall be required. (h) Nothing in this chapter shall be construed to provide that any prisoner shall be eligible for release on parole if such prisoner is ineligible for such release under any other provision of law. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 222.) Sec. 4206. Parole determination criteria (a) If an eligible prisoner has substantially observed the rules of the institution or institutions to which he has been confined, and if the Commission, upon consideration of the nature and circumstances of the offense and the history and characteristics of the prisoner, determines: (1) that release would not depreciate the seriousness of his offense or promote disrespect for the law; and (2) that release would not jeopardize the public welfare; subject to the provisions of subsections (b) and (c) of this section, and pursuant to guidelines promulgated by the Commission pursuant to section 4203(a)(1), such prisoner shall be released. (b) The Commission shall furnish the eligible prisoner with a written notice of its determination not later than twenty-one days, excluding holidays, after the date of the parole determination proceeding. If parole is denied such notice shall state with particularity the reasons for such denial. (c) The Commission may grant or deny release on parole notwithstanding the guidelines referred to in subsection (a) of this section if it determines there is good cause for so doing: Provided, That the prisoner is furnished written notice stating with particularity the reasons for its determination, including a summary of the information relied upon. (d) Any prisoner, serving a sentence of five years or longer, who is not earlier released under this section or any other applicable provision of law, shall be released on parole after having served two-thirds of each consecutive term or terms, or after serving thirty years of each consecutive term or terms of more than forty-five years including any life term, whichever is earlier: Provided, however, That the Commission shall not release such prisoner if it determines that he has seriously or frequently violated institution rules and regulations or that there is a reasonable probability that he will commit any Federal, State, or local crime. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 223.) Sec. 4207. Information considered In making a determination under this chapter (relating to release on parole) the Commission shall consider, if available and relevant: (1) reports and recommendations which the staff of the facility in which such prisoner is confined may make; (2) official reports of the prisoner's prior criminal record, including a report or record of earlier probation and parole experiences; (3) presentence investigation reports; (4) recommendations regarding the prisoner's parole made at the time of sentencing by the sentencing judge; (5) a statement, which may be presented orally or otherwise, by any victim of the offense for which the prisoner is imprisoned about the financial, social, psychological, and emotional harm done to, or loss suffered by such victim; and (5)((6)) reports of physical, mental, or psychiatric examination of the offender. There shall also be taken into consideration such additional relevant information concerning the prisoner (including information submitted by the prisoner) as may be reasonably available. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 224, and amended Pub. L. 98-473, title II, Sec. 1408(a), Oct. 12, 1984, 98 Stat. 2177.) Sec. 4208. Parole determination proceeding; time (a) In making a determination under this chapter (relating to parole) the Commission shall conduct a parole determination proceeding unless it determines on the basis of the prisoner's record that the prisoner will be released on parole. Whenever feasible, the initial parole determination proceeding for a prisoner eligible for parole pursuant to subsections (a) and (b)(1) of section 4205 shall be held not later than thirty days before the date of such eligibility for parole. Whenever feasible, the initial parole determination proceeding for a prisoner eligible for parole pursuant to subsection (b)(2) of section 4205 or released on parole and whose parole has been revoked shall be held not later than one hundred and twenty days following such prisoner's imprisonment or reimprisonment in a Federal institution, as the case may be. An eligible prisoner may knowingly and intelligently waive any proceeding. (b) At least thirty days prior to any parole determination proceeding, the prisoner shall be provided with (1) written notice of the time and place of the proceeding, and (2) reasonable access to a report or other document to be used by the Commission in making its determination. A prisoner may waive such notice, except that if notice is not waived the proceeding shall be held during the next regularly scheduled proceedings by the Commission at the institution in which the prisoner is confined. (c) Subparagraph (2) of subsection (b) shall not apply to - (1) diagnostic opinions which, if made known to the eligible prisoner, could lead to a serious disruption of his institutional program; (2) any document which reveals sources of information obtained upon a promise of confidentiality; or (3) any other information which, if disclosed, might result in harm, physical or otherwise, to any person. If any document is deemed by either the Commission, the Bureau of Prisons, or any other agency to fall within the exclusionary provisions of subparagraphs (1), (2), or (3) of this subsection, then it shall become the duty of the Commission, the Bureau, or such other agency, as the case may be, to summarize the basic contents of the material withheld, bearing in mind the need for confidentiality or the impact on the inmate, or both, and furnish such summary to the inmate. (d)(1) During the period prior to the parole determination proceeding as provided in subsection (b) of this section, a prisoner may consult, as provided by the director, with a representative as referred to in subparagraph (2) of this subsection, and by mail or otherwise with any person concerning such proceeding. (2) The prisoner shall, if he chooses, be represented at the parole determination proceeding by a representative who qualifies under rules and regulations promulgated by the Commission. Such rules shall not exclude attorneys as a class. (e) The prisoner shall be allowed to appear and testify on his own behalf at the parole determination proceeding. (f) A full and complete record of every proceeding shall be retained by the Commission. Upon request, the Commission shall make available to any eligible prisoner such record as the Commission may retain of the proceeding. (g) If parole is denied, a personal conference to explain the reasons for such denial shall be held, if feasible, between the prisoner and a representative of the Commission at the conclusion of the proceeding. When feasible, the conference shall include advice to the prisoner as to what steps may be taken to enhance his chance of being released at a subsequent proceeding. (h) In any case in which release on parole is not granted, subsequent parole determination proceedings shall be held not less frequently than: (1) eighteen months in the case of a prisoner with a term or terms of more than one year but less than seven years; and (2) twenty-four months in the case of a prisoner with a term or terms of seven years or longer. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 224, and amended Pub. L. 99-646, Sec. 58(b), Nov. 10, 1986, 100 Stat. 3612.) Sec. 4209. Conditions of parole (a) In every case, the Commission shall impose as conditions of parole that the parolee not commit another Federal, State, or local crime, that the parolee not possess illegal controlled substances.(sic) and, if a fine was imposed, that the parolee make a diligent effort to pay the fine in accordance with the judgment. The Commission may impose or modify other conditions of parole to the extent that such conditions are reasonably related to - (1) the nature and circumstances of the offense; and (2) the history and characteristics of the parolee; and may provide for such supervision and other limitations as are reasonable to protect the public welfare. (b) The conditions of parole should be sufficiently specific to serve as a guide to supervision and conduct, and upon release on parole the parolee shall be given a certificate setting forth the conditions of his parole. An effort shall be made to make certain that the parolee understands the conditions of his parole. (c) Release on parole or release as if on parole (or probation, or supervised release where applicable) may as a condition of such release require - (1) a parolee to reside in or participate in the program of a residential community treatment center, or both, for all or part of the period of such parole; or (2) a parolee to remain at his place of residence during nonworking hours and, if the Commission so directs, to have compliance with this condition monitored by telephone or electronic signaling devices, except that a condition under this paragraph may be imposed only as an alternative to incarceration. A parolee residing in a residential community treatment center pursuant to paragraph (1) of this subsection may be required to pay such costs incident to such residence as the Commission deems appropriate. (d)(1) The Commission may modify conditions of parole pursuant to this section on its own motion, or on the motion of a United States probation officer supervising a parolee: Provided, That the parolee receives notice of such action and has ten days after receipt of such notice to express his views on the proposed modification. Following such ten-day period, the Commission shall have twenty-one days, exclusive of holidays, to act upon such motion or application. Notwithstanding any other provision of this paragraph, the Commission may modify conditions of parole, without regard to such ten-day period, on any such motion if the Commission determines that the immediate modification of conditions of parole is required to prevent harm to the parolee or to the public. (2) A parolee may petition the Commission on his own behalf for a modification of conditions pursuant to this section. (3) The provisions of this subsection shall not apply to modifications of parole conditions pursuant to a revocation proceeding under section 4214. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 225, and amended Pub. L. 98-473, title II, Sec. 235(a)(1), 238(e), (i), Oct. 12, 1984, 98 Stat. 2031, 2039; Pub. L. 98-596, Sec. 7, 12(a)(5), (9), (b), Oct. 30, 1984, 98 Stat. 3138, 3139, 3140; Pub. L. 99-646, Sec. 58(c), Nov. 10, 1986, 100 Stat. 3612; Pub. L. 100-690, title VII, Sec. 7303(c)(1), (2), 7305(c), Nov. 18, 1988, 102 Stat. 4464, 4466.) CODIFICATION Pub. L. 98-473, Sec. 235(a)(1), 238(e), (i), and Pub. L. 98-596, Sec. 12(a)(5), (9), (b), amended section as follows: Section 238(e) of Pub. L. 98-473 amended provisions of subsec. (a) preceding par. (1) effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(5) of Pub. L. 98-596 amended provisions of subsec. (a) preceding par. (1) to read as they had before amendment by Pub. L. 98-473, applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. The cumulative effect of the amendments resulted in no change in this section. -MISC6- EFFECTIVE DATE OF 1988 AMENDMENT Amendment by section 7303(c)(1), (2) of Pub. L. 100-690 applicable with respect to persons whose probation, supervised release, or parole begins after Dec. 31, 1988, see section 7303(d) of Pub. L. 100-690, set out as a note under section 3563 of this title. Sec. 4210. Jurisdiction of Commission (a) A parolee shall remain in the legal custody and under the control of the Attorney General, until the expiration of the maximum term or terms for which such parolee was sentenced. (b) Except as otherwise provided in this section, the jurisdiction of the Commission over the parolee shall terminate no later than the date of the expiration of the maximum term or terms for which he was sentenced, except that - (1) such jurisdiction shall terminate at an earlier date to the extent provided under section 4164 (relating to mandatory release) or section 4211 (relating to early termination of parole supervision), and (2) in the case of a parolee who has been convicted of any criminal offense committed subsequent to his release on parole, and such offense is punishable by a term of imprisonment, detention or incarceration in any penal facility, the Commission shall determine, in accordance with the provisions of section 4214(b) or (c), whether all or any part of the unexpired term being served at the time of parole shall run concurrently or consecutively with the sentence imposed for the new offense, but in no case shall such service together with such time as the parolee has previously served in connection with the offense for which he was paroled, be longer than the maximum term for which he was sentenced in connection with such offense. (c) In the case of any parolee found to have intentionally refused or failed to respond to any reasonable request, order, summons, or warrant of the Commission or any member or agent thereof, the jurisdiction of the Commission may be extended for the period during which the parolee so refused or failed to respond. (d) The parole of any parolee shall run concurrently with the period of parole or probation under any other Federal, State, or local sentence. (e) Upon the termination of the jurisdiction of the Commission over any parolee, the Commission shall issue a certificate of discharge to such parolee and to such other agencies as it may determine. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 226, and amended Pub. L. 99-646, Sec. 58(d), (e), Nov. 10, 1986, 100 Stat. 3612.) Sec. 4211. Early termination of parole (a) Upon its own motion or upon request of the parolee, the Commission may terminate supervision over a parolee prior to the termination of jurisdiction under section 4210. (b) Two years after each parolee's release on parole, and at least annually thereafter, the Commission shall review the status of the parolee to determine the need for continued supervision. In calculating such two-year period there shall not be included any period of release on parole prior to the most recent such release, nor any period served in confinement on any other sentence. (c)(1) Five years after each parolee's release on parole, the Commission shall terminate supervision over such parolee unless it is determined, after a hearing conducted in accordance with the procedures prescribed in section 4214(a)(2), that such supervision should not be terminated because there is a likelihood that the parolee will engaged in conduct violating any criminal law. (2) If supervision is not terminated under subparagraph (1) of this subsection the parolee may request a hearing annually thereafter, and a hearing, with procedures as provided in subparagraph (1) of this subsection shall be conducted with respect to such termination of supervision not less frequently than biennially. (3) In calculating the five-year period referred to in subparagraph (1), there shall not be included any period of release on parole prior to the most recent such release, nor any period served in confinement on any other sentence. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 227.) Sec. 4212. Aliens When an alien prisoner subject to deportation becomes eligible for parole, the Commission may authorize the release of such prisoner on condition that such person be deported and remain outside the United States. Such prisoner when his parole becomes effective, shall be delivered to the duly authorized immigration official for deportation. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 227.) Sec. 4213. Summons to appear or warrant for retaking of parolee (a) If any parolee is alleged to have violated his parole, the Commission may - (1) summon such parolee to appear at a hearing conducted pursuant to section 4214; or (2) issue a warrant and retake the parolee as provided in this section. (b) Any summons or warrant issued under this section shall be issued by the Commission as soon as practicable after discovery of the alleged violation, except when delay is deemed necessary. Imprisonment in an institution shall not be deemed grounds for delay of such issuance, except that, in the case of any parolee charged with a criminal offense, issuance of a summons or warrant may be suspended pending disposition of the charge. (c) Any summons or warrant issued pursuant to this section shall provide the parolee with written notice of - (1) the conditions of parole he is alleged to have violated as provided under section 4209; (2) his rights under this chapter; and (3) the possible action which may be taken by the Commission. (d) Any officer of any Federal penal or correctional institution, or any Federal officer authorized to serve criminal process within the United States, to whom a warrant issued under this section is delivered, shall execute such warrant by taking such parolee and returning him to the custody of the regional commissioner, or to the custody of the Attorney General, if the Commission shall so direct. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 227.) Sec. 4214. Revocation of parole (a)(1) Except as provided in subsections (b) and (c), any alleged parole violator summoned or retaken under section 4213 shall be accorded the opportunity to have - (A) a preliminary hearing at or reasonably near the place of the alleged parole violation or arrest, without unnecessary delay, to determine if there is probable cause to believe that he has violated a condition of his parole; and upon a finding of probable cause a digest shall be prepared by the Commission setting forth in writing the factors considered and the reasons for the decision, a copy of which shall be given to the parolee within a reasonable period of time; except that after a finding of probable cause the Commission may restore any parolee to parole supervision if: (i) continuation of revocation proceedings is not warranted; or (ii) incarceration of the parolee pending further revocation proceedings is not warranted by the alleged frequency or seriousness of such violation or violations; (iii) the parolee is not likely to fail to appear for further proceedings; and (iv) the parolee does not constitute a danger to himself or others. (B) upon a finding of probable cause under subparagraph (1)(A), a revocation hearing at or reasonably near the place of the alleged parole violation or arrest within sixty days of such determination of probable cause except that a revocation hearing may be held at the same time and place set for the preliminary hearing. (2) Hearings held pursuant to subparagraph (1) of this subsection shall be conducted by the Commission in accordance with the following procedures: (A) notice to the parolee of the conditions of parole alleged to have been violated, and the time, place, and purposes of the scheduled hearing; (B) opportunity for the parolee to be represented by an attorney (retained by the parolee, or if he is financially unable to retain counsel, counsel shall be provided pursuant to section 3006A) or, if he so chooses, a representative as provided by rules and regulations, unless the parolee knowingly and intelligently waives such representation. (C) opportunity for the parolee to appear and testify, and present witnesses and relevant evidence on his own behalf; and (D) opportunity for the parolee to be apprised of the evidence against him and, if he so requests, to confront and cross-examine adverse witnesses, unless the Commission specifically finds substantial reason for not so allowing. For the purposes of subparagraph (1) of this subsection, the Commission may subpena witnesses and evidence, and pay witness fees as established for the courts of the United States. If a person refuses to obey such a subpena, the Commission may petition a court of the United States for the judicial district in which such parole proceeding is being conducted, or in which such person may be found, to request such person to attend, testify, and produce evidence. The court may issue an order requiring such person to appear before the Commission, when the court finds such information, thing, or testimony directly related to a matter with respect to which the Commission is empowered to make a determination under this section. Failure to obey such an order is punishable by such court as a contempt. All process in such a case may be served in the judicial district in which such a parole proceeding is being conducted, or in which such person may be found. (b)(1) Conviction for any criminal offense committed subsequent to release on parole shall constitute probable cause for purposes of subsection (a) of this section. In cases in which a parolee has been convicted of such an offense and is serving a new sentence in an institution, a parole revocation warrant or summons issued pursuant to section 4213 may be placed against him as a detainer. Such detainer shall be reviewed by the Commission within one hundred and eighty days of notification to the Commission of placement. The parolee shall receive notice of the pending review, have an opportunity to submit a written application containing information relative to the disposition of the detainer, and, unless waived, shall have counsel as provided in subsection (a)(2)(B) of this section to assist him in the preparation of such application. (2) If the Commission determines that additional information is needed to review a detainer, a dispositional hearing may be held at the institution where the parolee is confined. The parolee shall have notice of such hearing, be allowed to appear and testify on his own behalf, and, unless waived, shall have counsel as provided in subsection (a)(2)(B) of this section. (3) Following the disposition review, the Commission may: (A) let the detainer stand; or (B) withdraw the detainer. (c) Any alleged parole violator who is summoned or retaken by warrant under section 4213 who knowingly and intelligently waives his right to a hearing under subsection (a) of this section, or who knowingly and intelligently admits violation at a preliminary hearing held pursuant to subsection (a)(1)(A) of this section, or who is retaken pursuant to subsection (b) of this section, shall receive a revocation hearing within ninety days of the date of retaking. The Commission may conduct such hearing at the institution to which he has been returned, and the alleged parole violator shall have notice of such hearing, be allowed to appear and testify on his own behalf, and, unless waived, shall have counsel or another representative as provided in subsection (a)(2)(B) of this section. (d) Whenever a parolee is summoned or retaken pursuant to section 4213, and the Commission finds pursuant to the procedures of this section and by a preponderance of the evidence that the parolee has violated a condition of his parole the Commission may take any of the following actions: (1) restore the parolee to supervision; (2) reprimand the parolee; (3) modify the parolee's conditions of the parole; (4) refer the parolee to a residential community treatment center for all or part of the remainder of his original sentence; or (5) formally revoke parole or release as if on parole pursuant to this title. The Commission may take any such action provided it has taken into consideration whether or not the parolee has been convicted of any Federal, State, or local crime subsequent to his release on parole, and the seriousness thereof, or whether such action is warranted by the frequency or seriousness of the parolee's violation of any other condition or conditions of his parole. (e) The Commission shall furnish the parolee with a written notice of its determination not later than twenty-one days, excluding holidays, after the date of the revocation hearing. If parole is revoked, a digest shall be prepared by the Commission setting forth in writing the factors considered and reasons for such action, a copy of which shall be given to the parolee. (f) Notwithstanding any other provision of this section, a parolee who is found by the Commission to be in possession of a controlled substance shall have his parole revoked. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 228, and amended Pub. L. 98-473, title II, Sec. 235(a)(1), 238(f), (i), Oct. 12, 1984, 98 Stat. 2031, 2039; Pub. L. 98-596, Sec. 12(a)(6), (9), (b), Oct. 30, 1984, 98 Stat. 3139, 3140; Pub. L. 99-646, Sec. 58(f), Nov. 10, 1986, 100 Stat. 3612; Pub. L. 100-690, title VII, Sec. 7303(c)(3), Nov. 18, 1988, 102 Stat. 4464.) CODIFICATION Pub. L. 98-473, Sec. 235(a)(1), 238(f), (i), and Pub. L. 98-596, Sec. 12(a)(6), (9), (b), amended section as follows: Section 238(f) of Pub. L. 98-473 amended par. (1) effective pursuant to section 235(a)(1) of Pub. L. 98-473 the first day of the first calendar month beginning twenty-four months after Oct. 12, 1984. Section 12(a)(6) of Pub. L. 98-596 amended par. (1) to read as it had before amendment by Pub. L. 98-473, applicable pursuant to section 12(b) of Pub. L. 98-596 on and after the date of enactment of Pub. L. 98-473 (Oct. 12, 1984). Section 238(i) of Pub. L. 98-473 which repealed section 238 of Pub. L. 98-473 on the same date established by section 235(a)(1) of Pub. L. 98-473 was repealed by section 12(a)(9) of Pub. L. 98-596. The cumulative effect of the amendments resulted in no change in this section. EFFECTIVE DATE OF 1988 AMENDMENT Amendment by section 7303(c)(3) of Pub. L. 100-690 applicable with respect to persons whose probation, supervised release, or parole begins after Dec. 31, 1988, see section 7303(d) of Pub. L. 100-690, set out as a note under section 3563 of this title. Sec. 4215. Appeal (a) Whenever parole release is denied under section 4206, parole conditions are imposed or modified under section 4209, parole discharge is denied under section 4211(c), or parole is modified or revoked under section 4214, the individual to whom any such decision applies may appeal such decision by submitting a written application to the National Appeal (Appeals) Board not later than thirty days following the date on which the decision is rendered. (b) The National Appeals Board, upon receipt of the appellant's papers, must act pursuant to rules and regulations within sixty days to reaffirm, modify, or reverse the decision and shall inform the appellant in writing of the decision and the reasons therefor. (c) The National Appeals Board may review any decision of a regional commissioner upon the written request of the Attorney General filed not later than thirty days following the decision and, by majority vote, shall reaffirm, modify, or reverse the decision within sixty days of the receipt of the Attorney General's request. The Board shall inform the Attorney General and the individual to whom the decision applies in writing of its decision and the reasons therefor. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 230, and amended Pub. L. 98-473, title II, Sec. 1408(c), Oct. 12, 1984, 98 Stat. 2178.) (Sec. 4216. Repealed. Pub. L. 99-646, Sec. 3(a), Nov. 10, 1986, 100 Stat. 3592) (Sec. 4217. Repealed. Pub. L. 99-646, Sec. 58(g)(1), Nov. 10, 1986, 100 Stat. 3612, as amended by Pub. L. 100-690, title VII, Sec. 7014, Nov. 18, 1988, 102 Stat. 4395) Sec. 4218. Applicability of Administrative Procedure Act (a) For purposes of the provisions of chapter 5 of title 5, United States Code, other than sections 554, 555, 556, and 557, the Commission is an 'agency' as defined in such chapter. (b) For purposes of subsection (a) of this section, section 553(b)(3)(A) of title 5, United States Code, relating to rulemaking, shall be deemed not to include the phrase 'general statements of policy'. (c) To the extent that actions of the Commission pursuant to section 4203(a)(1) are not in accord with the provisions of section 553 of title 5, United States Code, they shall be reviewable in accordance with the provisions of sections 701 through 706 of title 5, United States Code. (d) Actions of the Commission pursuant to paragraphs (1), (2), and (3) of section 4203(b) shall be considered actions committed to agency discretion for purposes of section 701(a)(2) of title 5, United States Code. (Added Pub. L. 94-233, Sec. 2, Mar. 15, 1976, 90 Stat. 231.) ------DocID 24992 Document 1234 of 1438------ -CITE- 18 USC CHAPTER 313 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- CHAPTER 313 - OFFENDERS WITH MENTAL DISEASE OR DEFECT -MISC1- Sec. 4241. Determination of mental competency to stand trial. 4242. Determination of the existence of insanity at the time of the offense. 4243. Hospitalization of a person found not guilty only by reason of insanity. 4244. Hospitalization of a convicted person suffering from mental disease or defect. 4245. Hospitalization of an imprisoned person suffering from mental disease or defect. 4246. Hospitalization of a person due for release but suffering from mental disease or defect. 4247. General provisions for chapter. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 403(a), Oct. 12, 1984, 98 Stat. 2057, substituted 'OFFENDERS WITH MENTAL DISEASE OR DEFECT' for 'MENTAL DEFECTIVES' in chapter heading, 'Determination of mental competency to stand trial' for 'Examination and transfer to hospital' in item 4241, 'Determination of the existence of insanity at the time of the offense' for 'Retransfer upon recovery' in item 4242, 'Hospitalization of a person found not guilty only by reason of insanity' for 'Delivery to state authorities on expiration of sentence' in item 4243, 'Hospitalization of a convicted person suffering from mental disease or defect' for 'Mental competency after arrest and before trial' in item 4244, 'Hospitalization of an imprisoned person suffering from mental disease or defect' for 'Mental incompentency undisclosed at trial' in item 4245, 'Hospitalization of a person due for release but suffering from mental disease or defect' for 'Procedure upon finding of mental incompentency' in item 4246, and 'General provisions for chapter' for 'Alternate procedure on expiration of sentence' in item 4247, and struck out item 4248 'Termination of custody by release or transfer'. 1951 - Act Oct. 31, 1951, ch. 655, Sec. 33, 65 Stat. 723, inserted 'on expiration of sentence' in item 4243. 1949 - Act Sept. 7, 1949, ch. 535, Sec. 2, 63 Stat. 688, added items 4244 to 4248. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3006A of this title. ------DocID 24993 Document 1235 of 1438------ -CITE- 18 USC Sec. 4241 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4241. Determination of mental competency to stand trial -STATUTE- (a) Motion To Determine Competency of Defendant. - At any time after the commencement of a prosecution for an offense and prior to the sentencing of the defendant, the defendant or the attorney for the Government may file a motion for a hearing to determine the mental competency of the defendant. The court shall grant the motion, or shall order such a hearing on its own motion, if there is reasonable cause to believe that the defendant may presently be suffering from a mental disease or defect rendering him mentally incompetent to the extent that he is unable to understand the nature and consequences of the proceedings against him or to assist properly in his defense. (b) Psychiatric or Psychological Examination and Report. - Prior to the date of the hearing, the court may order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c). (c) Hearing. - The hearing shall be conducted pursuant to the provisions of section 4247(d). (d) Determination and Disposition. - If, after the hearing, the court finds by a preponderance of the evidence that the defendant is presently suffering from a mental disease or defect rendering him mentally incompetent to the extent that he is unable to understand the nature and consequences of the proceedings against him or to assist properly in his defense, the court shall commit the defendant to the custody of the Attorney General. The Attorney General shall hospitalize the defendant for treatment in a suitable facility - (1) for such a reasonable period of time, not to exceed four months, as is necessary to determine whether there is a substantial probability that in the foreseeable future he will attain the capacity to permit the trial to proceed; and (2) for an additional reasonable period of time until - (A) his mental condition is so improved that trial may proceed, if the court finds that there is a substantial probability that within such additional period of time he will attain the capacity to permit the trial to proceed; or (B) the pending charges against him are disposed of according to law; whichever is earlier. If, at the end of the time period specified, it is determined that the defendant's mental condition has not so improved as to permit the trial to proceed, the defendant is subject to the provisions of section 4246. (e) Discharge. - When the director of the facility in which a defendant is hospitalized pursuant to subsection (d) determines that the defendant has recovered to such an extent that he is able to understand the nature and consequences of the proceedings against him and to assist properly in his defense, he shall promptly file a certificate to that effect with the clerk of the court that ordered the commitment. The clerk shall send a copy of the certificate to the defendant's counsel and to the attorney for the Government. The court shall hold a hearing, conducted pursuant to the provisions of section 4247(d), to determine the competency of the defendant. If, after the hearing, the court finds by a preponderance of the evidence that the defendant has recovered to such an extent that he is able to understand the nature and consequences of the proceedings against him and to assist properly in his defense, the court shall order his immediate discharge from the facility in which he is hospitalized and shall set the date for trial. Upon discharge, the defendant is subject to the provisions of chapter 207. (f) Admissibility of Finding of Competency. - A finding by the court that the defendant is mentally competent to stand trial shall not prejudice the defendant in raising the issue of his insanity as a defense to the offense charged, and shall not be admissible as evidence in a trial for the offense charged. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 855; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2057.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 876 (May 13, 1930, ch. 254, Sec. 6, 46 Stat. 271). Changes were made in phraseology and surplusage omitted. AMENDMENTS 1984 - Pub. L. 98-473 amended section generally, substituting 'Determination of mental compentency to stand trial' for 'Examination and transfer to hospital' in section catchline, and substituting provisions relating to motion, report, hearing, etc., for determination of competency of defendant, for provisions relating to boards of examiners for examination of inmates of Federal penal and correctional institutions and transfer of such inmates to hospitals. SHORT TITLE OF 1984 AMENDMENT Section 401 of chapter IV (Sec. 401-406) of title II of Pub. L. 98-473 provided that: 'This chapter (enacting section 20 of this title and amending this chapter, section 3006A of this title, and rule 12.2 of the Federal Rules of Criminal Procedure and rule 704 of the Federal Rules of Evidence set out in the Appendix to this title) may be sited (cited) as the 'Insanity Defense Reform Act of 1984'.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 4246, 4247 of this title. ------DocID 24994 Document 1236 of 1438------ -CITE- 18 USC Sec. 4242 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4242. Determination of the existence of insanity at the time of the offense -STATUTE- (a) Motion for Pretrial Psychiatric or Psychological Examination. - Upon the filing of a notice, as provided in Rule 12.2 of the Federal Rules of Criminal Procedure, that the defendant intends to rely on the defense of insanity, the court, upon motion of the attorney for the Government, shall order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c). (b) Special Verdict. - If the issue of insanity is raised by notice as provided in Rule 12.2 of the Federal Rules of Criminal Procedure on motion of the defendant or of the attorney for the Government, or on the court's own motion, the jury shall be instructed to find, or, in the event of a nonjury trial, the court shall find the defendant - (1) guilty; (2) not guilty; or (3) not guilty only by reason of insanity. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 855; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2059.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 877 (May 13, 1930, ch. 254, Sec. 7, 46 Stat. 272). Minor change was made in phraseology. AMENDMENTS 1984 - Pub. L. 98-473 amended section generally, substituting 'Determination of the existence of insanity at the time of the offense' for 'Retransfer upon recovery' in section catchline, and substituting provisions relating to motion for pretrial psychiatric or psychological examination, and special verdict, for provisions relating to retransfer to a penal or correctional institution upon recovery of an inmate of the United States hospital for defective delinquents. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4247 of this title. ------DocID 24995 Document 1237 of 1438------ -CITE- 18 USC Sec. 4243 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4243. Hospitalization of a person found not guilty only by reason of insanity -STATUTE- (a) Determination of Present Mental Condition of Acquitted Person. - If a person is found not guilty only by reason of insanity at the time of the offense charged, he shall be committed to a suitable facility until such time as he is eligible for release pursuant to subsection (e). (b) Psychiatric or Psychological Examination and Report. - Prior to the date of the hearing, pursuant to subsection (c), the court shall order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c). (c) Hearing. - A hearing shall be conducted pursuant to the provisions of section 4247(d) and shall take place not later than forty days following the special verdict. (d) Burden of Proof. - In a hearing pursuant to subsection (c) of this section, a person found not guilty only by reason of insanity of an offense involving bodily injury to, or serious damage to the property of, another person, or involving a substantial risk of such injury or damage, has the burden of proving by clear and convincing evidence that his release would not create a substantial risk of bodily injury to another person or serious damage of property of another due to a present mental disease or defect. With respect to any other offense, the person has the burden of such proof by a preponderance of the evidence. (e) Determination and Disposition. - If, after the hearing, the court fails to find by the standard specified in subsection (d) of this section that the person's release would not create a substantial risk of bodily injury to another person or serious damage of property of another due to a present mental disease or defect, the court shall commit the person to the custody of the Attorney General. The Attorney General shall release the person to the appropriate official of the State in which the person is domiciled or was tried if such State will assume responsibility for his custody, care, and treatment. The Attorney General shall make all reasonable efforts to cause such a State to assume such responsibility. If, notwithstanding such efforts, neither such State will assume such responsibility, the Attorney General shall hospitalize the person for treatment in a suitable facility until - (1) such a State will assume such responsibility; or (2) the person's mental condition is such that his release, or his conditional release under a prescribed regimen of medical, psychiatric, or psychological care or treatment, would not create a substantial risk of bodily injury to another person or serious damage to property of another; whichever is earlier. The Attorney General shall continue periodically to exert all reasonable efforts to cause such a State to assume such responsibility for the person's custody, care, and treatment. (f) Discharge. - When the director of the facility in which an acquitted person is hospitalized pursuant to subsection (e) determines that the person has recovered from his mental disease or defect to such an extent that his release, or his conditional release under a prescribed regimen of medical, psychiatric, or psychological care or treatment, would no longer create a substantial risk of bodily injury to another person or serious damage to property of another, he shall promptly file a certificate to that effect with the clerk of the court that ordered the commitment. The clerk shall send a copy of the certificate to the person's counsel and to the attorney for the Government. The court shall order the discharge of the acquitted person or, on the motion of the attorney for the Government or on its own motion, shall hold a hearing, conducted pursuant to the provisions of section 4247(d), to determine whether he should be released. If, after the hearing, the court finds by the standard specified in subsection (d) that the person has recovered from his mental disease or defect to such an extent that - (1) his release would no longer create a substantial risk of bodily injury to another person or serious damage to property of another, the court shall order that he be immediately discharged; or (2) his conditional release under a prescribed regimen of medical, psychiatric, or psychological care or treatment would no longer create a substantial risk of bodily injury to another person or serious damage to property of another, the court shall - (A) order that he be conditionally discharged under a prescribed regimen of medical, psychiatric, or psychological care or treatment that has been prepared for him, that has been certified to the court as appropriate by the director of the facility in which he is committed, and that has been found by the court to be appropriate; and (B) order, as an explicit condition of release, that he comply with the prescribed regimen of medical, psychiatric, or psychological care or treatment. The court at any time may, after a hearing employing the same criteria, modify or eliminate the regimen of medical, psychiatric, or psychological care or treatment. (g) Revocation of Conditional Discharge. - The director of a medical facility responsible for administering a regimen imposed on an acquitted person conditionally discharged under subsection (f) shall notify the Attorney General and the court having jurisdiction over the person of any failure of the person to comply with the regimen. Upon such notice, or upon other probable cause to believe that the person has failed to comply with the prescribed regimen of medical, psychiatric, or psychological care or treatment, the person may be arrested, and, upon arrest, shall be taken without unnecessary delay before the court having jurisdiction over him. The court shall, after a hearing, determine whether the person should be remanded to a suitable facility on the ground that, in light of his failure to comply with the prescribed regimen of medical, psychiatric, or psychological care or treatment, his continued release would create a substantial risk of bodily injury to another person or serious damage to property of another. (h) Limitations on Furloughs. - An individual who is hospitalized under subsection (e) of this section after being found not guilty only by reason of insanity of an offense for which subsection (d) of this section creates a burden of proof of clear and convincing evidence, may leave temporarily the premises of the facility in which that individual is hospitalized only - (1) with the approval of the committing court, upon notice to the attorney for the Government and such individual, and after opportunity for a hearing; (2) in an emergency; or (3) when accompanied by a Federal law enforcement officer (as defined in section 115 of this title). -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 855; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2059; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7043, 102 Stat. 4400.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 878 (May 13, 1930, ch. 254, Sec. 8, 46 Stat. 272). Changes were made in translations and phraseology, and unnecessary words omitted. AMENDMENTS 1988 - Subsec. (h). Pub. L. 100-690 added subsec. (h). 1984 - Pub. L. 98-473 amended section generally, substituting 'Hospitalization of a person found not guilty only by reason of insanity' for 'Delivery to state authorities on expiration of sentence' in section catchline, and substituting provisions relating to determination of present mental condition of acquitted person, examination and report, hearing, etc., for provisions relating to duties of the superintendent of the United States hospital for defective delinquents regarding delivery to state authorities on expiration of sentence of any insane person. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4247 of this title; title 28 section 1826. ------DocID 24996 Document 1238 of 1438------ -CITE- 18 USC Sec. 4244 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4244. Hospitalization of a convicted person suffering from mental disease or defect -STATUTE- (a) Motion To Determine Present Mental Condition of Convicted Defendant. - A defendant found guilty of an offense, or the attorney for the Government, may, within ten days after the defendant is found guilty, and prior to the time the defendant is sentenced, file a motion for a hearing on the present mental condition of the defendant if the motion is supported by substantial information indicating that the defendant may presently be suffering from a mental disease or defect for the treatment of which he is in need of custody for care or treatment in a suitable facility. The court shall grant the motion, or at any time prior to the sentencing of the defendant shall order such a hearing on its own motion, if it is of the opinion that there is reasonable cause to believe that the defendant may presently be suffering from a mental disease or defect for the treatment of which he is in need of custody for care or treatment in a suitable facility. (b) Psychiatric or Psychological Examination and Report. - Prior to the date of the hearing, the court may order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c). In addition to the information required to be included in the psychiatric or psychological report pursuant to the provisions of section 4247(c), if the report includes an opinion by the examiners that the defendant is presently suffering from a mental disease or defect but that it is not such as to require his custody for care or treatment in a suitable facility, the report shall also include an opinion by the examiner concerning the sentencing alternatives that could best accord the defendant the kind of treatment he does need. (c) Hearing. - The hearing shall be conducted pursuant to the provisions of section 4247(d). (d) Determination and Disposition. - If, after the hearing, the court finds by a preponderance of the evidence that the defendant is presently suffering from a mental disease or defect and that he should, in lieu of being sentenced to imprisonment, be committed to a suitable facility for care or treatment, the court shall commit the defendant to the custody of the Attorney General. The Attorney General shall hospitalize the defendant for care or treatment in a suitable facility. Such a commitment constitutes a provisional sentence of imprisonment to the maximum term authorized by law for the offense for which the defendant was found guilty. (e) Discharge. - When the director of the facility in which the defendant is hospitalized pursuant to subsection (d) determines that the defendant has recovered from his mental disease or defect to such an extent that he is no longer in need of custody for care or treatment in such a facility, he shall promptly file a certificate to that effect with the clerk of the court that ordered the commitment. The clerk shall send a copy of the certificate to the defendant's counsel and to the attorney for the Government. If, at the time of the filing of the certificate, the provisional sentence imposed pursuant to subsection (d) has not expired, the court shall proceed finally to sentencing and may modify the provisional sentence. -SOURCE- (Added Sept. 7, 1949, ch. 535, Sec. 1, 63 Stat. 686, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2061.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 amended section generally, substituting 'Hospitalization of a convicted person suffering from mental disease or defect' for 'Mental incompentency after arrest and before trial' in section catchline, and substituting provisions relating to motion, examination and report, hearing, etc., to determine present mental condition of convicted defendant, for provisions relating to motion, examination, etc., to determine the mental competency of a person after arrest and before trial. SEPARABILITY Section 4 of act Sept. 7, 1949, provided that: 'If any provision of Title 18, United States Code, sections 4244 to 4248, inclusive, or the application thereof to any person or circumstance shall be held invalid, the remainder of the said sections and the application of such provision to persons or circumstances other than those as to which it is held invalid shall not be affected thereby.' USE OF APPROPRIATIONS Section 3 of act Sept. 7, 1949, provided that: 'The Attorney General may authorize the use of any unexpended balance of the appropriation for 'Support of United States prisoners' for carrying out the purposes of Title 18, United States Code, sections 4244 to 4248, inclusive, or in payment of any expenses incidental thereto and not provided for by other specific appropriations.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 3552, 4247 of this title. ------DocID 24997 Document 1239 of 1438------ -CITE- 18 USC Sec. 4245 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4245. Hospitalization of an imprisoned person suffering from mental disease or defect -STATUTE- (a) Motion To Determine Present Mental Condition of Imprisoned Person. - If a person serving a sentence of imprisonment objects either in writing or through his attorney to being transferred to a suitable facility for care or treatment, an attorney for the Government, at the request of the director of the facility in which the person is imprisoned, may file a motion with the court for the district in which the facility is located for a hearing on the present mental condition of the person. The court shall grant the motion if there is reasonable cause to believe that the person may presently be suffering from a mental disease or defect for the treatment of which he is in need of custody for care or treatment in a suitable facility. A motion filed under this subsection shall stay the transfer of the person pending completion of procedures contained in this section. (b) Psychiatric or Psychological Examination and Report. - Prior to the date of the hearing, the court may order that a psychiatric or psychological examination of the person may be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c). (c) Hearing. - The hearing shall be conducted pursuant to the provisions of section 4247(d). (d) Determination and Disposition. - If, after the hearing, the court finds by a preponderance of the evidence that the person is presently suffering from a mental disease or defect for the treatment of which he is in need of custody for care or treatment in a suitable facility, the court shall commit the person to the custody of the Attorney General. The Attorney General shall hospitalize the person for treatment in a suitable facility until he is no longer in need of such custody for care or treatment or until the expiration of the sentence of imprisonment, whichever occurs earlier. (e) Discharge. - When the director of the facility in which the person is hospitalized pursuant to subsection (d) determines that the person has recovered from his mental disease or defect to such an extent that he is no longer in need of custody for care or treatment in such a facility, he shall promptly file a certificate to that effect with the clerk of the court that ordered the commitment. The clerk shall send a copy of the certificate to the person's counsel and to the attorney for the Government. If, at the time of the filing of the certificate, the term of imprisonment imposed upon the person has not expired, the court shall order that the person be reimprisoned until the expiration of his sentence of imprisonment. -SOURCE- (Added Sept. 7, 1949, ch. 535, Sec. 1, 63 Stat. 687, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2062.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 amended section generally, substituting 'Hospitalization of an imprisoned person suffering from mental disease or defect' for 'Mental incompentency undisclosed at trial' in section catchline, and substituting provisions relating to motion, examination and report, hearing, etc., to determine present mental condition of imprisoned person, for provisions relating to procedures and authorities regarding mental incompentency undisclosed at trial. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 4247 of this title. ------DocID 24998 Document 1240 of 1438------ -CITE- 18 USC Sec. 4246 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4246. Hospitalization of a person due for release but suffering from mental disease or defect -STATUTE- (a) Institution of Proceeding. - If the director of a facility in which a person is hospitalized certifies that a person whose sentence is about to expire, or who has been committed to the custody of the Attorney General pursuant to section 4241(d), or against whom all criminal charges have been dismissed solely for reasons related to the mental condition of the person, is presently suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage to property of another, and that suitable arrangements for State custody and care of the person are not available, he shall transmit the certificate to the clerk of the court for the district in which the person is confined. The clerk shall send a copy of the certificate to the person, and to the attorney for the Government, and, if the person was committed pursuant to section 4241(d), to the clerk of the court that ordered the commitment. The court shall order a hearing to determine whether the person is presently suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage to property of another. A certificate filed under this subsection shall stay the release of the person pending completion of procedures contained in this section. (b) Psychiatric or Psychological Examination and Report. - Prior to the date of the hearing, the court may order that a psychiatric or psychological examination of the defendant be conducted, and that a psychiatric or psychological report be filed with the court, pursuant to the provisions of section 4247(b) and (c). (c) Hearing. - The hearing shall be conducted pursuant to the provisions of section 4247(d). (d) Determination and Disposition. - If, after the hearing, the court finds by clear and convincing evidence that the person is presently suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage to property of another, the court shall commit the person to the custody of the Attorney General. The Attorney General shall release the person to the appropriate official of the State in which the person is domiciled or was tried if such State will assume responsibility for his custody, care, and treatment. The Attorney General shall make all reasonable efforts to cause such a State to assume such responsibility. If, notwithstanding such efforts, neither such State will assume such responsibility, the Attorney General shall hospitalize the person for treatment in a suitable facility, until - (1) such a State will assume such responsibility; or (2) the person's mental condition is such that his release, or his conditional release under a prescribed regimen of medical, psychiatric, or psychological care or treatment would not create a substantial risk of bodily injury to another person or serious damage to property of another; whichever is earlier. The Attorney General shall continue periodically to exert all reasonable efforts to cause such a State to assume such responsibility for the person's custody, care, and treatment. (e) Discharge. - When the director of the facility in which a person is hospitalized pursuant to subsection (d) determines that the person has recovered from his mental disease or defect to such an extent that his release would no longer create a substantial risk of bodily injury to another person or serious damage to property of another, he shall promptly file a certificate to that effect with the clerk of the court that ordered the commitment. The clerk shall send a copy of the certificate to the person's counsel and to the attorney for the Government. The court shall order the discharge of the person or, on the motion of the attorney for the Government or on its own motion, shall hold a hearing, conducted pursuant to the provisions of section 4247(d), to determine whether he should be released. If, after the hearing, the court finds by a preponderance of the evidence that the person has recovered from his mental disease or defect to such an extent that - (1) his release would no longer create a substantial risk of bodily injury to another person or serious damage to property of another, the court shall order that he be immediately discharged; or (2) his conditional release under a prescribed regimen of medical, psychiatric, or psychological care or treatment would no longer create a substantial risk of bodily injury to another person or serious damage to property of another, the court shall - (A) order that he be conditionally discharged under a prescribed regimen of medical, psychiatric, or psychological care or treatment that has been prepared for him, that has been certified to the court as appropriate by the director of the facility in which he is committed, and that has been found by the court to be appropriate; and (B) order, as an explicit condition of release, that he comply with the prescribed regimen of medical, psychiatric, or psychological care or treatment. The court at any time may, after a hearing employing the same criteria, modify or eliminate the regimen of medical, psychiatric, or psychological care or treatment. (f) Revocation of Conditional Discharge. - The director of a medical facility responsible for administering a regimen imposed on a person conditionally discharged under subsection (e) shall notify the Attorney General and the court having jurisdiction over the person of any failure of the person to comply with the regimen. Upon such notice, or upon other probable cause to believe that the person has failed to comply with the prescribed regimen of medical, psychiatric, or psychological care or treatment, the person may be arrested, and, upon arrest, shall be taken without unnecessary delay before the court having jurisdiction over him. The court shall, after a hearing, determine whether the person should be remanded to a suitable facility on the ground that, in light of his failure to comply with the prescribed regimen of medical, psychiatric, or psychological care or treatment, his continued release would create a substantial risk of bodily injury to another person or serious damage to property of another. (g) Release to State of Certain Other Persons. - If the director of a facility in which a person is hospitalized pursuant to this chapter certifies to the Attorney General that a person, against whom all charges have been dismissed for reasons not related to the mental condition of the person, is presently suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage to property of another, the Attorney General shall release the person to the appropriate official of the State in which the person is domiciled or was tried for the purpose of institution of State proceedings for civil commitment. If neither such State will assume such responsibility, the Attorney General shall release the person upon receipt of notice from the State that it will not assume such responsibility, but not later than ten days after certification by the director of the facility. -SOURCE- (Added Sept. 7, 1949, ch. 535, Sec. 1, 63 Stat. 687, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2062; Nov. 29, 1990, Pub. L. 101-647, title XXXV, Sec. 3599D, 104 Stat. 4932.) -MISC1- AMENDMENTS 1990 - Subsec. (g). Pub. L. 101-647 substituted 'chapter' for 'subchapter'. 1984 - Pub. L. 98-473 amended section generally, substituting 'Hospitalization of a person due for release but suffering from mental disease or defect' for 'Procedure upon finding of mental incompentency' in section catchline, and substituting provisions relating to proceedings, examination and report, hearing, etc., regarding hospitalization of a person due for release but suffering from mental disease or defect, for provisions relating to powers of the trial court with respect to finding of mental incompetency of accused. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 4241, 4247 of this title. ------DocID 24999 Document 1241 of 1438------ -CITE- 18 USC Sec. 4247 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- Sec. 4247. General provisions for chapter -STATUTE- (a) Definitions. - As used in this chapter - (1) 'rehabilitation program' includes - (A) basic educational training that will assist the individual in understanding the society to which he will return and that will assist him in understanding the magnitude of his offense and its impact on society; (B) vocational training that will assist the individual in contributing to, and in participating in, the society to which he will return; (C) drug, alcohol, and other treatment programs that will assist the individual in overcoming his psychological or physical dependence; and (D) organized physical sports and recreation programs; and (2) 'suitable facility' means a facility that is suitable to provide care or treatment given the nature of the offense and the characteristics of the defendant. (b) Psychiatric or Psychological Examination. - A psychiatric or psychological examination ordered pursuant to this chapter shall be conducted by a licensed or certified psychiatrist or psychologist, or, if the court finds it appropriate, by more than one such examiner. Each examiner shall be designated by the court, except that if the examination is ordered under section 4245 or 4246, upon the request of the defendant an additional examiner may be selected by the defendant. For the purposes of an examination pursuant to an order under section 4241, 4244, or 4245, the court may commit the person to be examined for a reasonable period, but not to exceed thirty days, and under section 4242, 4243, or 4246, for a reasonable period, but not to exceed forty-five days, to the custody of the Attorney General for placement in a suitable facility. Unless impracticable, the psychiatric or psychological examination shall be conducted in the suitable facility closest to the court. The director of the facility may apply for a reasonable extension, but not to exceed fifteen days under section 4241, 4244, or 4245, and not to exceed thirty days under section 4242, 4243, or 4246, upon a showing of good cause that the additional time is necessary to observe and evaluate the defendant. (c) Psychiatric or Psychological Reports. - A psychiatric or psychological report ordered pursuant to this chapter shall be prepared by the examiner designated to conduct the psychiatric or psychological examination, shall be filed with the court with copies provided to the counsel for the person examined and to the attorney for the Government, and shall include - (1) the person's history and present symptoms; (2) a description of the psychiatric, psychological, and medical tests that were employed and their results; (3) the examiner's findings; and (4) the examiner's opinions as to diagnosis, prognosis, and - (A) if the examination is ordered under section 4241, whether the person is suffering from a mental disease or defect rendering him mentally incompetent to the extent that he is unable to understand the nature and consequences of the proceedings against him or to assist properly in his defense; (B) if the examination is ordered under section 4242, whether the person was insane at the time of the offense charged; (C) if the examination is ordered under section 4243 or 4246, whether the person is suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage to property of another; (D) if the examination is ordered under section 4244 or 4245, whether the person is suffering from a mental disease or defect as a result of which he is in need of custody for care or treatment in a suitable facility; or (E) if the examination is ordered as a part of a presentence investigation, any recommendation the examiner may have as to how the mental condition of the defendant should affect the sentence. (d) Hearing. - At a hearing ordered pursuant to this chapter the person whose mental condition is the subject of the hearing shall be represented by counsel and, if he is financially unable to obtain adequate representation, counsel shall be appointed for him pursuant to section 3006A. The person shall be afforded an opportunity to testify, to present evidence, to subpoena witnesses on his behalf, and to confront and cross-examine witnesses who appear at the hearing. (e) Periodic Report and Information Requirements. - (1) The director of the facility in which a person is hospitalized pursuant to - (A) section 4241 shall prepare semiannual reports; or (B) section 4243, 4244, 4245, or 4246 shall prepare annual reports concerning the mental condition of the person and containing recommendations concerning the need for his continued hospitalization. The reports shall be submitted to the court that ordered the person's commitment to the facility and copies of the reports shall be submitted to such other persons as the court may direct. A copy of each such report concerning a person hospitalized after the beginning of a prosecution of that person for violation of section 871, 879, or 1751 of this title shall be submitted to the Director of the United States Secret Service. Except with the prior approval of the court, the Secret Service shall not use or disclose the information in these copies for any purpose other than carrying out protective duties under section 3056(a) of this title. (2) The director of the facility in which a person is hospitalized pursuant to section 4241, 4243, 4244, 4245, or 4246 shall inform such person of any rehabilitation programs that are available for persons hospitalized in that facility. (f) Videotape Record. - Upon written request of defense counsel, the court may order a videotape record made of the defendant's testimony or interview upon which the periodic report is based pursuant to subsection (e). Such videotape record shall be submitted to the court along with the periodic report. (g) Habeas Corpus Unimpaired. - Nothing contained in section 4243 or 4246 precludes a person who is committed under either of such sections from establishing by writ of habeas corpus the illegality of his detention. (h) Discharge. - Regardless of whether the director of the facility in which a person is hospitalized has filed a certificate pursuant to the provisions of subsection (e) of section 4241, 4243, 4244, 4245, or 4246, counsel for the person or his legal guardian may, at any time during such person's hospitalization, file with the court that ordered the commitment a motion for a hearing to determine whether the person should be discharged from such facility, but no such motion may be filed within one hundred and eighty days of a court determination that the person should continue to be hospitalized. A copy of the motion shall be sent to the director of the facility in which the person is hospitalized and to the attorney for the Government. (i) Authority and Responsibility of the Attorney General. - The Attorney General - (A) may contract with a State, a political subdivision, a locality, or a private agency for the confinement, hospitalization, care, or treatment of, or the provision of services to, a person committed to his custody pursuant to this chapter; (B) may apply for the civil commitment, pursuant to State law, of a person committed to his custody pursuant to section 4243 or 4246; (C) shall, before placing a person in a facility pursuant to the provisions of section 4241, 4243, 4244, 4245, or 4246, consider the suitability of the facility's rehabilitation programs in meeting the needs of the person; and (D) shall consult with the Secretary of the Department of Health and Human Services in the general implementation of the provisions of this chapter and in the establishment of standards for facilities used in the implementation of this chapter. (j) This chapter does not apply to a prosecution under an Act of Congress applicable exclusively to the District of Columbia or the Uniform Code of Military Justice. -SOURCE- (Added Sept. 7, 1949, ch. 535, Sec. 1, 63 Stat. 687, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 403(a), 98 Stat. 2065; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7044, 7047(a), 102 Stat. 4400, 4401.) -REFTEXT- REFERENCES IN TEXT Acts of Congress applicable exclusively to the District of Columbia, referred to in subsec. (j), are classified generally to the District of Columbia Code. The Uniform Code of Military Justice, referred to in subsec. (j), is classified generally to chapter 47 (Sec. 801 et seq.) of Title 10, Armed Forces. -MISC2- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690, Sec. 7047(a), substituted 'psychologist' for 'clinical psychologist' in first sentence. Subsec. (e)(1)(B). Pub. L. 100-690, Sec. 7044, inserted at end 'A copy of each such report concerning a person hospitalized after the beginning of a prosecution of that person for violation of section 871, 879, or 1751 of this title shall be submitted to the Director of the United States Secret Service. Except with the prior approval of the court, the Secret Service shall not use or disclose the information in these copies for any purpose other than carrying out protective duties under section 3056(a) of this title.' 1984 - Pub. L. 98-473 amended section generally, substituting 'General provisions for chapter' for 'Alternate procedure of expiration of sentence' in section catchline, and substituting provisions relating to definitions, examinations, reports, etc., as applicable to chapter, for provisions relating to powers and duties regarding alternate procedure on expiration of sentence of prisoner. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 4241, 4242, 4243, 4244, 4245, 4246 of this title. ------DocID 25000 Document 1242 of 1438------ -CITE- 18 USC Sec. 4248 -EXPCITE- TITLE 18 PART III CHAPTER 313 -HEAD- (Sec. 4248. Omitted) -COD- CODIFICATION Section, act Sept. 7, 1949, ch. 535, Sec. 1, 63 Stat. 688, which related to the termination of custody by release or transfer, was omitted in the general amendment of this chapter by Pub. L. 98-473, title II, Sec. 403(a), Oct. 12, 1984, 98 Stat. 2057. ------DocID 25001 Document 1243 of 1438------ -CITE- 18 USC (CHAPTER 314 -EXPCITE- TITLE 18 PART III (CHAPTER 314 -HEAD- (CHAPTER 314 - REPEALED) ------DocID 25002 Document 1244 of 1438------ -CITE- 18 USC Sec. 4251 to 4255 -EXPCITE- TITLE 18 PART III (CHAPTER 314 -HEAD- (Sec. 4251 to 4255. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(6), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; CHAPTER TO REMAIN IN EFFECT FOR FIVE YEARS AFTER NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this chapter is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Section 235(b)(1)(C) of Pub. L. 98-473 provided that the provisions of this chapter in effect before Nov. 1, 1987, shall remain in effect for five years after Nov. 1, 1987, as to an individual who committed an offense or an act of juvenile delinquency before Nov. 1, 1987, and as to a term of imprisonment during the period described in section 235(a)(1)(B) of Pub. L. 98-473. Prior to repeal, the provisions of this chapter read as follows: Sec. 4251. Definitions As used in this chapter - (a) 'Addict' means any individual who habitually uses any narcotic drug as defined in section 102(16) of the Controlled Substances Act so as to endanger the public morals, health, safety, or welfare, or who is or has been so far addicted to the use of such narcotic drugs as to have lost the power of self-control with reference to his addiction. (b) 'Crime of violence' includes voluntary manslaughter, murder, rape, mayhem, kipnaping, robbery, burglary or housebreaking in the nighttime, extortion accompanied by threats of violence, assault with a dangerous weapon or assault with intent to commit any offense punishable by imprisonment for more than one year, arson punishable as a felony, or an attempt or conspiracy to commit any of the foregoing offenses. (c) 'Treatment' includes confinement and treatment in an institution and under supervised aftercare in the community and includes, but is not limited to, medical, educational, social, psychological, and vocational services, corrective and preventive guidance and training, and other rehabilitative services designed to protect the public and benefit the addict by eliminating his dependence on addicting drugs, or by controlling his dependence, and his susceptibility to addiction. (d) 'Felony' includes any offense in violation of a law of the United States classified as a felony under section 1 of title 18 of the United States Code, and further includes any offense in violation of a law of any State, any possession or territory of the United States, the District of Columbia, the Canal Zone, or the Commonwealth of Puerto Rico, which at the time of the offense was classified as a felony by the law of the place where that offense was committed. (e) 'Conviction' and 'convicted' mean the final judgment on a verdict or finding of guilty, a plea of guilty, or a plea of nolo contendere, and do not include a final judgment which has been expunged by pardon, reversed, set aside, or otherwise rendered nugatory. (f) 'Eligible offender' means any individual who is convicted of an offense against the United States, but does not include - (1) an offender who is convicted of a crime of violence. (2) an offender who is convicted of unlawfully importing or selling or conspiring to import or sell a narcotic drug, unless the court determines that such sale was for the primary purpose of enabling the offender to obtain a narcotic drug which he requires for his personal use because of his addiction to such drug. (3) an offender against whom there is pending a prior charge of a felony which has not been finally determined or who is on probation or whose sentence following conviction on such a charge, including any time on parole or mandatory release, has not been fully served: Provided, That an offender on probation, parole, or mandatory release shall be included if the authority authorized to require his return to custody consents to his commitment. (4) an offender who has been convicted of a felony on two or more prior occasions. (5) an offender who has been committed under title I of the Narcotic Addict Rehabilitation Act of 1966, under this chapter, under the District of Columbia Code, or under any State proceeding because of narcotic addiction on three or more occasions. (Added Pub. L. 89-793, title II, Sec. 201, Nov. 8, 1966, 80 Stat. 1442, and amended Pub. L. 91-513, title III, Sec. 1102(s), Oct. 27, 1970, 84 Stat. 1294; Pub. L. 92-420, Sec. 3, Sept. 16, 1972, 86 Stat. 677.) Sec. 4252. Examination If the court believes that an eligible offender is an addict, it may place him in the custody of the Attorney General for an examination to determine whether he is an addict and is likely to be rehabilitated through treatment. The Attorney General shall report to the court within thirty days; or any additional period granted by the court, the results of such examination and make any recommendations he deems desirable. An offender shall receive full credit toward the service of his sentence for any time spent in custody for an examination. (Added Pub. L. 89-793, title II, Sec. 201, Nov. 8, 1966, 80 Stat. 1443.) Sec. 4253. Commitment (a) Following the examination provided for in section 4252, if the court determines that an eligible offender is an addict and is likely to be rehabilitated through treatment, it shall commit him to the custody of the Attorney General for treatment under this chapter, except that no offender shall be committed under this chapter if the Attorney General certifies that adequate facilities or personnel for treatment are unavailable. Such commitment shall be for an indeterminate period of time not to exceed ten years, but in no event shall it exceed the maximum sentence that could otherwise have been imposed. (b) If, following the examination provided for in section 4252, the court determines that an eligible offender is not an addict, or is an addict not likely to be rehabilitated through treatment, it shall impose such other sentence as may be authorized or required by law. (Added Pub. L. 89-793, title II, Sec. 201, Nov. 8, 1966, 80 Stat. 1443.) Sec. 4254. Conditional release An offender committed under section 4253(a) may not be conditionally released until he has been treated for six months following such commitment in an institution maintained or approved by the Attorney General for treatment. The Attorney General may then or at any time thereafter report to the Board of Parole whether the offender should be conditionally released under supervision. After receipt of the Attorney General's report, and certification from the Surgeon General of the Public Health Service that the offender has made sufficient progress to warrant his conditional release under supervision, the Board may in its discretion order such a release. In determining suitability for release, the Board may make any investigation it deems necessary. If the Board does not conditionally release the offender, or if a conditional release is revoked, the Board may thereafter grant a release on receipt of a further report from the Attorney General. (Added Pub. L. 89-793, title II, Sec. 201, Nov. 8, 1966, 80 Stat. 1443.) Sec. 4255. Supervision in the community An offender who has been conditionally released shall be under the jurisdiction of the United States Parole Commission as if on parole, pursuant to chapter 311 of this title. The Director of the Administrative Office of the United States Courts shall have the authority to contract with any appropriate public or private agency or person for the detection of and care in the community of an offender who is an alcohol-dependent person, or an addict or a drug-dependent person within the meaning of section 2 of the Public Health Service Act (42 U.S.C. 201). Such authority includes the authority to provide equipment and supplies; testing; medical, educational, social, psychological, and vocational services; corrective and preventive guidance and training; and other rehabilitative services designed to protect the public and benefit the alcohol-dependent person, addict, or drug-dependent person by eliminating that person's or addict's dependence on alcohol or addicting drugs, or by controlling that person's or addict's dependence and susceptibility to addiction. Such Director may negotiate and award such contracts without regard to section 3709 of the Revised Statutes (41 U.S.C. 5). (Added Pub. L. 89-793, title II, Sec. 201, Nov. 8, 1966, 80 Stat. 1443, and amended Pub. L. 95-537, Sec. 3, Oct. 27, 1978, 92 Stat. 2038; Pub. L. 99-570, Sec. 1861(c), Oct. 27, 1986, 100 Stat. 3207-53; Pub. L. 99-646, Sec. 19, Nov. 10, 1986, 100 Stat. 3596.) AUTHORIZATION OF APPROPRIATIONS For authorization of appropriations, see section 4(a) of Pub. L. 95-537, set out as a note under section 3672 of this title. ------DocID 25003 Document 1245 of 1438------ -CITE- 18 USC CHAPTER 315 -EXPCITE- TITLE 18 PART III CHAPTER 315 -HEAD- CHAPTER 315 - DISCHARGE AND RELEASE PAYMENTS -MISC1- Sec. 4281. Repealed. 4282. Arrested but unconvicted persons. 4283. Repealed. 4284. Repealed. 4285. Persons released pending further judicial proceedings. AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 218(f), Oct. 12, 1984, 98 Stat. 2027, in items 4281, 4283, and 4284, substituted 'Repealed' for 'Discharge from prison', 'Probation', and 'Advances for rehabilitation', respectively. 1978 - Pub. L. 95-503, Sec. 2, Oct. 24, 1978, 92 Stat. 1704, added item 4285. 1952 - Act May 15, 1952, ch. 289, Sec. 3, 66 Stat. 73, added item 4284. ------DocID 25004 Document 1246 of 1438------ -CITE- 18 USC Sec. 4281 -EXPCITE- TITLE 18 PART III CHAPTER 315 -HEAD- (Sec. 4281. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(7), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this section is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Prior to repeal, this section read as follows: Sec. 4281. Discharge from prison A person convicted under the laws of the United States shall, upon discharge from imprisonment, or release on parole, be furnished with transportation to the place of conviction or bona fide residence within the United States at the time of his commitment or to such place within the United States as may be authorized by the Attorney General. He shall also be furnished with such suitable clothing as may be authorized by the Attorney General, and, in the discretion of the Attorney General, an amount of money not to exceed $100. (June 25, 1948, ch. 645, 62 Stat. 856; Sept. 19, 1962, Pub. L. 87-672, 76 Stat. 557.) ------DocID 25005 Document 1247 of 1438------ -CITE- 18 USC Sec. 4282 -EXPCITE- TITLE 18 PART III CHAPTER 315 -HEAD- Sec. 4282. Arrested but unconvicted persons -STATUTE- On the release from custody of a person arrested on a charge of violating any law of the United States or of the Territory of Alaska, but not indicted nor informed against, or indicted or informed against but not convicted, and detained pursuant to chapter 207, or a person held as a material witness, the court in its discretion may direct the United States marshal for the district wherein he is released, pursuant to regulations promulgated by the Attorney General, to furnish the person so released with transportation and subsistence to the place of his arrest, or, at his election, to the place of his bona fide residence if such cost is not greater than to the place of arrest. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 856; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 207, 98 Stat. 1986.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 746a (July 3, 1926, ch. 795, Sec. 2, as added June 21, 1941, ch. 212, 55 Stat. 254). The phrase 'informed against' was inserted in two places in view of the fact that under the Federal Rules of Criminal Procedure the use of informations may be expected to increase. See Rule 7(b). The section was extended to cover a person held as a material witness and unable to make bail. His predicament obviously calls for the relief afforded by the revised section. Changes were made in phraseology and surplusage omitted. AMENDMENTS 1984 - Pub. L. 98-473 substituted 'and detained pursuant to chapter 207' for 'and not admitted to bail' and struck out 'and unable to make bail' after 'held as a material witness'. ADMISSION OF ALASKA AS STATE Admission of Alaska into the Union was accomplished Jan. 3, 1959, on issuance of Proc. No. 3269, Jan. 3, 1959, 24 F.R. 81, 73 Stat. c16, as required by sections 1 and 8(c) of Pub. L. 85-508, July 7, 1958, 72 Stat. 339, set out as notes preceding section 21 of Title 48, Territories and Insular Possessions. ------DocID 25006 Document 1248 of 1438------ -CITE- 18 USC Sec. 4283, 4284 -EXPCITE- TITLE 18 PART III CHAPTER 315 -HEAD- (Sec. 4283, 4284. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(7), Oct. 12, 1984, 98 Stat. 2027) -MISC1- EFFECTIVE DATE OF REPEAL; OFFENSES COMMITTED PRIOR TO NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of these sections is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Prior to repeal, these sections read as follows: Sec. 4283. Probation A court of the United States when placing a defendant on probation, may direct the United States marshal to furnish the defendant with transportation to the place to which the defendant is required to proceed under the terms of his probation and, in addition, may also direct the marshal to furnish the defendant with an amount of money, not to exceed $30, for subsistence expense to his destination. In such event, such expenses shall be paid by the marshal. (June 25, 1948, ch. 645, 62 Stat. 856.) Sec. 4284. Advances for rehabilitation (a) The Attorney General, under such regulations as he prescribes, acting for himself or through such officers and employees as he designates, may use so much of the trust funds designated as 'Commissary Funds, Federal Prisons' in section 1321(a)(22) of title 31, as may be surplus to other needs of the trust, to provide advances to prisoners at the time of their release, as an aid to their rehabilitation. (b) An advance made hereunder shall in no instance exceed $150 except with the specific approval of the Attorney General, and shall in every case be secured by the personal note of the prisoner conditioned to make repayment monthly when employed, or otherwise possessed of funds, with interest at a rate not to exceed 6 per centum per annum and subject to an agreement on the part of the prisoner that the funds so advanced shall be expended only for the purposes designated in the loan agreement. Repayments of principal and interest shall be credited to the trust fund from which the advance was made. Any unpaid principal or interest on said note shall be considered as a debt due the United States. (Added May 15, 1952, ch. 289, Sec. 1, 66 Stat. 72, and amended Sept. 13, 1982, Pub. L. 97-258, Sec. 3(e)(5), 96 Stat. 1064.) ------DocID 25007 Document 1249 of 1438------ -CITE- 18 USC Sec. 4285 -EXPCITE- TITLE 18 PART III CHAPTER 315 -HEAD- Sec. 4285. Persons released pending further judicial proceedings -STATUTE- Any judge or magistrate of the United States, when ordering a person released under chapter 207 on a condition of his subsequent appearance before that court, any division of that court, or any court of the United States in another judicial district in which criminal proceedings are pending, may, when the interests of justice would be served thereby and the United States judge or magistrate is satisfied, after appropriate inquiry, that the defendant is financially unable to provide the necessary transportation to appear before the required court on his own, direct the United States marshal to arrange for that person's means of noncustodial transportation or furnish the fare for such transportation to the place where his appearance is required, and in addition may direct the United States marshal to furnish that person with an amount of money for subsistence expenses to his destination, not to exceed the amount authorized as a per diem allowance for travel under section 5702(a) of title 5, United States Code. When so ordered, such expenses shall be paid by the marshal out of funds authorized by the Attorney General for such expenses. -SOURCE- (Added Pub. L. 95-503, Sec. 1, Oct. 24, 1978, 92 Stat. 1704, and amended Pub. L. 101-647, title XXXV, Sec. 3599E, Nov. 29, 1990, 104 Stat. 4932.) -MISC1- AMENDMENTS 1990 - Pub. L. 101-647 substituted 'exceed' for 'exced' after 'not to'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE Section 3 of Pub. L. 95-503 provided that: 'The amendments made by this Act (enacting this section) shall take effect on October 1, 1978.' ------DocID 25008 Document 1250 of 1438------ -CITE- 18 USC CHAPTER 317 -EXPCITE- TITLE 18 PART III CHAPTER 317 -HEAD- CHAPTER 317 - INSTITUTIONS FOR WOMEN -MISC1- Sec. 4321. Board of Advisers. ------DocID 25009 Document 1251 of 1438------ -CITE- 18 USC Sec. 4321 -EXPCITE- TITLE 18 PART III CHAPTER 317 -HEAD- Sec. 4321. Board of Advisers -STATUTE- Four citizens of the United States of prominence and distinction, appointed by the President to serve without compensation, for terms of four years, together with the Attorney General of the United States, the Director of the Bureau of Prisons and the warden of the Federal Reformatory for Women, shall constitute a Board of Advisers of said Federal Reformatory for Women, which shall recommend ways and means for the discipline and training of the inmates, to fit them for suitable employment upon their discharge. Any person chosen to fill a vacancy shall be appointed only for the unexpired term of the citizen whom he shall succeed. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 856; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 223(n), 98 Stat. 2030.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 816 (June 7, 1924, ch. 287, Sec. 7, 43 Stat. 474; May 14, 1930, ch. 274, Sec. 1, 46 Stat. 325). The provisions relating to the appointment of the board in the first instance were omitted as executed. 'Warden' was substituted for 'superintendent' and 'Federal Reformatory for Women' for 'United States Industrial Institution for Women' to conform to existing administrative usage. Minor changes were made in translation, phraseology, and arrangement. AMENDMENTS 1984 - Pub. L. 98-473 struck out 'parole or' before 'discharge' at end of first par. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 25010 Document 1252 of 1438------ -CITE- 18 USC CHAPTER 319 -EXPCITE- TITLE 18 PART III CHAPTER 319 -HEAD- CHAPTER 319 - NATIONAL INSTITUTE OF CORRECTIONS -MISC1- Sec. 4351. Establishment; Advisory Board; appointment of members; compensation; officers; committees; delegation of powers; Director, appointment and powers. (FOOTNOTE 1) 4352. Authority of Institute; time; records of recipients; access; scope of section. (FOOTNOTE 1) 4353. Authorization of appropriations. (FOOTNOTE 1) (FOOTNOTE 1) Editorially supplied. Sections 4351 to 4353 added by Pub. L. 93-415 without corresponding enactment of chapter analysis. AMENDMENTS 1974 - Pub. L. 93-415, title V, Sec. 521, Sept. 7, 1974, 88 Stat. 1139, added chapter heading. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 42 section 3769a. ------DocID 25011 Document 1253 of 1438------ -CITE- 18 USC Sec. 4351 -EXPCITE- TITLE 18 PART III CHAPTER 319 -HEAD- Sec. 4351. Establishment; Advisory Board; appointment of members; compensation; officers; committees; delegation of powers; Director, appointment and powers (FOOTNOTE 1) -STATUTE- (FOOTNOTE 1) Section catchline editorially supplied. (a) There is hereby established within the Bureau of Prisons a National Institute of Corrections. (b) The overall policy and operations of the National Institute of Corrections shall be under the supervision of an Advisory Board. The Board shall consist of sixteen members. The following six individuals shall serve as members of the Commission ex officio: the Director of the Federal Bureau of Prisons or his designee, the Administrator of the Law Enforcement Assistance Administration (FOOTNOTE 2) or his designee, Chairman of the United States Sentencing Commission or his designee, the Director of the Federal Judicial Center or his designee, the Associate Administrator for the Office of Juvenile Justice and Delinquency Prevention (FOOTNOTE 2) or his designee, and the Assistant Secretary for Human Development of the Department of Health, Education, and Welfare or his designee. (FOOTNOTE 2) See References in Text note below. (c) The remaining ten members of the Board shall be selected as follows: (1) Five shall be appointed initially by the Attorney General of the United States for staggered terms; one member shall serve for one year, one member for two years, and three members for three years. Upon the expiration of each member's term, the Attorney General shall appoint successors who will each serve for a term of three years. Each member selected shall be qualified as a practitioner (Federal, State, or local) in the field of corrections, probation, or parole. (2) Five shall be appointed initially by the Attorney General of the United States for staggered terms, one member shall serve for one year, three members for two years, and one member for three years. Upon the expiration of each member's term the Attorney General shall appoint successors who will each serve for a term of three years. Each member selected shall be from the private sector, such as business, labor, and education, having demonstrated an active interest in corrections, probation, or parole. (d) The members of the Board shall not, by reason of such membership, be deemed officers or employees of the United States. Members of the Commission who are full-time officers or employees of the United States shall serve without additional compensation, but shall be reimbursed for travel, subsistence, and other necessary expenses incurred in the performance of the duties vested in the Board. Other members of the Board shall, while attending meetings of the Board or while engaged in duties related to such meetings or in other activities of the Commission pursuant to this title, be entitled to receive compensation at the rate not to exceed the daily equivalent of the rate authorized for GS-18 by section 5332 of title 5, United States Code, including traveltime, and while away from their homes or regular places of business may be allowed travel expenses, including per diem in lieu of subsistence equal to that authorized by section 5703 of title 5, United States Code, for persons in the Government service employed intermittently. (e) The Board shall elect a chairman from among its members who shall serve for a term of one year. The members of the Board shall also elect one or more members as a vice-chairman. (f) The Board is authorized to appoint, without regard to the civil service laws, technical, or other advisory committees to advise the Institute with respect to the administration of this title as it deems appropriate. Members of these committees not otherwise employed by the United States, while engaged in advising the Institute or attending meetings of the committees, shall be entitled to receive compensation at the rate fixed by the Board but not to exceed the daily equivalent of the rate authorized for GS-18 by section 5332 of title 5, United States Code, and while away from their homes or regular places of business may be allowed travel expenses, including per diem in lieu of subsistence equal to that authorized by section 5703 of title 5, United States Code, for persons in the Government service employed intermittently. (g) The Board is authorized to delegate its powers under this title to such persons as it deems appropriate. (h) The Institute shall be under the supervision of an officer to be known as the Director, who shall be appointed by the Attorney General after consultation with the Board. The Director shall have authority to supervise the organization, employees, enrollees, financial affairs, and all other operations of the Institute and may employ such staff, faculty, and administrative personnel, subject to the civil service and classification laws, as are necessary to the functioning of the Institute. The Director shall have the power to acquire and hold real and personal property for the Institute and may receive gifts, donations, and trusts on behalf of the Institute. The Director shall also have the power to appoint such technical or other advisory councils comprised of consultants to guide and advise the Board. The Director is authorized to delegate his powers under this title to such persons as he deems appropriate. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 521, Sept. 7, 1974, 88 Stat. 1139, and amended Pub. L. 95-115, Sec. 8(a), Oct. 3, 1977, 91 Stat. 1060; Pub. L. 98-473, title II, Sec. 223(o), Oct. 12, 1984, 98 Stat. 2030.) -REFTEXT- REFERENCES IN TEXT The Administrator of the Law Enforcement Assistance Administration, referred to in subsec. (b), deemed to refer to the Director of the Bureau of Justice Assistance. See section 609I of Pub. L. 98-473, set out as a References in Other Laws note under section 3711 of Title 42, The Public Health and Welfare. The Office of Juvenile Justice and Delinquency Prevention, referred to in subsec. (b), was created by section 5611 of Title 42, headed by an Associate Administrator. However, section 5611 of Title 42, as amended by Pub. L. 98-473, establishes the Office of Juvenile Justice and Delinquency Prevention and headed by an Administrator. The civil service laws, referred to in subsecs. (f) and (h), are set forth in Title 5, Government Organization and Employees. See, particularly, section 3301 et seq. of Title 5. The classification laws, referred to in subsec. (h), are classified generally to chapter 51 and subchapter III of chapter 53 of Title 5. -MISC2- AMENDMENTS 1984 - Subsec. (b). Pub. L. 98-473 substituted 'Sentencing Commission' for 'Parole Board'. 1977 - Subsec. (b). Pub. L. 95-115 substituted 'Associate' for 'Deputy Assistant' and 'Office of' for 'National Institute for'. -CHANGE- CHANGE OF NAME Department of Health, Education, and Welfare redesignated Department of Health and Human Services by Pub. L. 96-88, title V, Sec. 509(b), Oct. 17, 1979, 93 Stat. 695, which is classified to section 3508(b) of Title 20, Education. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1977 AMENDMENT Amendment by Pub. L. 95-115 effective Oct. 1, 1977, see section 263(c) of Pub. L. 93-415, as added by Pub. L. 95-115, set out as a note under section 5601 of Title 42, The Public Health and Welfare. REFERENCES IN OTHER LAWS TO GS-16, 17, OR 18 PAY RATES References in laws to the rates of pay for GS-16, 17, or 18, or to maximum rates of pay under the General Schedule, to be considered references to rates payable under specified sections of Title 5, Government Organization and Employees, see section 529 (title I, Sec. 101(c)(1)) of Pub. L. 101-509, set out in a note under section 5376 of Title 5. TERMINATION OF ADVISORY BOARDS Advisory boards established after Jan. 5, 1973, to terminate not later than the expiration of the 2-year period beginning on the date of their establishment, unless, in the case of a board established by the President or an officer of the Federal Government, such board is renewed by appropriate action prior to the expiration of such 2-year period, or in the case of a board established by the Congress, its duration is otherwise provided for by law. See sections 3(2) and 14 of Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, 776, set out in the Appendix to Title 5, Government Organization and Employees. EXCEPTIONS TO MEMBERSHIP REQUIREMENTS DURING FIVE-YEAR PERIOD For exceptions to the membership requirements set forth in this section, which exceptions are applicable for five-year period following Nov. 1, 1987, see section 235(b)(5) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 25012 Document 1254 of 1438------ -CITE- 18 USC Sec. 4352 -EXPCITE- TITLE 18 PART III CHAPTER 319 -HEAD- Sec. 4352. Authority of Institute; time; records of recipients; access; scope of section (FOOTNOTE 1) -STATUTE- (FOOTNOTE 1) Section catchline editorially supplied. (a) In addition to the other powers, express and implied, the National Institute of Corrections shall have authority - (1) to receive from or make grants to and enter into contracts with Federal, State, and general units of local government, public and private agencies, educational institutions, organizations, and individuals to carry out the purposes of this chapter; (2) to serve as a clearinghouse and information center for the collection, preparation, and dissemination of information on corrections, including, but not limited to, programs for prevention of crime and recidivism, training of corrections personnel, and rehabilitation and treatment of criminal and juvenile offenders; (3) to assist and serve in a consulting capacity to Federal, State, and local courts, departments, and agencies in the development, maintenance, and coordination of programs, facilities, and services, training, treatment, and rehabilitation with respect to criminal and juvenile offenders; (4) to encourage and assist Federal, State, and local government programs and services, and programs and services of other public and private agencies, institutions, and organizations in their efforts to develop and implement improved corrections programs; (5) to devise and conduct, in various geographical locations, seminars, workshops, and training programs for law enforcement officers, judges, and judicial personnel, probation and parole personnel, correctional personnel, welfare workers, and other persons, including lay ex-offenders, and paraprofessional personnel, connected with the treatment and rehabilitation of criminal and juvenile offenders; (6) to develop technical training teams to aid in the development of seminars, workshops, and training programs within the several States and with the State and local agencies which work with prisoners, parolees, probationers, and other offenders; (7) to conduct, encourage, and coordinate research relating to corrections, including the causes, prevention, diagnosis, and treatment of criminal offenders; (8) to formulate and disseminate correctional policy, goals, standards, and recommendations for Federal, State, and local correctional agencies, organizations, institutions, and personnel; (9) to conduct evaluation programs which study the effectiveness of new approaches, techniques, systems, programs, and devices employed to improve the corrections system; (10) to receive from any Federal department or agency such statistics, data, program reports, and other material as the Institute deems necessary to carry out its functions. Each such department or agency is author- ized to cooperate with the Institute and shall, to the maximum extent practicable, consult with and furnish information to the Institute; (11) to arrange with and reimburse the heads of Federal departments and agencies for the use of personnel, facilities, or equipment of such departments and agencies; (12) to confer with and avail itself of the assistance, services, records, and facilities of State and local governments or other public or private agencies, organizations, or individuals; (13) to enter into contracts with public or private agencies, organizations, or individuals, for the performance of any of the functions of the Institute; and (14) to procure the services of experts and consultants in accordance with section 3109 of title 5 of the United States Code, at rates of compensation not to exceed the daily equivalent of the rate authorized for GS-18 by section 5332 of title 5 of the United States Code. ((b) Repealed. Pub. L. 97-375, title I, Sec. 109(a), Dec. 21, 1982, 96 Stat. 1820.) (c) Each recipient of assistance under this chapter shall keep such records as the Institute shall prescribe, including records which fully disclose the amount and disposition by such recipient of the proceeds of such assistance, the total cost of the project or undertaking in connection with which such assistance is given or used, and the amount of that portion of the cost of the project or undertaking supplied by other sources, and such other records as will facilitate an effective audit. (d) The Institute, and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access for purposes of audit and examinations to any books, documents, papers, and records of the recipients that are pertinent to the grants received under this chapter. (e) The provision of this section shall apply to all recipients of assistance under this title, whether by direct grant or contract from the Institute or by subgrant or subcontract from primary grantees or contractors of the Institute. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 521, Sept. 7, 1974, 88 Stat. 1140, and amended Pub. L. 97-375, title I, Sec. 109(a), Dec. 21, 1982, 96 Stat. 1820; Pub. L. 101-647, title XXXV, Sec. 3599F, Nov. 29, 1990, 104 Stat. 4932.) -MISC1- AMENDMENTS 1990 - Subsec. (c). Pub. L. 101-647 substituted 'this chapter shall' for 'this shall'. 1982 - Subsec. (b). Pub. L. 97-375 struck out subsec. (b) which directed the Institute to submit an annual report to the President and Congress, including a comprehensive and detailed report of the Institute's operations, activities, financial condition and accomplishments under this title, and which might include such recommendations related to corrections as the Institute deemed appropriate. REFERENCES IN OTHER LAWS TO GS-16, 17, OR 18 PAY RATES References in laws to the rates of pay for GS-16, 17, or 18, or to maximum rates of pay under the General Schedule, to be considered references to rates payable under specified sections of Title 5, Government Organization and Employees, see section 529 (title I, Sec. 101(c)(1)) of Pub. L. 101-509, set out in a note under section 5376 of Title 5. NATIONAL TRAINING CENTER FOR PRISON DRUG REHABILITATION PROGRAM PERSONNEL Pub. L. 100-690, title VI, Sec. 6292, Nov. 18, 1988, 102 Stat. 4369, provided that: '(a) In General. - The Director of the National Institute of Corrections, in consultation with persons with expertise in the field of community-based drug rehabilitation, shall establish and operate, at any suitable location, a national training center (hereinafter in this section referred to as the 'center') for training Federal, State, and local prison or jail officials to conduct drug rehabilitation programs for criminals convicted of drug-related crimes and for drug-dependent criminals. Programs conducted at the center shall include training for correctional officers, administrative staff, and correctional mental health professionals (including subcontracting agency personnel). '(b) Design and Construction of Facilities. - The Director of the National Institute of Corrections shall design and construct facilities for the center. '(c) Authorization of Appropriations. - In addition to amounts otherwise authorized to be appropriated with respect to the National Institute of Corrections, there are authorized to be appropriated to the Director of the National Institute of Corrections - '(1) for establishment and operation of the center, for curriculum development for the center, and for salaries and expenses of personnel at the center, not more than $4,000,000 for each of fiscal years 1989, 1990, and 1991; and '(2) for design and construction of facilities for the center, not more than $10,000,000 for fiscal years 1989, 1990, and 1991.' ------DocID 25013 Document 1255 of 1438------ -CITE- 18 USC Sec. 4353 -EXPCITE- TITLE 18 PART III CHAPTER 319 -HEAD- Sec. 4353. Authorization of appropriations (FOOTNOTE 1) -STATUTE- (FOOTNOTE 1) Section catchline editorially supplied. There is hereby authorized to be appropriated such funds as may be required to carry out the purposes of this chapter. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 521, Sept. 7, 1974, 88 Stat. 1141.) ------DocID 25014 Document 1256 of 1438------ -CITE- 18 USC PART IV -EXPCITE- TITLE 18 PART IV -HEAD- PART IV - CORRECTION OF YOUTHFUL OFFENDERS -MISC1- Chap. Sec. 401. General provisions 5001 402. Repealed 403. Juvenile delinquency 5031 AMENDMENTS 1984 - Pub. L. 98-473, title II, Sec. 218(g), Oct. 12, 1984, 98 Stat. 2027, in item for chapter 402 substituted 'Repealed' for 'Federal Youth Corrections Act'. 1950 - Act Sept. 30, 1950, ch. 1115, Sec. 5(a), 64 Stat. 1090, added item for chapter 402. -SECREF- PART REFERRED TO IN OTHER SECTIONS This part is referred to in title 22 section 3852. ------DocID 25015 Document 1257 of 1438------ -CITE- 18 USC CHAPTER 401 -EXPCITE- TITLE 18 PART IV CHAPTER 401 -HEAD- CHAPTER 401 - GENERAL PROVISIONS -MISC1- Sec. 5001. Surrender to State authorities; expenses. 5002. Advisory Corrections Council. 5003. Custody of State offenders. AMENDMENTS 1952 - Act May 9, 1952, ch. 253, Sec. 2, 66 Stat. 68, added item 5003. 1950 - Act Sept. 30, 1950, ch. 1115, Sec. 5(b), 64 Stat. 1090, added item 5002. ------DocID 25016 Document 1258 of 1438------ -CITE- 18 USC Sec. 5001 -EXPCITE- TITLE 18 PART IV CHAPTER 401 -HEAD- Sec. 5001. Surrender to State authorities; expenses -STATUTE- Whenever any person under twenty-one years of age has been arrested, charged with the commission of an offense punishable in any court of the United States or of the District of Columbia, and, after investigation by the Department of Justice, it appears that such person has committed an offense or is a delinquent under the laws of any State or of the District of Columbia which can and will assume jurisdiction over such juvenile and will take him into custody and deal with him according to the laws of such State or of the District of Columbia, and that it will be to the best interest of the United States and of the juvenile offender, the United States attorney of the district in which such person has been arrested may forego his prosecution and surrender him as herein provided, unless such surrender is precluded under section 5032 of this title. The United States marshal of such district upon written order of the United States attorney shall convey such person to such State or the District of Columbia, or, if already therein, to any other part thereof and deliver him into the custody of the proper authority thereof. Before any person is conveyed from one State to another or from or to the District of Columbia under this section, he shall signify his willingness to be so returned, or there shall be presented to the United States attorney a demand from the executive authority of such State or the District of Columbia, to which the prisoner is to be returned, supported by indictment or affidavit as prescribed by section 3182 of this title. The expense incident to the transportation of any such person, as herein authorized, shall be paid from the appropriation 'Salaries, Fees, and Expenses, United States Marshals.' -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 857; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6467(b), 102 Stat. 4376.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 662a (June 11, 1932, ch. 243, 47 Stat. 301). Language preceding 'Whenever' was omitted as unnecessary, and 'the District of Columbia' was inserted after 'State'. Changes were made in phraseology and surplusage eliminated. AMENDMENTS 1988 - Pub. L. 100-690 inserted ', unless such surrender is precluded under section 5032 of this title' before period at end of first par. -CROSS- CROSS REFERENCES Fugitives from State or Territory to State, District or Territory, see section 3182 of this title. ------DocID 25017 Document 1259 of 1438------ -CITE- 18 USC Sec. 5002 -EXPCITE- TITLE 18 PART IV CHAPTER 401 -HEAD- Sec. 5002. Advisory Corrections Council -STATUTE- There is hereby created an Advisory Corrections Council, composed of one United States circuit judge and two United States district judges designated from time to time by the Chief Justice of the United States, of one member, who shall be Chairman, designated by the Attorney General, and, ex officio, of the Chairman of the United States Sentencing Commission, the Director of the Bureau of Prisons, and the Chief of Probation of the Administrative Office of the United States Courts. The Council shall hold stated meetings to consider problems of treatment and correction of all offenders against the United States and shall make such recommendations to the Congress, the President, the Judicial Conference of the United States, and other appropriate officials as may improve the administration of criminal justice and assure the coordination and integration of policies respecting the disposition, treatment, and correction of all persons convicted of offenses against the United States. It shall also consider measures to promote the prevention of crime and delinquency, suggest appropriate studies in this connection to be undertaken by agencies both public and private. The members of the Council shall serve without compensation but necessary travel and subsistence expenses as authorized by law shall be paid from available appropriations of the Department of Justice. -SOURCE- (Added Sept. 30, 1950, ch. 1115, Sec. 4, 64 Stat. 1090, and amended Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 223(p), 98 Stat. 2030.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 substituted 'United States Sentencing Commission' for 'Board of Parole, the Chairman of the Youth Division'. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. TERMINATION OF ADVISORY COUNCIL Advisory councils established after Jan. 5, 1973, to terminate not later than the expiration of the 2-year period beginning on the date of their establishment, unless, in the case of a council established by the President or an officer of the Federal Government, such council is renewed by appropriate action prior to the expiration of such 2-year period, or in the case of a council established by the Congress, its duration is otherwise provided for by law. See sections 3(2) and 14 of Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, 776, set out in the Appendix to Title 5, Government Organization and Employees. EXCEPTIONS TO MEMBERSHIP REQUIREMENTS DURING FIVE-YEAR PERIOD For exceptions to the membership requirements set forth in this section, which exceptions are applicable for five-year period following Nov. 1, 1987, see section 235(b)(5) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 25018 Document 1260 of 1438------ -CITE- 18 USC Sec. 5003 -EXPCITE- TITLE 18 PART IV CHAPTER 401 -HEAD- Sec. 5003. Custody of State offenders -STATUTE- (a)(1) The Director of the Bureau of Prisons when proper and adequate facilities and personnel are available may contract with proper officials of a State or territory, for the custody, care, subsistence, education, treatment, and training of persons convicted of criminal offenses in the courts of such State or territory. (2) Any such contract shall provide - (A) for reimbursing the United States in full for all costs or expenses involved; (B) for receiving in exchange persons convicted of criminal offenses in the courts of the United States, to serve their sentence in appropriate institutions or facilities of the State or territory by designation as provided in section 4082(b) (FOOTNOTE 1) of this title, this exchange to be made according to formulas or conditions which may be negotiated in the contract; or (FOOTNOTE 1) See References in Text note below. (C) for compensating the United States by means of a combination of monetary payment and of receipt of persons convicted of criminal offenses in the courts of the United States, according to formulas or conditions which may be negotiated in the contract. (3) No such contract shall provide for the receipt of more State or territory prisoners by the United States than are transferred to that State or territory by such contract. (b) Funds received under such contract may be deposited in the Treasury to the credit of the appropriation or appropriations from which the payments for such service were originally made. (c) Unless otherwise specifically provided in the contract, a person committed to the Attorney General hereunder shall be subject to all the provisions of law and regulations applicable to persons committed for violations of laws of the United States not inconsistent with the sentence imposed. (d) The term 'State' as used in this section includes any State, territory, or possession of the United States, and the Canal Zone. -SOURCE- (Added May 9, 1952, ch. 253, Sec. 1, 66 Stat. 68, and amended Oct. 19, 1965, Pub. L. 89-267, Sec. 1, 79 Stat. 990; Nov. 10, 1986, Pub. L. 99-646, Sec. 66, 100 Stat. 3615.) -REFTEXT- REFERENCES IN TEXT Section 4082(b) of this title, referred to in subsec. (a)(2)(B), was repealed, and section 4082(f) was redesignated section 4082(b), by Pub. L. 98-473, title II, Sec. 218(a), Oct. 12, 1984, 98 Stat. 2027. For definition of Canal Zone, referred to in subsec. (d), see section 3602(b) of Title 22, Foreign Relations and Intercourse. -MISC2- AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646 amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: 'The Attorney General, when the Director shall certify that proper and adequate treatment facilities and personnel are available, is hereby authorized to contract with the proper officials of a State or Territory for the custody, care, subsistence, education, treatment, and training of persons convicted of criminal offenses in the courts of such State or Territory: Provided, That any such contract shall provide for reimbursing the United States in full for all costs or other expenses involved.' 1965 - Subsec. (d). Pub. L. 89-267 added subsec. (d). ------DocID 25019 Document 1261 of 1438------ -CITE- 18 USC (CHAPTER 402 -EXPCITE- TITLE 18 PART IV (CHAPTER 402 -HEAD- (CHAPTER 402 - REPEALED) ------DocID 25020 Document 1262 of 1438------ -CITE- 18 USC Sec. 5005, 5006 -EXPCITE- TITLE 18 PART IV (CHAPTER 402 -HEAD- (Sec. 5005, 5006. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(8), Oct. 12, 1984, 98 Stat. 2027) -MISC1- Section 5005, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1086, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 3, 90 Stat. 231, related to the making of youth correction decisions by United States Parole Commission. Section 5006, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1086, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 4, 90 Stat. 231, defined terms for the purpose of this chapter. EFFECTIVE DATE OF REPEAL Repeal effective Oct. 12, 1984, see section 235(a)(1)(A) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 25021 Document 1263 of 1438------ -CITE- 18 USC Sec. 5007 to 5009 -EXPCITE- TITLE 18 PART IV (CHAPTER 402 -HEAD- (Sec. 5007 to 5009. Repealed Pub. L. 94-233, Sec. 5, Mar. 15, 1976, 90 Stat. 231) -MISC1- Section 5007, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1086, provided for meetings and duties of members of Youth Correction Division. Section 5008, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1086, provided for appointment of officers and employees by Attorney General. Section 5009, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1086, provided for adoption and promulgation of rules governing procedure by Youth Correction Division. EFFECTIVE DATE OF REPEAL Repeal effective on 60th day following Mar. 15, 1976, see section 16(b) of Pub. L. 94-233, set out as an Effective Date note under section 4201 of this title. ------DocID 25022 Document 1264 of 1438------ -CITE- 18 USC Sec. 5010 to 5026 -EXPCITE- TITLE 18 PART IV (CHAPTER 402 -HEAD- (Sec. 5010 to 5026. Repealed. Pub. L. 98-473, title II, Sec. 218(a)(8), Oct. 12, 1984, 98 Stat. 2027) -MISC1- Section 5010, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1087, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 9, 90 Stat. 232, provided for imposition of a suspended sentence or sentence to custody of the Attorney General in the case of youth offenders. Section 5011, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1087, provided for treatment of youth offenders. Section 5012, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1087, provided for Director's certification of the availability of proper and adequate treatment facilities for youth offenders. Section 1513, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1087, authorized Director of Bureau of Prisons to contract for maintenance of youth offenders. Section 5014, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1087, and amended July 17, 1970, Pub. L. 91-339, Sec. 1, 84 Stat. 437; Mar. 15, 1976, Pub. L. 94-233, Sec. 6, 90 Stat. 231, related to classification studies and reports. Section 5015, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1088, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 9, 90 Stat. 232, related to powers of Director as to placement of youth offenders. Section 5016, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1088, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 9, 90 Stat. 232, related to periodic reports which the Director was required to make on all committed youth offenders. Section 5017, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1088, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 7, 9, 90 Stat. 232, related to release of youth offenders. Section 5018, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 9, 90 Stat. 232, related to revocation of Commission orders. Section 5019, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, and amended Mar. 15, 1976, Pub. L. 94-233, Sec. 9, 90 Stat. 232, related to supervision of released youth offenders. Section 5020, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, and amended July 17, 1970, Pub. L. 91-339, Sec. 2, 84 Stat. 437; Mar. 15, 1976, Pub. L. 94-233, Sec. 8, 90 Stat. 232, related to apprehension of released youth offenders. Section 5021, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, and amended Oct. 3, 1961, Pub. L. 87-336, 75 Stat. 750; Mar. 15, 1976, Pub. L. 94-233, Sec. 9, 90 Stat. 232, related to issuance of certificates setting aside convictions of youth offenders. Section 5022, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, provided that this chapter would not apply to offenses committed before its enactment (Sept. 30, 1950). Section 5023, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, and amended Apr. 8, 1952, ch. 163, Sec. 1, 66 Stat. 45, related to relationship between this chapter and Probation and Juvenile Delinquency Acts. Section 5024, added act Sept. 30, 1950, ch. 1115, Sec. 2, 64 Stat. 1089, and amended Apr. 8, 1952, ch. 163, Sec. 2, 66 Stat. 45; June 25, 1959, Pub. L. 86-70, Sec. 17(a), 73 Stat. 144; July 12, 1960, Pub. L. 86-624, Sec. 13(b), 74 Stat. 413; Dec. 27, 1967, Pub. L. 90-226, title VIII, Sec. 801(a), 81 Stat. 741, provided that this chapter was applicable to States of the United States and to District of Columbia. Section 5025, added act Apr. 8, 1952, ch. 163, Sec. 3(a), 66 Stat. 46, and amended Dec. 27, 1967, Pub. L. 90-226, title VIII, Sec. 801(b), 81 Stat. 741, related to applicability of this chapter to District of Columbia. Section 5026, added act Apr. 8, 1952, ch. 163, Sec. 3(a), 66 Stat. 46, provided that this chapter did not affect parole of other offenders. EFFECTIVE DATE OF REPEAL Repeal effective Oct. 12, 1984, with sections 5017 to 5020 to remain in effect for five years as to an individual who committed an offense or an act of juvenile delinquency before Nov. 1, 1987, and as to a term of imprisonment during the period described in section 235(a)(1)(B) of Pub. L. 98-473, see section 235(a)(1)(A), (b)(1)(E) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 25023 Document 1265 of 1438------ -CITE- 18 USC CHAPTER 403 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- CHAPTER 403 - JUVENILE DELINQUENCY -MISC1- Sec. 5031. Definitions. 5032. Delinquency proceedings in district courts; transfer for criminal prosecution. 5033. Custody prior to appearance before magistrate. 5034. Duties of magistrate. 5035. Detention prior to disposition. 5036. Speedy trial. 5037. Dispositional hearing. 5038. Use of juvenile records. 5039. Commitment. 5040. Support. 5041. Repealed. 5042. Revocation of probation. AMENDMENTS 1990 - Pub. L. 101-647, title XXXV, Sec. 3599H, Nov. 29, 1990, 104 Stat. 4932, substituted 'probation' for 'Probation' in item 5042. 1984 - Pub. L. 98-473, title II, Sec. 214(d), Oct. 12, 1984, 98 Stat. 2014, substituted 'Repealed' for 'Parole' in item 5041, and 'Revocation of Probation' for 'Revocation of parole or probation' in item 5042. 1974 - Pub. L. 93-415, title V, Sec. 513, Sept. 7, 1974, 88 Stat. 1138, substituted 'Delinquency proceedings in district courts; transfer for criminal prosecution.' for 'Proceeding against juvenile delinquent.' in item 5032; 'Custody prior to appearance before magistrate.' for 'Jurisdiction; written consent; jury trial precluded.' in item 5033; 'Duties of magistrate.' for 'Probation; commitment to custody of Attorney General; support.' in item 5034; 'Detention prior to disposition.' for 'Arrest, detention and bail.' in item 5035; 'Speedy trial.' for 'Contracts for support; payment.' in item 5036; 'Dispositional hearing.' for 'Parole.' in item 5037; and added items 5038 to 5042. -CROSS- FEDERAL RULES OF CRIMINAL PROCEDURE Applicability of rules to proceedings under this chapter, see rule 54, Appendix to this title. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 3401, 3601, 4101, 4110, 4216 of this title; title 42 section 257. ------DocID 25024 Document 1266 of 1438------ -CITE- 18 USC Sec. 5031 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5031. Definitions -STATUTE- For the purposes of this chapter, a 'juvenile' is a person who has not attained his eighteenth birthday, or for the purpose of proceedings and disposition under this chapter for an alleged act of juvenile delinquency, a person who has not attained his twenty-first birthday, and 'juvenile delinquency' is the violation of a law of the United States committed by a person prior to his eighteenth birthday which would have been a crime if committed by an adult. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 857; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 501, 88 Stat. 1133.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 921 (June 16, 1938, ch. 486, Sec. 1, 52 Stat. 764). The phrase 'who has not attained his eighteenth birthday' was substituted for 'seventeen years of age or under' as more clearly reflecting congressional intent and administrative construction. The necessity of a definite fixing of the age of the juvenile was emphasized by Hon. Arthur J. Tuttle, United States district judge, Detroit, Mich., in a letter to the Committee on Revision of the Laws dated June 24, 1944. Words 'an offense against the' was changed to 'the violation of a' without change of substance. Minor change was made in translation of section references to 'this chapter'. AMENDMENTS 1974 - Pub. L. 93-415 amended section generally, inserting 'or for the purpose of proceedings and disposition under this chapter for an alleged act of juvenile delinquency, a person who has not attained his twenty-first birthday' after 'eighteenth birthday,' and substituting 'committed by a person prior to his eighteenth birthday which would have been a crime if committed by an adult', for 'committed by a juvenile and not punishable by death or life imprisonment.' -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 3006A of this title. ------DocID 25025 Document 1267 of 1438------ -CITE- 18 USC Sec. 5032 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5032. Delinquency proceedings in district courts; transfer for criminal prosecution -STATUTE- A juvenile alleged to have committed an act of juvenile delinquency, other than a violation of law committed within the special maritime and territorial jurisdiction of the United States for which the maximum authorized term of imprisonment does not exceed six months, shall not be proceeded against in any court of the United States unless the Attorney General, after investigation, certifies to the appropriate district court of the United States that (1) the juvenile court or other appropriate court of a State does not have jurisdiction or refuses to assume jurisdiction over said juvenile with respect to such alleged act of juvenile delinquency, (2) the State does not have available programs and services adequate for the needs of juveniles, or (3) the offense charged is a crime of violence that is a felony or an offense described in section 401 of the Controlled Substances Act (21 U.S.C. 841), or section 1002(a), 1003, 1005, 1009, or 1010(b)(1), (2), or (3) of the Controlled Substances Import and Export Act (21 U.S.C. 952(a), 953, 955, 959, 960(b)(1), (2), (3)), or section 922(p) of this title, and that there is a substantial Federal interest in the case or the offense to warrant the exercise of Federal jurisdiction. If the Attorney General does not so certify, such juvenile shall be surrendered to the appropriate legal authorities of such State. For purposes of this section, the term 'State' includes a State of the United States, the District of Columbia, and any commonwealth, territory, or possession of the United States. If an alleged juvenile delinquent is not surrendered to the authorities of a State pursuant to this section, any proceedings against him shall be in an appropriate district court of the United States. For such purposes, the court may be convened at any time and place within the district, in chambers or otherwise. The Attorney General shall proceed by information, and no criminal prosecution shall be instituted for the alleged act of juvenile delinquency except as provided below. A juvenile who is alleged to have committed an act of juvenile delinquency and who is not surrendered to State authorities shall be proceeded against under this chapter unless he has requested in writing upon advice of counsel to be proceeded against as an adult, except that, with respect to a juvenile fifteen years and older alleged to have committed an act after his fifteenth birthday which if committed by an adult would be a felony that is a crime of violence or an offense described in section 401 of the Controlled Substances Act (21 U.S.C. 841), or section 1002(a), 1005, or 1009 of the Controlled Substances Import and Export Act (21 U.S.C. 952(a), 955, 959), criminal prosecution on the basis of the alleged act may be begun by motion to transfer of the Attorney General in the appropriate district court of the United States, if such court finds, after hearing, such transfer would be in the interest of justice; however, a juvenile who is alleged to have committed an act after his sixteenth birthday which if committed by an adult would be a felony offense that has as an element thereof the use, attempted use, or threatened use of physical force against the person of another, or that, by its very nature, involves a substantial risk that physical force against the person of another may be used in committing the offense, or would be an offense described in section 32, 81, 844(d), (e), (f), (h), (i) or 2275 of this title, subsection (b)(1)(A), (B), or (C), (d), or (e) of section 401 of the Controlled Substances Act, or section 1002(a), 1003, 1009, or 1010(b)(1), (2), or (3) of the Controlled Substances Import and Export Act (21 U.S.C. 952(a), 953, 959, 960(b)(1), (2), (3)), and who has previously been found guilty of an act which if committed by an adult would have been one of the offenses set forth in this paragraph or an offense in violation of a State felony statute that would have been such an offense if a circumstance giving rise to Federal jurisdiction had existed, shall be transferred to the appropriate district court of the United States for criminal prosecution. Evidence of the following factors shall be considered, and findings with regard to each factor shall be made in the record, in assessing whether a transfer would be in the interest of justice: the age and social background of the juvenile; the nature of the alleged offense; the extent and nature of the juvenile's prior delinquency record; the juvenile's present intellectual development and psychological maturity; the nature of past treatment efforts and the juvenile's response to such efforts; the availability of programs designed to treat the juvenile's behavioral problems. Reasonable notice of the transfer hearing shall be given to the juvenile, his parents, guardian, or custodian and to his counsel. The juvenile shall be assisted by counsel during the transfer hearing, and at every other critical stage of the proceedings. Once a juvenile has entered a plea of guilty or the proceeding has reached the stage that evidence has begun to be taken with respect to a crime or an alleged act of juvenile delinquency subsequent criminal prosecution or juvenile proceedings based upon such alleged act of delinquency shall be barred. Statements made by a juvenile prior to or during a transfer hearing under this section shall not be admissible at subsequent criminal prosecutions. Whenever a juvenile transferred to district court under this section is not convicted of the crime upon which the transfer was based or another crime which would have warranted transfer had the juvenile been initially charged with that crime, further proceedings concerning the juvenile shall be conducted pursuant to the provisions of this chapter. Any proceedings against a juvenile under this chapter or as an adult shall not be commenced until any prior juvenile court records of such juvenile have been received by the court, or the clerk of the juvenile court has certified in writing that the juvenile has no prior record, or that the juvenile's record is unavailable and why it is unavailable. Whenever a juvenile is adjudged delinquent pursuant to the provisions of this chapter, the specific acts which the juvenile has been found to have committed shall be described as part of the official record of the proceedings and part of the juvenile's official record. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 857; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 502, 88 Stat. 1134; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 1201, 98 Stat. 2149; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6467(a), 102 Stat. 4375; Nov. 29, 1990, Pub. L. 101-647, title XII, Sec. 1205(n), title XXXV, Sec. 3599G, 104 Stat. 4831, 4932.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 922 (June 16, 1938, ch. 486, Sec. 2, 52 Stat. 765). The final sentence of said section 922 of title 18, U.S.C., 1940 ed., was incorporated in section 5033 of this title. Changes were made in arrangement and phraseology. AMENDMENTS 1990 - Pub. L. 101-647 inserted definition of 'State' at end of second par., struck out 'or the District of Columbia' after 'to the authorities of a State' in third par., and substituted 'offenses set forth in this paragraph' for 'offenses set forth in this subsection' in fourth par. 1988 - Pub. L. 100-690, Sec. 6467(a)(1), substituted 'section 401 of the Controlled Substances Act (21 U.S.C. 841), or section 1002(a), 1003, 1005, 1009, or 1010(b)(1), (2), or (3) of the Controlled Substances Import and Export Act (21 U.S.C. 952(a), 953, 955, 959, 960(b)(1), (2), (3)), or section 922(p) of this title,' for 'section 841, 952(a), 955, or 959 of title 21,' in first par. Pub. L. 100-690, Sec. 6467(a)(2), substituted 'section 401 of the Controlled Substances Act (21 U.S.C. 841), or section 1002(a), 1005, or 1009 of the Controlled Substances Import and Export Act (21 U.S.C. 952(a), 955, 959),' for 'section 841, 952(a), 955, or 959 of title 21,' and inserted 'subsection (b)(1)(A), (B), or (C), (d), or (e) of section 401 of the Controlled Substances Act, or section 1002(a), 1003, 1009, or 1010(b)(1), (2), or (3) of the Controlled Substances Import and Export Act (21 U.S.C. 952(a), 953, 959, 960(b)(1), (2), (3)),' after '2275 of this title,' in fourth par. 1984 - Pub. L. 98-473, Sec. 1201(a), amended first par. generally, inserting ', other than a violation of law committed within the special maritime and territorial jurisdiction of the United States for which the maximum authorized term of imprisonment does not exceed six months,' before 'shall not be proceeded', inserting '(1)' before 'the juvenile court', striking out '(1)' before 'does not have', inserting 'the State' after '(2)', and inserting ', or (3) the offense charged is a crime of violence that is a felony, or an offense described in section 841, 952(a), 955, or 959 of title 21, and that there is a substantial Federal interest in the case or the offense to warrant the exercise of Federal jurisdiction.' Pub. L. 98-473, Sec. 1201(b)(1), which directed the amendment of fourth par. by substituting 'that is a crime of violence or an offense described in section 841, 952(a), 955, or 959 of title 21' for 'punishable by a maximum penalty of ten years imprisonment or more, life imprisonment or death' was executed by substituting the quoted wording for 'punishable by a maximum penalty of ten years imprisonment or more, life imprisonment, or death' as the probable intent of Congress. Pub. L. 98-473, Sec. 1201(b)(2), in fourth par. substituted 'fifteen' for 'sixteen' and 'fifteenth' for 'sixteenth'. Pub. L. 98-473, Sec. 1201(b)(3), inserted provision at end of fourth par., relating to transfer of a juvenile who is alleged to have committed certain acts after his sixteenth birthday to the appropriate district court of the United States for criminal prosecution. Pub. L. 98-473, Sec. 1201(c), added three pars. at end of section relating to juveniles not convicted of crimes in district court, reception of prior juveniles court records by the court, and description of the specific act of delinquency for the record. 1974 - Pub. L. 93-415 amended section generally, substituting 'Delinquency proceedings in district courts; transfer for criminal prosecution', for 'Proceedings against juvenile delinquent' in section catchline, inserting provisions relating to certification to, and procedures in, district courts, transfer upon motion by Attorney General with respect to a juvenile sixteen years and older, factors considered in transfer, notice of transfer, barring of subsequent criminal or juvenile delinquency proceedings upon entering plea of guilty or upon taking of evidence, and admissibility of statements by a juvenile in subsequent criminal prosecution, and substituting provision relating to consent upon advice of counsel for treatment as an adult, for provision requiring consent for treatment as a juvenile. -CROSS- CROSS REFERENCES Punishment for escape or attempted escape, see section 751 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 751, 3401, 5001 of this title. ------DocID 25026 Document 1268 of 1438------ -CITE- 18 USC Sec. 5033 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5033. Custody prior to appearance before magistrate -STATUTE- Whenever a juvenile is taken into custody for an alleged act of juvenile delinquency, the arresting officer shall immediately advise such juvenile of his legal rights, in language comprehensive to a juvenile, and shall immediately notify the Attorney General and the juvenile's parents, guardian, or custodian of such custody. The arresting officer shall also notify the parents, guardian, or custodian of the rights of the juvenile and of the nature of the alleged offense. The juvenile shall be taken before a magistrate forthwith. In no event shall the juvenile be detained for longer than a reasonable period of time before being brought before a magistrate. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 857; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 503, 88 Stat. 1135.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 922, 923 (June 16, 1938, ch. 486, Sec. 2, 3, 52 Stat. 765). This section consolidates said section 923, and the final sentence of said section 922, of title 18, U.S.C., 1940 ed., with such changes of phraseology as were necessary to effect the consolidation. This revised section and section 5032 of this title were rewritten to make clear the legislative intent that a juvenile delinquency proceeding shall result in the adjudication of a status rather than the conviction of a crime. The other provisions of said section 922 are incorporated in section 5032 of this title. AMENDMENTS 1974 - Pub. L. 93-415 amended section generally, substituting 'Custody prior to appearance before magistrate', for 'Jurisdiction; written consent; jury trial precluded' in section catchline, and substituting provisions relating to advice of rights by arresting officer, notification of Attorney General, parents, guardian or custodian, and appearance before magistrate, for provisions relating to jurisdiction of district courts, jury, consent by juvenile, and apprisal of rights by Judge of District Court. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 25027 Document 1269 of 1438------ -CITE- 18 USC Sec. 5034 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5034. Duties of magistrate -STATUTE- The magistrate shall insure that the juvenile is represented by counsel before proceeding with critical stages of the proceedings. Counsel shall be assigned to represent a juvenile when the juvenile and his parents, guardian, or custodian are financially unable to obtain adequate representation. In cases where the juvenile and his parents, guardian, or custodian are financially able to obtain adequate representation but have not retained counsel, the magistrate may assign counsel and order the payment of reasonable attorney's fees or may direct the juvenile, his parents, guardian, or custodian to retain private counsel within a specified period of time. The magistrate may appoint a guardian ad litem if a parent or guardian of the juvenile is not present, or if the magistrate has reason to believe that the parents or guardian will not cooperate with the juvenile in preparing for trial, or that the interests of the parents or guardian and those of the juvenile are adverse. If the juvenile has not been discharged before his initial appearance before the magistrate, the magistrate shall release the juvenile to his parents, guardian, custodian, or other responsible party (including, but not limited to, the director of a shelter-care facility) upon their promise to bring such juvenile before the appropriate court when requested by such court unless the magistrate determines, after hearing, at which the juvenile is represented by counsel, that the detention of such juvenile is required to secure his timely appearance before the appropriate court or to insure his safety or that of others. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 858; Mar. 31, 1962, Pub. L. 87-428, 76 Stat. 52; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 504, 88 Stat. 1135; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7045, 102 Stat. 4400.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 924 (June 16, 1938, ch. 486, Sec. 4, 52 Stat. 765). The words 'foster homes' were inserted to remove any doubt as to the authority to commit to such foster homes in accordance with past and present administrative practice. The reference to particular sections dealing with probation was omitted as unnecessary. Changes were made in phraseology and arrangement. AMENDMENTS 1988 - Pub. L. 100-690 substituted 'facility) upon' for 'facility upon' in last par. 1974 - Pub. L. 93-415 amended section generally, substituting 'Duties of magistrate', for 'Probation; commitment to custody of Attorney General; support' in section catchline, and substituting provisions relating to procedure before, and duties of, magistrate, for provisions relating to probation, commitment to custody of Attorney General, duties of Attorney General, and procedures aiding court in determining whether to place juvenile on probation or commit him to custody of Attorney General. 1962 - Pub. L. 87-428 added fourth par. authorizing commitment of a juvenile delinquent to the custody of the Attorney General for observation and study. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Punishment for escape or attempted escape, see section 751 of this title. Punishment for instigating or assisting escape, see section 752 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 751, 752 of this title. ------DocID 25028 Document 1270 of 1438------ -CITE- 18 USC Sec. 5035 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5035. Detention prior to disposition -STATUTE- A juvenile alleged to be delinquent may be detained only in a juvenile facility or such other suitable place as the Attorney General may designate. Whenever possible, detention shall be in a foster home or community based facility located in or near his home community. The Attorney General shall not cause any juvenile alleged to be delinquent to be detained or confined in any institution in which the juvenile has regular contact with adult persons convicted of a crime or awaiting trial on criminal charges. Insofar as possible, alleged delinquents shall be kept separate from adjudicated delinquents. Every juvenile in custody shall be provided with adequate food, heat, light, sanitary facilities, bedding, clothing, recreation, education, and medical care, including necessary psychiatric, psychological, or other care and treatment. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 858; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 505, 88 Stat. 1135.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 925 (June 16, 1938, ch. 486, Sec. 5, 52, Stat. 765). Minor changes were made in arrangement and phraseology. AMENDMENTS 1974 - Pub. L. 93-415 amended section generally, substituting 'Detention prior to disposition', for 'Arrest, detention and bail' in section catchline, striking out provisions relating to discretionary power of arresting officer or marshal to confine juvenile in jail, provisions relating to bail and default of bail, and inserting provisions relating to mandatory separation of juvenile from adjudicated delinquents, and provisions relating to the physical conditions of confining facility. -CROSS- CROSS REFERENCES Power of committing magistrate judge generally, see section 3041 of this title. ------DocID 25029 Document 1271 of 1438------ -CITE- 18 USC Sec. 5036 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5036. Speedy trial -STATUTE- If an alleged delinquent who is in detention pending trial is not brought to trial within thirty days from the date upon which such detention was begun, the information shall be dismissed on motion of the alleged delinquent or at the direction of the court, unless the Attorney General shows that additional delay was caused by the juvenile or his counsel, or consented to by the juvenile and his counsel, or would be in the interest of justice in the particular case. Delays attributable solely to court calendar congestion may not be considered in the interest of justice. Except in extraordinary circumstances, an information dismissed under this section may not be reinstituted. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 858; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 506, 88 Stat. 1136.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 926 (June 16, 1938, ch. 486, Sec. 6, 52 Stat. 766). The words 'foster homes' were inserted to remove any doubt as to the authority to commit to such foster homes in accordance with past and present administrative practice. AMENDMENTS 1974 - Pub. L. 93-415 amended section generally, substituting 'Speedy trial' for 'Contracts for support; payment' in section catchline, and substituting provisions relating to dismissal of information due to delay, for provisions relating to contracts with public or private agencies for custody and care of juvenile delinquents. ------DocID 25030 Document 1272 of 1438------ -CITE- 18 USC Sec. 5037 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5037. Dispositional hearing -STATUTE- (a) If the court finds a juvenile to be a juvenile delinquent, the court shall hold a disposition hearing concerning the appropriate disposition no later than twenty court days after the juvenile delinquency hearing unless the court has ordered further study pursuant to subsection (d). After the disposition hearing, and after considering any pertinent policy statements promulgated by the Sentencing Commission pursuant to 28 U.S.C. 994, the court may suspend the findings of juvenile delinquency, enter an order of restitution pursuant to section 3556, place him on probation, or commit him to official detention. With respect to release or detention pending an appeal or a petition for a writ of certiorari after disposition, the court shall proceed pursuant to the provisions of chapter 207. (b) The term for which probation may be ordered for a juvenile found to be a juvenile delinquent may not extend - (1) in the case of a juvenile who is less than eighteen years old, beyond the lesser of - (A) the date when the juvenile becomes twenty-one years old; or (B) the maximum term that would be authorized by section 3561(b) if the juvenile had been tried and convicted as an adult; or (2) in the case of a juvenile who is between eighteen and twenty-one years old, beyond the lesser of - (A) three years; or (B) the maximum term that would be authorized by section 3561(b) if the juvenile had been tried and convicted as an adult. The provisions dealing with probation set forth in sections 3563, 3564, and 3565 are applicable to an order placing a juvenile on probation. (c) The term for which official detention may be ordered for a juvenile found to be a juvenile delinquent may not extend - (1) in the case of a juvenile who is less than eighteen years old, beyond the lesser of - (A) the date when the juvenile becomes twenty-one years old; or (B) the maximum term of imprisonment that would be authorized if the juvenile had been tried and convicted as an adult; or (2) in the case of a juvenile who is between eighteen and twenty-one years old - (A) who if convicted as an adult would be convicted of a Class A, B, or C felony, beyond five years; or (B) in any other case beyond the lesser of - (i) three years; or (ii) the maximum term of imprisonment that would be authorized if the juvenile had been tried and convicted as an adult. Section 3624 is applicable to an order placing a juvenile under detention. (d) If the court desires more detailed information concerning an alleged or adjudicated delinquent, it may commit him, after notice and hearing at which the juvenile is represented by counsel, to the custody of the Attorney General for observation and study by an appropriate agency. Such observation and study shall be conducted on an out-patient basis, unless the court determines that inpatient observation and study are necessary to obtain the desired information. In the case of an alleged juvenile delinquent, inpatient study may be ordered only with the consent of the juvenile and his attorney. The agency shall make a complete study of the alleged or adjudicated delinquent to ascertain his personal traits, his capabilities, his background, any previous delinquency or criminal experience, any mental or physical defect, and any other relevant factors. The Attorney General shall submit to the court and the attorneys for the juvenile and the Government the results of the study within thirty days after the commitment of the juvenile, unless the court grants additional time. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 858; Sept. 7, 1974, Pub. L. 93-415, title V, Sec. 507, 88 Stat. 1136; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 214(a), 98 Stat. 2013; Nov. 10, 1986, Pub. L. 99-646, Sec. 21(a), 100 Stat. 3596.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 18, U.S.C., 1940 ed., Sec. 927 (June 16, 1938, ch. 486, Sec. 7, 52 Stat. 766). Reference to section establishing the Board of Parole was omitted as unnecessary. Minor changes were made in phraseology. AMENDMENTS 1986 - Subsec. (a). Pub. L. 99-646, Sec. 21(a)(1), substituted 'subsection (d)' for 'subsection (e)'. Subsec. (c). Pub. L. 99-646, Sec. 21(a)(2)-(4), struck out 'by section 3581(b)' after 'would be authorized' in pars. (1)(B) and (2)(B)(ii), and inserted provision that section 3624 is applicable to an order placing a juvenile under detention. 1984 - Pub. L. 98-473 substituted subsecs. (a) to (c) for former subsecs. (a) and (b) and redesignated former subsec. (c) as (d). Prior to amendment, subsecs. (a) and (b) read as follows: '(a) If a juvenile is adjudicated delinquent, a separate dispositional hearing shall be held no later than twenty court days after trial unless the court has ordered further study in accordance with subsection (c). Copies of the presentence report shall be provided to the attorneys for both the juvenile and the Government a reasonable time in advance of the hearing. '(b) The court may suspend the adjudication of delinquency or the disposition of the delinquent on such conditions as it deems proper, place him on probation, or commit him to the custody of the Attorney General. Probation, commitment, or commitment in accordance with subsection (c) shall not extend beyond the juvenile's twenty-first birthday or the maximum term which could have been imposed on an adult convicted of the same offense, whichever is sooner, unless the juvenile has attained his nineteenth birthday at the time of disposition, in which case probation, commitment, or commitment in accordance with subsection (c) shall not exceed the lesser of two years or the maximum term which could have been imposed on an adult convicted of the same offense.' 1974 - Pub. L. 93-415 amended section generally, substituting 'Dispositional hearing' for 'Parole' in section catchline and striking out provisions relating to parole. EFFECTIVE DATE OF 1986 AMENDMENT Section 21(b) of Pub. L. 99-646 provided that: 'The amendments made by this section (amending this section) shall take effect on the date the amendments made by such section 214 (of Pub. L. 98-473) take effect (Nov. 1, 1987).' EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 5038 of this title. ------DocID 25031 Document 1273 of 1438------ -CITE- 18 USC Sec. 5038 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5038. Use of juvenile records -STATUTE- (a) Throughout and upon the completion of the juvenile delinquency proceeding, the records shall be safeguarded from disclosure to unauthorized persons. The records shall be released to the extent necessary to meet the following circumstances: (1) inquiries received from another court of law; (2) inquiries from an agency preparing a presentence report for another court; (3) inquiries from law enforcement agencies where the request for information is related to the investigation of a crime or a position within that agency; (4) inquiries, in writing, from the director of a treatment agency or the director of a facility to which the juvenile has been committed by the court; (5) inquiries from an agency considering the person for a position immediately and directly affecting the national security; and (6) inquiries from any victim of such juvenile delinquency, or if the victim is deceased from the immediate family of such victim, related to the final disposition of such juvenile by the court in accordance with section 5037. Unless otherwise authorized by this section, information about the juvenile record may not be released when the request for information is related to an application for employment, license, bonding, or any civil right or privilege. Responses to such inquiries shall not be different from responses made about persons who have never been involved in a delinquency proceeding. (b) District courts exercising jurisdiction over any juvenile shall inform the juvenile, and his parent or guardian, in writing in clear and nontechnical language, of rights relating to his juvenile record. (c) During the course of any juvenile delinquency proceeding, all information and records relating to the proceeding, which are obtained or prepared in the discharge of an official duty by an employee of the court or an employee of any other governmental agency, shall not be disclosed directly or indirectly to anyone other than the judge, counsel for the juvenile and the Government, or others entitled under this section to receive juvenile records. (d) Whenever a juvenile is found guilty of committing an act which if committed by an adult would be a felony that is a crime of violence or an offense described in section 841, 952(a), 955, or 959 of title 21, such juvenile shall be fingerprinted and photographed. Except a juvenile described in subsection (f), fingerprints and photographs of a juvenile who is not prosecuted as an adult shall be made available only in accordance with the provisions of subsection (a) of this section. Fingerprints and photographs of a juvenile who is prosecuted as an adult shall be made available in the manner applicable to adult defendants. (e) Unless a juvenile who is taken into custody is prosecuted as an adult neither the name nor picture of any juvenile shall be made public in connection with a juvenile delinquency proceeding. (f) Whenever a juvenile has on two separate occasions been found guilty of committing an act which if committed by an adult would be a felony crime of violence or an offense described in section 841, 952(a), 955, or 959 of title 21, the court shall transmit to the Federal Bureau of Investigation, Identification Division, the information concerning the adjudications, including name, date of adjudication, court, offenses, and sentence, along with the notation that the matters were juvenile adjudications. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 508, Sept. 7, 1974, 88 Stat. 1137, and amended Pub. L. 95-115, Sec. 8(b), Oct. 3, 1977, 91 Stat. 1060; Pub. L. 98-473, title II, Sec. 1202, Oct. 12, 1984, 98 Stat. 2150.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 amended section generally, striking out in subsec. (a) provisions that, upon completion of any delinquency proceedings the court shall order the entire record and file to be sealed, substituting a new subsec. (d) for a former subsec. (d) which provided that unless a juvenile is prosecuted as an adult neither fingerprints nor photographs shall be taken without the consent of the judge and the juveniles name and picture shall not be made available to any public medium of communication and adding subsecs. (e) and (f). 1977 - Subsec. (a)(6). Pub. L. 95-115 added par. (6). EFFECTIVE DATE OF 1977 AMENDMENT Amendment by Pub. L. 95-115 effective Oct. 1, 1977, see section 263(c) of Pub. L. 93-415, as added by Pub. L. 95-115, set out as a note under section 5601 of Title 42, The Public Health and Welfare. ------DocID 25032 Document 1274 of 1438------ -CITE- 18 USC Sec. 5039 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5039. Commitment -STATUTE- No juvenile committed to the custody of the Attorney General may be placed or retained in an adult jail or correctional institution in which he has regular contact with adults incarcerated because they have been convicted of a crime or are awaiting trial on criminal charges. Every juvenile who has been committed shall be provided with adequate food, heat, light, sanitary facilities, bedding, clothing, recreation, counseling, education, training, and medical care including necessary psychiatric, psychological, or other care and treatment. Whenever possible, the Attorney General shall commit a juvenile to a foster home or community-based facility located in or near his home community. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 509, Sept. 7, 1974, 88 Stat. 1138.) ------DocID 25033 Document 1275 of 1438------ -CITE- 18 USC Sec. 5040 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5040. Support -STATUTE- The Attorney General may contract with any public or private agency or individual and such community-based facilities as halfway houses and foster homes for the observation and study and the custody and care of juveniles in his custody. For these purposes, the Attorney General may promulgate such regulations as are necessary and may use the appropriation for 'support of United States prisoners' or such other appropriations as he may designate. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 510, Sept. 7, 1974, 88 Stat. 1138.) ------DocID 25034 Document 1276 of 1438------ -CITE- 18 USC Sec. 5041 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- (Sec. 5041. Repealed. Pub. L. 98-473, title II, Sec. 214(b), Oct. 12, 1984, 98 Stat. 2014) -MISC1- EFFECTIVE DATE OF REPEAL; SECTION TO REMAIN IN EFFECT FOR FIVE YEARS AFTER NOV. 1, 1987 Section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title, provided that the repeal of this section is effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such repeal. Section 235(b)(1)(D) of Pub. L. 98-473 provided that the provisions of this section in effect before Nov. 1, 1987, shall remain in effect for five years after Nov. 1, 1987, as to an individual who committed an offense or an act of juvenile delinquency before Nov. 1, 1987, and as to a term of imprisonment during the period described in section 235(a)(1)(B) of Pub. L. 98-473. Prior to repeal, this section read as follows: Sec. 5041. Parole A juvenile delinquent who has been committed may be released on parole at any time under such conditions and regulations as the United States Parole Commission deems proper in accordance with the provisions in section 4206 of this title. (Added Pub. L. 93-415, title V, Sec. 511, Sept. 7, 1974, 88 Stat. 1138, and amended Pub. L. 94-233, Sec. 11, Mar. 15, 1976, 90 Stat. 233.) ------DocID 25035 Document 1277 of 1438------ -CITE- 18 USC Sec. 5042 -EXPCITE- TITLE 18 PART IV CHAPTER 403 -HEAD- Sec. 5042. Revocation of probation -STATUTE- Any juvenile probationer shall be accorded notice and a hearing with counsel before his probation can be revoked. -SOURCE- (Added Pub. L. 93-415, title V, Sec. 512, Sept. 7, 1974, 88 Stat. 1138, and amended Pub. L. 98-473, title II, Sec. 214(c), Oct. 12, 1984, 98 Stat. 2014.) -MISC1- AMENDMENTS 1984 - Pub. L. 98-473 struck out 'parole or' before 'probation' in section catchline and text, and struck out 'parolee or' before 'probationer' in text. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. ------DocID 25036 Document 1278 of 1438------ -CITE- 18 USC PART V -EXPCITE- TITLE 18 PART V -HEAD- PART V - IMMUNITY OF WITNESSES -MISC1- Sec. 6001. Definitions. 6002. Immunity generally. 6003. Court and grand jury proceedings. 6004. Certain administrative proceedings. 6005. Congressional proceedings. AMENDMENTS 1970 - Pub. L. 91-452, title II, Sec. 201(a), Oct. 15, 1970, 84 Stat. 926, added part V and items 6001 to 6005. -SECREF- PART REFERRED TO IN OTHER SECTIONS This part is referred to in title 7 section 2146; title 11 section 344; title 15 section 1312; title 31 section 3733. ------DocID 25037 Document 1279 of 1438------ -CITE- 18 USC Sec. 6001 -EXPCITE- TITLE 18 PART V -HEAD- Sec. 6001. Definitions -STATUTE- As used in this part - (1) 'agency of the United States' means any executive department as defined in section 101 of title 5, United States Code, a military department as defined in section 102 of title 5, United States Code, the Atomic Energy Commission, the China Trade Act registrar appointed under 53 Stat. 1432 (15 U.S.C. sec. 143), the Civil Aeronautics Board, the Commodity Futures Trading Commission, the Federal Communications Commission, the Federal Deposit Insurance Corporation, the Federal Maritime Commission, the Federal Power Commission, the Federal Trade Commission, the Interstate Commerce Commission, the National Labor Relations Board, the National Transportation Safety Board, the Railroad Retirement Board, an arbitration board established under 48 Stat. 1193 (45 U.S.C. sec. 157), the Securities and Exchange Commission, the Subversive Activities Control Board, or a board established under 49 Stat. 31 (15 U.S.C. sec. 715d); (2) 'other information' includes any book, paper, document, record, recording, or other material; (3) 'proceeding before an agency of the United States' means any proceeding before such an agency with respect to which it is authorized to issue subpenas and to take testimony or receive other information from witnesses under oath; and (4) 'court of the United States' means any of the following courts: the Supreme Court of the United States, a United States court of appeals, a United States district court established under chapter 5, title 28, United States Code, a United States bankruptcy court established under chapter 6, title 28, United States Code, the District of Columbia Court of Appeals, the Superior Court of the District of Columbia, the District Court of Guam, the District Court of the Virgin Islands, the United States Claims Court, the Tax Court of the United States, the Court of International Trade, and the Court of Military Appeals. -SOURCE- (Added Pub. L. 91-452, title II, Sec. 201(a), Oct. 15, 1970, 84 Stat. 926, and amended Pub. L. 95-405, Sec. 25, Sept. 30, 1978, 92 Stat. 877; Pub. L. 95-598, title III, Sec. 314(l), Nov. 6, 1978, 92 Stat. 2678; Pub. L. 96-417, title VI, Sec. 601(1), Oct. 10, 1980, 94 Stat. 1744; Pub. L. 97-164, title I, Sec. 164(1), Apr. 2, 1982, 96 Stat. 50.) -MISC1- AMENDMENTS 1982 - Par. (4). Pub. L. 97-164 substituted 'the United States Claims Court' for 'the United States Court of Claims, the United States Court of Customs and Patent Appeals'. 1980 - Par. (4). Pub. L. 96-417 redesignated the Customs Court as the Court of International Trade. 1978 - Par. (1). Pub. L. 95-405 inserted 'the Commodity Futures Trading Commission,' after 'Civil Aeronautics Board,'. Par. (4). Pub. L. 95-598 inserted 'a United States bankruptcy court established under chapter 6, title 28, United States Code,' after 'title 28, United States Code,'. EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-164 effective Oct. 1, 1982, see section 402 of Pub. L. 97-164, set out as a note under section 171 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1980 AMENDMENT Amendment by Pub. L. 96-417 effective Nov. 1, 1980, and applicable with respect to civil actions pending on or commenced on or after such date, see section 701(a) of Pub. L. 96-417, set out as a note under section 251 of Title 28, Judiciary and Judicial Procedure. EFFECTIVE DATE OF 1978 AMENDMENTS Amendment by Pub. L. 95-598 effective Oct. 1, 1979, see section 402(a) of Pub. L. 95-598, set out as an Effective Date note preceding section 101 of Title 11, Bankruptcy. Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28 of Pub. L. 95-405, set out as a note under section 2 of Title 7, Agriculture. EFFECTIVE DATE; SAVINGS PROVISION Section 260 of Pub. L. 91-452 provided that: 'The provisions of part V of title 18, United States Code, added by title II of this Act (this part), and the amendments and repeals made by title II of this Act (sections 835, 895, 1406, 1954, 2424, 2514 and 3486 of this title, sections 15, 87f(f), 135c, 499m(f), and 2115 of Title 7, Agriculture, section 25 of former Title 11, Bankruptcy, section 1820 of Title 12, Banks and Banking, sections 32, 33, 49, 77v, 78u(d), 79r(e), 80a-41, 80b-9, 155, 717m, 1271, and 1714 of Title 15, Commerce and Trade, section 825f of Title 16, Conservation, section 1333 of Title 19, Customs Duties, section 373 of Title 21, Food and Drugs, sections 4874 and 7493 of Title 26, Internal Revenue Code, section 161(3) of Title 29, Labor, section 506 of Title 33, Navigation and Navigable waters, sections 405(f) and 2201 of Title 42, The Public Health and Welfare, sections 157 and 362 of Title 45, Railroads, sections 827 and 1124 of former Title 46, Shipping, section 409(l) of Title 47, Telegraphs, Telephones, and Radiotelegraphs, sections 9, 43, 46, 47, 48, 916, and 1017 of former Title 49, Transportation, and section 1484 of Title 49, Appendix, section 792 of Title 50, War and National Defense, and sections 643a, 1152, 2026, and 2155(b) of Title 50, Appendix), shall take effect on the sixtieth day following the date of the enactment of this Act (Oct. 15, 1970). No amendment to or repeal of any provision of law under title II of this Act shall affect any immunity to which any individual is entitled under such provision by reason of any testimony or other information given before such day.' SAVINGS PROVISION Amendment by section 314 of Pub. L. 95-598 not to affect the application of chapter 9 (Sec. 151 et seq.), chapter 96 (Sec. 1961 et seq.), or section 2516, 3057, or 3284 of this title to any act of any person (1) committed before Oct. 1, 1979, or (2) committed after Oct. 1, 1979, in connection with a case commenced before such date, see section 403(d) of Pub. L. 95-598, set out as a note preceding section 101 of Title 11, Bankruptcy. AMENDMENT OR REPEAL OF INCONSISTENT PROVISIONS Section 259 of Pub. L. 91-452 provided that: 'In addition to the provisions of law specifically amended or specifically repealed by this title (see Effective Date note above), any other provision of law inconsistent with the provisions of part V of title 18, United States Code (adding by title II of this Act) (this part), is to that extent amended or repealed.' -TRANS- ABOLITION OF THE ATOMIC ENERGY COMMISSION Atomic Energy Commission abolished and functions transferred by sections 5814 and 5841 of Title 42, The Public Health and Welfare. See, also, Transfer of Functions notes set out under those sections. TERMINATION OF CIVIL AERONAUTICS BOARD AND TRANSFER OF CERTAIN FUNCTIONS All functions, powers, and duties of the Civil Aeronautics Board were terminated or transferred by section 1551 of Title 49, Appendix, Transportation, effective in part on Dec. 31, 1981, in part on Jan. 1, 1983, and in part on Jan. 1, 1985. TERMINATION OF FEDERAL POWER COMMISSION The Federal Power Commission, referred to in par. (1) was terminated and the functions, personnel, property, funds, etc., thereof were transferred to the Secretary of Energy (except for certain functions which were transferred to the Federal Energy Regulatory Commission) by sections 7151(b), 7171(a), 7172(a), 7291, and 7293 of Title 42, The Public Health and Welfare. -MISC5- SUBVERSIVE ACTIVITIES CONTROL BOARD The Subversive Activities Control Board was established by act Sept. 23, 1950, ch. 1024, Sec. 12, 64 Stat. 977, and ceased to operate June 30, 1973. ------DocID 25038 Document 1280 of 1438------ -CITE- 18 USC Sec. 6002 -EXPCITE- TITLE 18 PART V -HEAD- Sec. 6002. Immunity generally -STATUTE- Whenever a witness refuses, on the basis of his privilege against self-incrimination, to testify or provide other information in a proceeding before or ancillary to - (1) a court or grand jury of the United States, (2) an agency of the United States, or (3) either House of Congress, a joint committee of the two Houses, or a committee or a subcommittee of either House, and the person presiding over the proceeding communicates to the witness an order issued under this part, the witness may not refuse to comply with the order on the basis of his privilege against self-incrimination; but no testimony or other information compelled under the order (or any information directly or indirectly derived from such testimony or other information) may be used against the witness in any criminal case, except a prosecution for perjury, giving a false statement, or otherwise failing to comply with the order. -SOURCE- (Added Pub. L. 91-452, title II, Sec. 201(a), Oct. 15, 1970, 84 Stat. 927.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 6003, 6004, 6005 of this title; title 50 App. section 2411. ------DocID 25039 Document 1281 of 1438------ -CITE- 18 USC Sec. 6003 -EXPCITE- TITLE 18 PART V -HEAD- Sec. 6003. Court and grand jury proceedings -STATUTE- (a) In the case of any individual who has been or may be called to testify or provide other information at any proceeding before or ancillary to a court of the United States or a grand jury of the United States, the United States district court for the judicial district in which the proceeding is or may be held shall issue, in accordance with subsection (b) of this section, upon the request of the United States attorney for such district, an order requiring such individual to give testimony or provide other information which he refuses to give or provide on the basis of his privilege against self-incrimination, such order to become effective as provided in section 6002 of this part. (b) A United States attorney may, with the approval of the Attorney General, the Deputy Attorney General, the Associate Attorney General, or any designated Assistant Attorney General or Deputy Assistant Attorney General, request an order under subsection (a) of this section when in his judgment - (1) the testimony or other information from such individual may be necessary to the public interest; and (2) such individual has refused or is likely to refuse to testify or provide other information on the basis of his privilege against self-incrimination. -SOURCE- (Added Pub. L. 91-452, title II, Sec. 201(a), Oct. 15, 1970, 84 Stat. 927, and amended Pub. L. 100-690, title VII, Sec. 7020(e), Nov. 18, 1988, 102 Stat. 4396.) -MISC1- AMENDMENTS 1988 - Subsec. (b). Pub. L. 100-690 inserted ', the Associate Attorney General' after 'Deputy Attorney General', and 'or Deputy Assistant Attorney General' after 'Assistant Attorney General'. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 28 section 594. ------DocID 25040 Document 1282 of 1438------ -CITE- 18 USC Sec. 6004 -EXPCITE- TITLE 18 PART V -HEAD- Sec. 6004. Certain administrative proceedings -STATUTE- (a) In the case of any individual who has been or who may be called to testify or provide other information at any proceeding before an agency of the United States, the agency may, with the approval of the Attorney General, issue, in accordance with subsection (b) of this section, an order requiring the individual to give testimony or provide other information which he refuses to give or provide on the basis of his privilege against self-incrimination, such order to become effective as provided in section 6002 of this part. (b) An agency of the United States may issue an order under subsection (a) of this section only if in its judgment - (1) the testimony or other information from such individual may be necessary to the public interest; and (2) such individual has refused or is likely to refuse to testify or provide other information on the basis of his privilege against self-incrimination. -SOURCE- (Added Pub. L. 91-452, title II, Sec. 201(a), Oct. 15, 1970, 84 Stat. 927.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 15 section 57b-1; title 28 section 594. ------DocID 25041 Document 1283 of 1438------ -CITE- 18 USC Sec. 6005 -EXPCITE- TITLE 18 PART V -HEAD- Sec. 6005. Congressional proceedings -STATUTE- (a) In the case of any individual who has been or may be called to testify or provide other information at any proceeding before either House of Congress, or any committee, or any subcommittee of either House, or any joint committee of the two Houses, a United States district court shall issue, in accordance with subsection (b) of this section, upon the request of a duly authorized representative of the House of Congress or the committee concerned, an order requiring such individual to give testimony or provide other information which he refuses to give or provide on the basis of his privilege against self-incrimination, such order to become effective as provided in section 6002 of this part. (b) Before issuing an order under subsection (a) of this section, a United States district court shall find that - (1) in the case of a proceeding before either House of Congress, the request for such an order has been approved by an affirmative vote of a majority of the Members present of that House; (2) in the case of a proceeding before a committee or a subcommittee of either House of Congress or a joint committee of both Houses, the request for such an order has been approved by an affirmative vote of two-thirds of the members of the full committee; and (3) ten days or more prior to the day on which the request for such an order was made, the Attorney General was served with notice of an intention to request the order. (c) Upon application of the Attorney General, the United States district court shall defer the issuance of any order under subsection (a) of this section for such period, not longer than twenty days from the date of the request for such order, as the Attorney General may specify. -SOURCE- (Added Pub. L. 91-452, title II, Sec. 201(a), Oct. 15, 1970, 84 Stat. 928.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 2 section 288f; title 28 section 594. TITLE 18 - APPENDIX ------DocID 25042 Document 1284 of 1438------ -CITE- 18 USC APPENDIX - UNLAWFUL POSSESSION OR RECEIPT OF FIREARMS -EXPCITE- TITLE 18 -HEAD- Item Page -MISC1- Unlawful Possession or Receipt of Firearms (Repealed) 701 Interstate Agreement on Detainers (Pub. L. 91-538) 702 Classified Information Procedures Act (Pub. L. 96-456) 706 Federal Rules of Evidence 712 Rules of Criminal Procedure for the United States District Courts UNLAWFUL POSSESSION OR RECEIPT OF FIREARMS ------DocID 25043 Document 1285 of 1438------ -CITE- 18 USC APPENDIX - UNLAWFUL POSSESSION OR RECEIPT OF FIREARMS (Sec. 1201 to 1203 -EXPCITE- TITLE 18 -HEAD- (Sec. 1201 to 1203. Repealed. Pub. L. 99-308, Sec. 104(b), May 19, 1986, 100 Stat. 459) -MISC1- Section 1201, Pub. L. 90-351, title VII, Sec. 1201, June 19, 1968, 82 Stat. 236; Pub. L. 90-618, title III, Sec. 301(a)(1), Oct. 22, 1968, 82 Stat. 1236, related to Congressional findings and declaration of policy with respect to receipt, possession, or transportation of firearms by felons, veterans who are discharged under dishonorable conditions, mental incompetents, aliens who are illegally in this country, and former citizens who have renounced their citizenship. Section 1202, Pub. L. 90-351, title VII, Sec. 1202, June 19, 1968, 82 Stat. 236; Pub. L. 90-618, title III, Sec. 301(a)(2), (b), Oct. 22, 1968, 82 Stat. 1236; Pub. L. 98-473, title II, Sec. 1802, 1803, Oct. 12, 1984, 98 Stat. 2185, provided penalties for receipt, possession, or transportation of firearms in commerce or affecting commerce by a convicted felon, dishonorably discharged veteran, mental incompetent, former citizen, illegal alien, or by any individual employed by such a person, and defined terms used in former sections 1201 to 1203 of this Appendix. See section 924 of this title. Section 1203, Pub. L. 90-351, title VII, Sec. 1203, June 19, 1968, 82 Stat. 237, related to persons exempt from the provisions of former sections 1201 to 1203 of this Appendix. EFFECTIVE DATE OF REPEAL Sections repealed effective 180 days after May 19, 1986, see section 110(a) of Pub. L. 99-308, set out as an Effective Date of 1986 Amendment note under section 921 of this title. ------DocID 25044 Document 1286 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- INTERSTATE AGREEMENT ON DETAINERS -MISC1- PUB. L. 91-538, DEC. 9, 1970, 84 STAT. 1397, AS AMENDED BY PUB. L. 100-690, TITLE VII, SEC. 7059, NOV. 18, 1988, 102 STAT. 4403 ------DocID 25045 Document 1287 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 1 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 1. Short title -STATUTE- This Act may be cited as the 'Interstate Agreement on Detainers Act'. -SOURCE- (Pub. L. 91-538, Sec. 1, Dec. 9, 1970, 84 Stat. 1397.) -COD- CODIFICATION The Interstate Agreement on Detainers is also set out in sections 24-701 to 24-705 of the District of Columbia Code. ------DocID 25046 Document 1288 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 2 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 2. Enactment into law of Interstate Agreement on Detainers -STATUTE- The Interstate Agreement on Detainers is hereby enacted into law and entered into by the United States on its own behalf and on behalf of the District of Columbia with all jurisdictions legally joining in substantially the following form: 'The contracting States solemnly agree that: 'ARTICLE I 'The party States find that charges outstanding against a prisoner, detainers based on untried indictments, informations, or complaints and difficulties in securing speedy trial of persons already incarcerated in other jurisdictions, produce uncertainties which obstruct programs of prisoner treatment and rehabilitation. Accordingly, it is the policy of the party States and the purpose of this agreement to encourage the expeditious and orderly disposition of such charges and determination of the proper status of any and all detainers based on untried indictments, informations, or complaints. The party States also find that proceedings with reference to such charges and detainers, when emanating from another jurisdiction, cannot properly be had in the absence of cooperative procedures. It is the further purpose of this agreement to provide such cooperative procedures. 'ARTICLE II 'As used in this agreement: '(a) 'State' shall mean a State of the United States; the United States of America; a territory or possession of the United States; the District of Columbia; the Commonwealth of Puerto Rico. '(b) 'Sending State' shall mean a State in which a prisoner is incarcerated at the time that he initiates a request for final disposition pursuant to article III hereof or at the time that a request for custody or availability is initiated pursuant to article IV hereof. '(c) 'Receiving State' shall mean the State in which trial is to be had on an indictment, information, or complaint pursuant to article III or article IV hereof. 'ARTICLE III '(a) Whenever a person has entered upon a term of imprisonment in a penal or correctional institution of a party State, and whenever during the continuance of the term of imprisonment there is pending in any other party State any untried indictment, information, or complaint on the basis of which a detainer has been lodged against the prisoner, he shall be brought to trial within one hundred and eighty days after he shall have caused to be delivered to the prosecuting officer and the appropriate court of the prosecuting officer's jurisdiction written notice of the place of his imprisonment and his request for a final disposition to be made of the indictment, information, or complaint: Provided, That, for good cause shown in open court, the prisoner or his counsel being present, the court having jurisdiction of the matter may grant any necessary or reasonable continuance. The request of the prisoner shall be accompanied by a certificate of the appropriate official having custody of the prisoner, stating the term of commitment under which the prisoner is being held, the time already served, the time remaining to be served on the sentence, the amount of good time earned, the time of parole eligibility of the prisoner, and any decision of the State parole agency relating to the prisoner. '(b) The written notice and request for final disposition referred to in paragraph (a) hereof shall be given or sent by the prisoner to the warden, commissioner of corrections, or other official having custody of him, who shall promptly forward it together with the certificate to the appropriate prosecuting official and court by registered or certified mail, return receipt requested. '(c) The warden, commissioner of corrections, or other official having custody of the prisoner shall promptly inform him of the source and contents of any detainer lodged against him and shall also inform him of his right to make a request for final disposition of the indictment, information, or complaint on which the detainer is based. '(d) Any request for final disposition made by a prisoner pursuant to paragraph (a) hereof shall operate as a request for final disposition of all untried indictments, informations, or complaints on the basis of which detainers have been lodged against the prisoner from the State to whose prosecuting official the request for final disposition is specifically directed. The warden, commissioner of corrections, or other official having custody of the prisoner shall forthwith notify all appropriate prosecuting officers and courts in the several jurisdictions within the State to which the prisoner's request for final disposition is being sent of the proceeding being initiated by the prisoner. Any notification sent pursuant to this paragraph shall be accompanied by copies of the prisoner's written notice, request, and the certificate. If trial is not had on any indictment, information, or complaint contemplated hereby prior to the return of the prisoner to the original place of imprisonment, such indictment, information, or complaint shall not be of any further force or effect, and the court shall enter an order dismissing the same with prejudice. '(e) Any request for final disposition made by a prisoner pursuant to paragraph (a) hereof shall also be deemed to be a waiver of extradition with respect to any charge or proceeding contemplated thereby or included therein by reason of paragraph (d) hereof, and a waiver of extradition to the receiving State to serve any sentence there imposed upon him, after completion of his term of imprisonment in the sending State. The request for final disposition shall also constitute a consent by the prisoner to the production of his body in any court where his presence may be required in order to effectuate the purposes of this agreement and a further consent voluntarily to be returned to the original place of imprisonment in accordance with the provisions of this agreement. Nothing in this paragraph shall prevent the imposition of a concurrent sentence if otherwise permitted by law. '(f) Escape from custody by the prisoner subsequent to his execution of the request for final disposition referred to in paragraph (a) hereof shall void the request. 'ARTICLE IV '(a) The appropriate officer of the jurisdiction in which an untried indictment, information, or complaint is pending shall be entitled to have a prisoner against whom he has lodged a detainer and who is serving a term of imprisonment in any party State made available in accordance with article V(a) hereof upon presentation of a written request for temporary custody or availability to the appropriate authorities of the State in which the prisoner is incarcerated: Provided, That the court having jurisdiction of such indictment, information, or complaint shall have duly approved, recorded, and transmitted the request: And provided further, That there shall be a period of thirty days after receipt by the appropriate authorities before the request be honored, within which period the Governor of the sending State may disapprove the request for temporary custody or availability, either upon his own motion or upon motion of the prisoner. '(b) Upon request of the officer's written request as provided in paragraph (a) hereof, the appropriate authorities having the prisoner in custody shall furnish the officer with a certificate stating the term of commitment under which the prisoner is being held, the time already served, the time remaining to be served on the sentence, the amount of good time earned, the time of parole eligibility of the prisoner, and any decisions of the State parole agency relating to the prisoner. Said authorities simultaneously shall furnish all other officers and appropriate courts in the receiving State who has lodged detainers against the prisoner with similar certificates and with notices informing them of the request for custody or availability and of the reasons therefor. '(c) In respect of any proceeding made possible by this article, trial shall be commenced within one hundred and twenty days of the arrival of the prisoner in the receiving State, but for good cause shown in open court, the prisoner or his counsel being present, the court having jurisdiction of the matter may grant any necessary or reasonable continuance. '(d) Nothing contained in this article shall be construed to deprive any prisoner of any right which he may have to contest the legality of his delivery as provided in paragraph (a) hereof, but such delivery may not be opposed or denied on the ground that the executive authority of the sending State has not affirmatively consented to or ordered such delivery. '(e) If trial is not had on any indictment, information, or complaint contemplated hereby prior to the prisoner's being returned to the original place of imprisonment pursuant to article V(e) hereof, such indictment, information, or complaint shall not be of any further force or effect, and the court shall enter an order dismissing the same with prejudice. 'ARTICLE V '(a) In response to a request made under article III or article IV hereof, the appropriate authority in a sending State shall offer to deliver temporary custody of such prisoner to the appropriate authority in the State where such indictment, information, or complaint is pending against such person in order that speedy and efficient prosecution may be had. If the request for final disposition is made by the prisoner, the offer of temporary custody shall accompany the written notice provided for in article III of this agreement. In the case of a Federal prisoner, the appropriate authority in the receiving State shall be entitled to temporary custody as provided by this agreement or to the prisoner's presence in Federal custody at the place of trial, whichever custodial arrangement may be approved by the custodian. '(b) The officer or other representative of a State accepting an offer of temporary custody shall present the following upon demand: '(1) Proper identification and evidence of his authority to act for the State into whose temporary custody this prisoner is to be given. '(2) A duly certified copy of the indictment, information, or complaint on the basis of which the detainer has been lodged and on the basis of which the request for temporary custody of the prisoner has been made. '(c) If the appropriate authority shall refuse or fail to accept temporary custody of said person, or in the event that an action on the indictment, information, or complaint on the basis of which the detainer has been lodged is not brought to trial within the period provided in article III or article IV hereof, the appropriate court of the jurisdiction where the indictment, information, or complaint has been pending shall enter an order dismissing the same with prejudice, and any detainer based thereon shall cease to be of any force or effect. '(d) The temporary custody referred to in this agreement shall be only for the purpose of permitting prosecution on the charge or charges contained in one or more untried indictments, informations, or complaints which form the basis of the detainer or detainers or for prosecution on any other charge or charges arising out of the same transaction. Except for his attendance at court and while being transported to or from any place at which his presence may be required, the prisoner shall be held in a suitable jail or other facility regularly used for persons awaiting prosecution. '(e) At the earliest practicable time consonant with the purposes of this agreement, the prisoner shall be returned to the sending State. '(f) During the continuance of temporary custody or while the prisoner is otherwise being made available for trial as required by this agreement, time being served on the sentence shall continue to run but good time shall be earned by the prisoner only if, and to the extent that, the law and practice of the jurisdiction which imposed the sentence may allow. '(g) For all purposes other than that for which temporary custody as provided in this agreement is exercised, the prisoner shall be deemed to remain in the custody of and subject to the jurisdiction of the sending State and any escape from temporary custody may be dealt with in the same manner as an escape from the original place of imprisonment or in any other manner permitted by law. '(h) From the time that a party State receives custody of a prisoner pursuant to this agreement until such prisoner is returned to the territory and custody of the sending State, the State in which the one or more untried indictments, informations, or complaints are pending or in which trial is being had shall be responsible for the prisoner and shall also pay all costs of transporting, caring for, keeping, and returning the prisoner. The provisions of this paragraph shall govern unless the States concerned shall have entered into a supplementary agreement providing for a different allocation of costs and responsibilities as between or among themselves. Nothing herein contained shall be construed to alter or affect any internal relationship among the departments, agencies, and officers of and in the government of a party State, or between a party State and its subdivisions, as to the payment of costs, or responsibilities therefor. 'ARTICLE VI '(a) In determining the duration and expiration dates of the time periods provided in articles III and IV of this agreement, the running of said time periods shall be tolled whenever and for as long as the prisoner is unable to stand trial, as determined by the court having jurisdiction of the matter. '(b) No provision of this agreement, and no remedy made available by this agreement shall apply to any person who is adjudged to be mentally ill. 'ARTICLE VII 'Each State party to this agreement shall designate an officer who, acting jointly with like officers of other party States, shall promulgate rules and regulations to carry out more effectively the terms and provisions of this agreement, and who shall provide, within and without the State, information necessary to the effective operation of this agreement. 'ARTICLE VIII 'This agreement shall enter into full force and effect as to a party State when such State has enacted the same into law. A State party to this agreement may withdraw herefrom by enacting a statute repealing the same. However, the withdrawal of any State shall not affect the status of any proceedings already initiated by inmates or by State officers at the time such withdrawal takes effect, nor shall it affect their rights in respect thereof. 'ARTICLE IX 'This agreement shall be liberally construed so as to effectuate its purposes. The provisions of this agreement shall be severable and if any phrase, clause, sentence, or provision of this agreement is declared to be contrary to the constitution of any party State or of the United States or the applicability thereof to any government, agency, person, or circumstance is held invalid, the validity of the remainder of this agreement and the applicability thereof to any government, agency, person, or circumstance shall not be affected thereby. If this agreement shall be held contrary to the constitution of any State party hereto, the agreement shall remain in full force and effect as to the remaining States and in full force and effect as to the State affected as to all severable matters.' -SOURCE- (Pub. L. 91-538, Sec. 2, Dec. 9, 1970, 84 Stat. 1397.) ------DocID 25047 Document 1289 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 3 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 3. Definition of term 'Governor' for purposes of United States and District of Columbia -STATUTE- The term 'Governor' as used in the agreement on detainers shall mean with respect to the United States, the Attorney General, and with respect to the District of Columbia, the Mayor of the District of Columbia. -SOURCE- (Pub. L. 91-538, Sec. 3, Dec. 9, 1970, 84 Stat. 1402.) -TRANS- TRANSFER OF FUNCTIONS 'Mayor of the District of Columbia' substituted in text for 'Commissioner of the District of Columbia' pursuant to section 421 of Pub. L. 93-198. Office of Commissioner of District of Columbia, as established by Reorg. Plan No. 3, of 1967, abolished as of noon Jan. 2, 1975, by Pub. L. 93-198, title VII, Sec. 711, Dec. 24, 1973, 87 Stat. 818, and replaced by Office of Mayor of District of Columbia by section 421 of Pub. L. 93-198, classified to section 1-241 of the District of Columbia Code. ------DocID 25048 Document 1290 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 4 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 4. Definition of term 'appropriate court' -STATUTE- The term 'appropriate court' as used in the agreement on detainers shall mean with respect to the United States, the courts of the United States, and with respect to the District of Columbia, the courts of the District of Columbia, in which indictments, informations, or complaints, for which disposition is sought, are pending. -SOURCE- (Pub. L. 91-538, Sec. 4, Dec. 9, 1970, 84 Stat. 1402.) ------DocID 25049 Document 1291 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 5 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 5. Enforcement and cooperation by courts, departments, agencies, officers, and employees of United States and District of Columbia -STATUTE- All courts, departments, agencies, officers, and employees of the United States and of the District of Columbia are hereby directed to enforce the agreement on detainers and to cooperate with one another and with all party States in enforcing the agreement and effectuating its purpose. -SOURCE- (Pub. L. 91-538, Sec. 5, Dec. 9, 1970, 84 Stat. 1402.) ------DocID 25050 Document 1292 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 6 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 6. Regulations, forms, and instructions -STATUTE- For the United States, the Attorney General, and for the District of Columbia, the Mayor of the District of Columbia, shall establish such regulations, prescribe such forms, issue such instructions, and perform such other acts as he deems necessary for carrying out the provisions of this Act. -SOURCE- (Pub. L. 91-538, Sec. 6, Dec. 9, 1970, 84 Stat. 1403.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in text, is Pub. L. 91-538, Dec. 9, 1970, 84 Stat. 1397, known as the 'Interstate Agreement on Detainers Act'. -TRANS- TRANSFER OF FUNCTIONS 'Mayor of the District of Columbia' substituted in text for 'Commissioner of the District of Columbia' pursuant to section 421 of Pub. L. 93-198. Office of Commissioner of District of Columbia, as established by Reorg. Plan No. 3 of 1967, abolished as of noon Jan. 2, 1975, by Pub. L. 93-198, title VII, Sec. 711, Dec. 24, 1973, 87 Stat. 818, and replaced by Office of Mayor of District of Columbia by section 421 of Pub. L. 93-198, classified to section 1-241 of the District of Columbia Code. ------DocID 25051 Document 1293 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 7 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 7. Reservation of right to alter, amend, or repeal -STATUTE- The right to alter, amend, or repeal this Act is expressly reserved. -SOURCE- (Pub. L. 91-538, Sec. 7, Dec. 9, 1970, 84 Stat. 1403.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in text, is Pub. L. 91-538, Dec. 9, 1970, 84 Stat. 1397, known as the 'Interstate Agreement on Detainers Act'. ------DocID 25052 Document 1294 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 8 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 8. Effective Date -STATUTE- This Act shall take effect on the ninetieth day after the date of its enactment. -SOURCE- (Pub. L. 91-538, Sec. 8, Dec. 9, 1970, 84 Stat. 1403.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in text, is Pub. L. 91-538, Dec. 9, 1970, 84 Stat. 1397, known as the 'Interstate Agreement on Detainers Act'. The date of its enactment, referred to in text, means Dec. 9, 1970. ------DocID 25053 Document 1295 of 1438------ -CITE- 18 USC APPENDIX - INTERSTATE AGREEMENT ON DETAINERS Sec. 9 -EXPCITE- TITLE 18 INTERSTATE AGREEMENT ON DETAINERS -HEAD- Sec. 9. Special Provisions when United States is a Receiving State -STATUTE- Notwithstanding any provision of the agreement on detainers to the contrary, in a case in which the United States is a receiving State - (1) any order of a court dismissing any indictment, information, or complaint may be with or without prejudice. In determining whether to dismiss the case with or without prejudice, the court shall consider, among others, each of the following factors: The seriousness of the offense; the facts and circumstances of the case which led to the dismissal; and the impact of a reprosecution on the administration of the agreement on detainers and on the administration of justice; and (2) it shall not be a violation of the agreement on detainers if prior to trial the prisoner is returned to the custody of the sending State pursuant to an order of the appropriate court issued after reasonable notice to the prisoner and the United States and an opportunity for a hearing. -SOURCE- (Pub. L. 91-538, Sec. 9, as added Pub. L. 100-690, title VII, Sec. 7059, Nov. 18, 1988, 102 Stat. 4403.) ------DocID 25054 Document 1296 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- CLASSIFIED INFORMATION PROCEDURES ACT -MISC1- PUB. L. 96-456, OCT. 15, 1980, 94 STAT. 2025, AS AMENDED BY PUB. L. 100-690, TITLE VII, SEC. 7020(G), NOV. 18, 1988, 102 STAT. 4396 ------DocID 25055 Document 1297 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 1 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 1. Definitions -STATUTE- (a) 'Classified information', as used in this Act, means any information or material that has been determined by the United States Government pursuant to an Executive order, statute, or regulation, to require protection against unauthorized disclosure for reasons of national security and any restricted data, as defined in paragraph r. of section 11 of the Atomic Energy Act of 1954 (42 U.S.C. 2014(y)). (b) 'National security', as used in this Act, means the national defense and foreign relations of the United States. -SOURCE- (Pub. L. 96-456, Sec. 1, Oct. 15, 1980, 94 Stat. 2025.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in text, is Pub. L. 96-456, Oct. 15, 1980, 94 Stat. 2025, known as the 'Classified Information Procedures Act'. ------DocID 25056 Document 1298 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 2 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 2. Pretrial conference -STATUTE- At any time after the filing of the indictment or information, any party may move for a pretrial conference to consider matters relating to classified information that may arise in connection with the prosecution. Following such motion, or on its own motion, the court shall promptly hold a pretrial conference to establish the timing of requests for discovery, the provision of notice required by section 5 of this Act, and the initiation of the procedure established by section 6 of this Act. In addition, at the pretrial conference the court may consider any matters which relate to classified information or which may promote a fair and expeditious trial. No admission made by the defendant or by any attorney for the defendant at such a conference may be used against the defendant unless the admission is in writing and is signed by the defendant and by the attorney for the defendant. -SOURCE- (Pub. L. 96-456, Sec. 2, Oct. 15, 1980, 94 Stat. 2025.) ------DocID 25057 Document 1299 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 3 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 3. Protective orders -STATUTE- Upon motion of the United States, the court shall issue an order to protect against the disclosure of any classified information disclosed by the United States to any defendant in any criminal case in a district court of the United States. -SOURCE- (Pub. L. 96-456, Sec. 3, Oct. 15, 1980, 94 Stat. 2025.) ------DocID 25058 Document 1300 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 4 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 4. Discovery of classified information by defendants -STATUTE- The court, upon a sufficient showing, may authorize the United States to delete specified items of classified information from documents to be made available to the defendant through discovery under the Federal Rules of Criminal Procedure, to substitute a summary of the information for such classified documents, or to substitute a statement admitting relevant facts that the classified information would tend to prove. The court may permit the United States to make a request for such authorization in the form of a written statement to be inspected by the court alone. If the court enters an order granting relief following such an ex parte showing, the entire text of the statement of the United States shall be sealed and preserved in the records of the court to be made available to the appellate court in the event of an appeal. -SOURCE- (Pub. L. 96-456, Sec. 4, Oct. 15, 1980, 94 Stat. 2025.) ------DocID 25059 Document 1301 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 5 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 5. Notice of defendant's intention to disclose classified information -STATUTE- (a) Notice by Defendant. - If a defendant reasonably expects to disclose or to cause the disclosure of classified information in any manner in connection with any trial or pretrial proceeding involving the criminal prosecution of such defendant, the defendant shall, within the time specified by the court or, where no time is specified, within thirty days prior to trial, notify the attorney for the United States and the court in writing. Such notice shall include a brief description of the classified information. Whenever a defendant learns of additional classified information he reasonably expects to disclose at any such proceeding, he shall notify the attorney for the United States and the court in writing as soon as possible thereafter and shall include a brief description of the classified information. No defendant shall disclose any information known or believed to be classified in connection with a trial or pretrial proceeding until notice has been given under this subsection and until the United States has been afforded a reasonable opportunity to seek a determination pursuant to the procedure set forth in section 6 of this Act, and until the time for the United States to appeal such determination under section 7 has expired or any appeal under section 7 by the United States is decided. (b) Failure to Comply. - If the defendant fails to comply with the requirements of subsection (a) the court may preclude disclosure of any classified information not made the subject of notification and may prohibit the examination by the defendant of any witness with respect to any such information. -SOURCE- (Pub. L. 96-456, Sec. 5, Oct. 15, 1980, 94 Stat. 2026.) ------DocID 25060 Document 1302 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 6 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 6. Procedure for cases involving classified information -STATUTE- (a) Motion for Hearing. - Within the time specified by the court for the filing of a motion under this section, the United States may request the court to conduct a hearing to make all determinations concerning the use, relevance, or admissibility of classified information that would otherwise be made during the trial or pretrial proceeding. Upon such a request, the court shall conduct such a hearing. Any hearing held pursuant to this subsection (or any portion of such hearing specified in the request of the Attorney General) shall be held in camera if the Attorney General certifies to the court in such petition that a public proceeding may result in the disclosure of classified information. As to each item of classified information, the court shall set forth in writing the basis for its determination. Where the United States' motion under this subsection is filed prior to the trial or pretrial proceeding, the court shall rule prior to the commencement of the relevant proceeding. (b) Notice. - (1) Before any hearing is conducted pursuant to a request by the United States under subsection (a), the United States shall provide the defendant with notice of the classified information that is at issue. Such notice shall identify the specific classified information at issue whenever that information previously has been made available to the defendant by the United States. When the United States has not previously made the information available to the defendant in connection with the case, the information may be described by generic category, in such forms as the court may approve, rather than by identification of the specific information of concern to the United States. (2) Whenever the United States requests a hearing under subsection (a), the court, upon request of the defendant, may order the United States to provide the defendant, prior to trial, such details as to the portion of the indictment or information at issue in the hearing as are needed to give the defendant fair notice to prepare for the hearing. (c) Alternative Procedure for Disclosure of Classified Information. - (1) Upon any determination by the court authorizing the disclosure of specific classified information under the procedures established by this section, the United States may move that, in lieu of the disclosure of such specific classified information, the court order - (A) the substitution for such classified information of a statement admitting relevant facts that the specific classified information would tend to prove; or (B) the substitution for such classified information of a summary of the specific classified information. The court shall grant such a motion of the United States if it finds that the statement or summary will provide the defendant with substantially the same ability to make his defense as would disclosure of the specific classified information. The court shall hold a hearing on any motion under this section. Any such hearing shall be held in camera at the request of the Attorney General. (2) The United States may, in connection with a motion under paragraph (1), submit to the court an affidavit of the Attorney General certifying that disclosure of classified information would cause identifiable damage to the national security of the United States and explaining the basis for the classification of such information. If so requested by the United States, the court shall examine such affidavit in camera and ex parte. (d) Sealing of Records of In Camera Hearings. - If at the close of an in camera hearing under this Act (or any portion of a hearing under this Act that is held in camera) the court determines that the classified information at issue may not be disclosed or elicited at the trial or pretrial proceeding, the record of such in camera hearing shall be sealed and preserved by the court for use in the event of an appeal. The defendant may seek reconsideration of the court's determination prior to or during trial. (e) Prohibition on Disclosure of Classified Information by Defendant, Relief for Defendant When United States Opposes Disclosure. - (1) Whenever the court denies a motion by the United States that it issue an order under subsection (c) and the United States files with the court an affidavit of the Attorney General objecting to disclosure of the classified information at issue, the court shall order that the defendant not disclose or cause the disclosure of such information. (2) Whenever a defendant is prevented by an order under paragraph (1) from disclosing or causing the disclosure of classified information, the court shall dismiss the indictment or information; except that, when the court determines that the interests of justice would not be served by dismissal of the indictment or information, the court shall order such other action, in lieu of dismissing the indictment or information, as the court determines is appropriate. Such action may include, but need not be limited to - (A) dismissing specified counts of the indictment or information; (B) finding against the United States on any issue as to which the excluded classified information relates; or (C) striking or precluding all or part of the testimony of a witness. An order under this paragraph shall not take effect until the court has afforded the United States an opportunity to appeal such order under section 7, and thereafter to withdraw its objection to the disclosure of the classified information at issue. (f) Reciprocity. - Whenever the court determines pursuant to subsection (a) that classified information may be disclosed in connection with a trial or pretrial proceeding, the court shall, unless the interests of fairness do not so require, order the United States to provide the defendant with the information it expects to use to rebut the classified information. The court may place the United States under a continuing duty to disclose such rebuttal information. If the United States fails to comply with its obligation under this subsection, the court may exclude any evidence not made the subject of a required disclosure and may prohibit the examination by the United States of any witness with respect to such information. -SOURCE- (Pub. L. 96-456, Sec. 6, Oct. 15, 1980, 94 Stat. 2026.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in subsec. (d), is Pub. L. 96-456, Oct. 15, 1980, 94 Stat. 2025, known as the 'Classified Information Procedures Act'. ------DocID 25061 Document 1303 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 7 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 7. Interlocutory appeal -STATUTE- (a) An interlocutory appeal by the United States taken before or after the defendant has been placed in jeopardy shall lie to a court of appeals from a decision or order of a district court in a criminal case authorizing the disclosure of classified information, imposing sanctions for nondisclosure of classified information, or refusing a protective order sought by the United States to prevent the disclosure of classified information. (b) An appeal taken pursuant to this section either before or during trial shall be expedited by the court of appeals. Prior to trial, an appeal shall be taken within ten days after the decision or order appealed from and the trial shall not commence until the appeal is resolved. If an appeal is taken during trial, the trial court shall adjourn the trial until the appeal is resolved and the court of appeals (1) shall hear argument on such appeal within four days of the adjournment of the trial, (2) may dispense with written briefs other than the supporting materials previously submitted to the trial court, (3) shall render its decision within four days of argument on appeal, and (4) may dispense with the issuance of a written opinion in rendering its decision. Such appeal and decision shall not affect the right of the defendant, in a subsequent appeal from a judgment of conviction, to claim as error reversal by the trial court on remand of a ruling appealed from during trial. -SOURCE- (Pub. L. 96-456, Sec. 7, Oct. 15, 1980, 94 Stat. 2028.) ------DocID 25062 Document 1304 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 8 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 8. Introduction of classified information -STATUTE- (a) Classification Status. - Writings, recordings, and photographs containing classified information may be admitted into evidence without change in their classification status. (b) Precautions by Court. - The court, in order to prevent unnecessary disclosure of classified information involved in any criminal proceeding, may order admission into evidence of only part of a writing, recording, or photograph, or may order admission into evidence of the whole writing, recording, or photograph with excision of some or all of the classified information contained therein, unless the whole ought in fairness be considered. (c) Taking of Testimony. - During the examination of a witness in any criminal proceeding, the United States may object to any question or line of inquiry that may require the witness to disclose classified information not previously found to be admissible. Following such an objection, the court shall take such suitable action to determine whether the response is admissible as will safeguard against the compromise of any classified information. Such action may include requiring the United States to provide the court with a proffer of the witness' response to the question or line of inquiry and requiring the defendant to provide the court with a proffer of the nature of the information he seeks to elicit. -SOURCE- (Pub. L. 96-456, Sec. 8, Oct. 15, 1980, 94 Stat. 2028.) ------DocID 25063 Document 1305 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 9 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 9. Security procedures -STATUTE- (a) Within one hundred and twenty days of the date of the enactment of this Act, the Chief Justice of the United States, in consultation with the Attorney General, the Director of Central Intelligence, and the Secretary of Defense, shall prescribe rules establishing procedures for the protection against unauthorized disclosure of any classified information in the custody of the United States district courts, courts of appeal, or Supreme Court. Such rules, and any changes in such rules, shall be submitted to the appropriate committees of Congress and shall become effective forty-five days after such submission. (b) Until such time as rules under subsection (a) first become effective, the Federal courts shall in each case involving classified information adapt procedures to protect against the unauthorized disclosure of such information. -SOURCE- (Pub. L. 96-456, Sec. 9, Oct. 15, 1980, 94 Stat. 2029.) -REFTEXT- REFERENCES IN TEXT The date of the enactment of this Act, referred to in subsec. (a), means Oct. 15, 1980. -MISC2- SECURITY PROCEDURES ESTABLISHED PURSUANT TO PUB. L. 96-456, 94 STAT. 2025, BY THE CHIEF JUSTICE OF THE UNITED STATES FOR THE PROTECTION OF CLASSIFIED INFORMATION 1. Purpose. The purpose of these procedures is to meet the requirements of Section 9(a) of the Classified Information Procedures Act of 1980, Pub. L. 96-456, 94 Stat. 2025, which in pertinent part provides that: '. . . (T)he Chief Justice of the United States, in consultation with the Attorney General, the Director of Central Intelligence, and the Secretary of Defense, shall prescribe rules establishing procedures for the protection against unauthorized disclosure of any classified information in the custody of the United States district courts, courts of appeal, or Supreme Court. . . .' These procedures apply in all proceedings in criminal cases involving classified information, and appeals therefrom, before the United States district courts, the courts of appeal and the Supreme Court. 2. Court Security Officer. In any proceeding in a criminal case or appeal therefrom in which classified information is within, or reasonably expected to be within, the custody of the court, the court shall designate a court security officer. The Attorney General or the Department of Justice Security Officer, with the concurrence of the head of the agency or agencies from which the classified information originates, or their representatives, shall recommend to the court persons qualified to serve as court security officer. The court security officer shall be selected from among those persons so recommended. The court security officer shall be an individual with demonstrated competence in security matters, and shall, prior to designation, have been certified to the court in writing by the Department of Justice Security Officer as cleared for the level and category of classified information that will be involved. The court security officer may be an employee of the Executive Branch of the Government detailed to the court for this purpose. One or more alternate court security officers, who have been recommended and cleared in the manner specified above, may be designated by the court as required. The court security officer shall be responsible to the court for document, physical, personnel and communications security, and shall take measures reasonably necessary to fulfill these responsibilities. The court security officer shall notify the court and the Department of Justice Security Officer of any actual, attempted, or potential violation of security procedures. 3. Secure Quarters. Any in camera proceeding - including a pretrial conference, motion hearing, or appellate hearing - concerning the use, relevance, or admissibility of classified information, shall be held in secure quarters recommended by the court security officer and approved by the court. The secure quarters shall be located within the Federal courthouse, unless it is determined that none of the quarters available in the courthouse meets, or can reasonably be made equivalent to, security requirements of the Executive Branch applicable to the level and category of classified information involved. In that event, the court shall designate the facilities of another United States Government agency, recommended by the court security officer, which is located within the vicinity of the courthouse, as the site of the proceedings. The court security officer shall make necessary arrangements to ensure that the applicable Executive Branch standards are met and shall conduct or arrange for such inspection of the quarters as may be necessary. The court security officer shall, in consultation with the United States Marshal, arrange for the installation of security devices and take such other measures as may be necessary to protect against any unauthorized access to classified information. All of the aforementioned activity shall be conducted in a manner which does not interfere with the orderly proceedings of the court. Prior to any hearing or other proceeding, the court security officer shall certify in writing to the court that the quarters are secure. 4. Personnel Security - Court Personnel. No person appointed by the court or designated for service therein shall be given access to any classified information in the custody of the court, unless such person has received a security clearance as provided herein and unless access to such information is necessary for the performance of an official function. A security clearance for justices and judges is not required, but such clearance shall be provided upon the request of any judicial officer who desires to be cleared. The court shall inform the court security officer or the attorney for the government of the names of court personnel who may require access to classified information. That person shall then notify the Department of Justice Security Officer, who shall promptly make arrangements to obtain any necessary security clearances and shall approve such clearances under standards of the Executive Branch applicable to the level and category of classified information involved. The Department of Justice Security Officer shall advise the court in writing when the necessary security clearances have been obtained. If security clearances cannot be obtained promptly, personnel in the Executive Branch having the necessary clearances may be temporarily assigned to assist the court. If a proceeding is required to be recorded and an official court reporter having the necessary security clearance is unavailable, the court may request the court security officer or the attorney for the government to have a cleared reporter from the Executive Branch designated to act as reporter in the proceedings. The reporter so designated shall take the oath of office as prescribed by 28 U.S.C. Sec. 753(a). Justices, judges and cleared court personnel shall not disclose classified information to anyone who does not have a security clearance and who does not require the information in the discharge of an official function. However, nothing contained in these procedures shall preclude a judge from discharging his official duties, including giving appropriate instructions to the jury. Any problem of security involving court personnel or persons acting for the court shall be referred to the court for appropriate action. 5. Persons Acting for the Defendant. The government may obtain information by any lawful means concerning the trustworthiness of persons associated with the defense and may bring such information to the attention of the court for the court's consideration in framing an appropriate protective order pursuant to Section 3 of the Act. 6. Jury. Nothing contained in these procedures shall be construed to require an investigation or security clearance of the members of the jury or interfere with the functions of a jury, including access to classified information introduced as evidence in the trial of a case. After a verdict has been rendered by a jury, the trial judge should consider a government request for a cautionary instruction to jurors regarding the release or disclosure of classified information contained in documents they have reviewed during the trial. 7. Custody and Storage of Classified Materials. a. Materials Covered. These security procedures apply to all papers, documents, motions, pleadings, briefs, notes, records of statements involving classified information, notes relating to classified information taken during in camera proceedings, orders, affidavits, transcripts, untranscribed notes of a court reporter, magnetic recordings, or any other submissions or records which contain classified information as the term is defined in Section 1(a) of the Act, and which are in the custody of the court. This includes, but is not limited to (1) any motion made in connection with a pretrial conference held pursuant to Section 2 of the Act, (2) written statements submitted by the United States pursuant to Section 4 of the Act, (3) any written statement or written notice submitted to the court by the defendant pursuant to Section 5(a) of the Act, (4) any petition or written motion made pursuant to Section 6 of the Act, (5) any description of, or reference to, classified information contained in papers filed in an appeal, pursuant to Section 7 of the Act and (6) any written statement provided by the United States or by the defendant pursuant to Section 8(c) of the Act. b. Safekeeping. Classified information submitted to the court shall be placed in the custody of the court security officer who shall be responsible for its safekeeping. When not in use, the court security officer shall store all classified materials in a safe or safe-type steel file container with built-in, dial-type, three position, changeable combinations which conform to the General Services Administration standards for security containers. Classified information shall be segregated from other information unrelated to the case at hand by securing it in a separate security container. If the court does not possess a storage container which meets the required standards, the necessary storage container or containers are to be supplied to the court on a temporary basis by the appropriate Executive Branch agency as determined by the Department of Justice Security Officer. Only the court security officer and alternate court security officer(s) shall have access to the combination and the contents of the container unless the court, after consultation with the security officer, determines that a cleared person other than the court security officer may also have access. For other than temporary storage (e.g., brief court recess), the court security officer shall insure that the storage area in which these containers shall be located meets Executive Branch standards applicable to the level and category of classified information involved. The secure storage area may be located within either the Federal courthouse or the facilities of another United States Government agency. (c) Transmittal of Classified Information. During the pendency of a trial or appeal, classified materials stored in the facilities of another United States Government agency shall be transmitted in the manner prescribed by the Executive Branch security regulations applicable to the level and category of classified information involved. A trust receipt shall accompany all classified materials transmitted and shall be signed by the recipient and returned to the court security officer. 8. Operating Routine. a. Access to Court Records. Court personnel shall have access to court records only as authorized. Access to classified information by court personnel shall be limited to the minimum number of cleared persons necessary for operating purposes. Access includes presence at an in camera hearing or any other proceeding during which classified information may be disclosed. Arrangements for access to classified information in the custody of the court by court personnel and persons acting for the defense shall be approved in advance by the court, which may issue a protective order concerning such access. Except as otherwise authorized by a protective order, persons acting for the defendant will not be given custody of classified information provided by the government. They may, at the discretion of the court, be afforded access to classified information provided by the government in secure quarters which have been approved in accordance with Sec. 3 of these procedures, but such classified information shall remain in the control of the court security officer. b. Telephone Security. Classified information shall not be discussed over standard commercial telephone instruments or office intercommunication systems. c. Disposal of Classified Material. The court security officer shall be responsible for the secure disposal of all classified materials which are not otherwise required to be retained. 9. Records Security. a. Classification Markings. The court security officer, after consultation with the attorney for the government, shall be responsible for the marking of all court documents containing classified information with the appropriate level of classification and for indicating thereon any special access controls that also appear on the face of the document from which the classified information was obtained or that are otherwise applicable. Every document filed by the defendant in the case shall be filed under seal and promptly turned over to the court security officer. The court security officer shall promptly examine the document and, in consultation with the attorney for the government or representative of the appropriate agency, determine whether it contains classified information. If it is determined that the document does contain classified information, the court security officer shall ensure that it is marked with the appropriate classification marking. If it is determined that the document does not contain classified information, it shall be unsealed and placed in the public record. Upon the request of the government, the court may direct that any document containing classified information shall thereafter be protected in accordance with Sec. 7 of these procedures. b. Accountability System. The court security officer shall be responsible for the establishment and maintenance of a control and accountability system for all classified information received by or transmitted from the court. 10. Transmittal of the Record on Appeal. The record on appeal, or any portion thereof, which contains classified information shall be transmitted to the court of appeals or to the Supreme Court in the manner specified in Sec. 7(c) of these procedures. 11. Final Disposition. Within a reasonable time after all proceedings in the case have been concluded, including appeals, the court shall release to the court security officer all materials containing classified information. The court security officer shall then transmit them to the Department of Justice Security Officer who shall consult with the originating agency to determine the appropriate disposition of such materials. Upon the motion of the government, the court may order the return of the classified documents and materials to the department or agency which originated them. The materials shall be transmitted in the manner specified in Sec. 7(c) of these procedures and shall be accompanied by the appropriate accountability records required by Sec. 9(b) of these procedures. 12. Expenses. Expenses of the United States Government which arise in connection with the implementation of these procedures shall be borne by the Department of Justice or other appropriate Executive Branch agency. 13. Interpretation. Any question concerning the interpretation of any security requirement contained in these procedures shall be resolved by the court in consultation with the Department of Justice Security Officer and the appropriate Executive Branch agency security officer. 14. Term. These procedures shall remain in effect until modified in writing by The Chief Justice after consultation with the Attorney General of the United States, the Director of Central Intelligence, and the Secretary of Defense. 15. Effective Date. These procedures shall become effective forty-five days after the date of submission to the appropriate Congressional Committees, as required by the Act. Issued this 12th day of February, 1981, after taking into account the views of the Attorney General of the United States, the Director of Central Intelligence, and the Secretary of Defense, as required by law. Warren E. Burger Chief Justice of the United States ------DocID 25064 Document 1306 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 10 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 10. Identification of information related to the national defense -STATUTE- In any prosecution in which the United States must establish that material relates to the national defense or constitutes classified information, the United States shall notify the defendant, within the time before trial specified by the court, of the portions of the material that it reasonably expects to rely upon to establish the national defense or classified information element of the offense. -SOURCE- (Pub. L. 96-456, Sec. 10, Oct. 15, 1980, 94 Stat. 2029.) ------DocID 25065 Document 1307 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 11 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 11. Amendments to the Act -STATUTE- Sections 1 through 10 of this Act may be amended as provided in section 2076, title 28, United States Code. -SOURCE- (Pub. L. 96-456, Sec. 11, Oct. 15, 1980, 94 Stat. 2029.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in catchline, is Pub. L. 96-456, Oct. 15, 1980, 94 Stat. 2025, known as the 'Classified Information Procedures Act'. ------DocID 25066 Document 1308 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 12 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 12. Attorney General guidelines -STATUTE- (a) Within one hundred and eighty days of enactment of this Act, the Attorney General shall issue guidelines specifying the factors to be used by the Department of Justice in rendering a decision whether to prosecute a violation of Federal law in which, in the judgment of the Attorney General, there is a possibility that classified information will be revealed. Such guidelines shall be transmitted to the appropriate committees of Congress. (b) When the Department of Justice decides not to prosecute a violation of Federal law pursuant to subsection (a), an appropriate official of the Department of Justice shall prepare written findings detailing the reasons for the decision not to prosecute. The findings shall include - (1) the intelligence information which the Department of Justice officials believe might be disclosed, (2) the purpose for which the information might be disclosed, (3) the probability that the information would be disclosed, and (4) the possible consequences such disclosure would have on the national security. -SOURCE- (Pub. L. 96-456, Sec. 12, Oct. 15, 1980, 94 Stat. 2029.) -REFTEXT- REFERENCES IN TEXT The enactment of this Act, referred to in subsec. (a), means Oct. 15, 1980. ------DocID 25067 Document 1309 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 13 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 13. Reports to Congress -STATUTE- (a) Consistent with applicable authorities and duties, including those conferred by the Constitution upon the executive and legislative branches, the Attorney General shall report orally or in writing semiannually to the Permanent Select Committee on Intelligence of the United States House of Representatives, the Select Committee on Intelligence of the United States Senate, and the chairmen and ranking minority members of the Committees on the Judiciary of the Senate and House of Representatives on all cases where a decision not to prosecute a violation of Federal law pursuant to section 12(a) has been made. (b) The Attorney General shall deliver to the appropriate committees of Congress a report concerning the operation and effectiveness of this Act and including suggested amendments to this Act. For the first three years this Act is in effect, there shall be a report each year. After three years, such reports shall be delivered as necessary. -SOURCE- (Pub. L. 96-456, Sec. 13, Oct. 15, 1980, 94 Stat. 2030.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in subsec. (b), is Pub. L. 96-456, Oct. 15, 1980, 94 Stat. 2025, known as the 'Classified Information Procedures Act'. ------DocID 25068 Document 1310 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 14 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 14. Functions of Attorney General may be exercised by Deputy Attorney General, the Associate Attorney General, or a designated Assistant Attorney General -STATUTE- The functions and duties of the Attorney General under this Act may be exercised by the Deputy Attorney General, the Associate Attorney General, or by an Assistant Attorney General designated by the Attorney General for such purpose and may not be delegated to any other official. -SOURCE- (Pub. L. 96-456, Sec. 14, Oct. 15, 1980, 94 Stat. 2030; Pub. L. 100-690, title VII, Sec. 7020(g), Nov. 18, 1988, 102 Stat. 4396.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in text, is Pub. L. 96-456, Oct. 15, 1980, 94 Stat. 2025, known as the 'Classified Information Procedures Act'. -MISC2- AMENDMENTS 1988 - Pub. L. 100-690 inserted ', the Associate Attorney General,' after 'Deputy Attorney General'. ------DocID 25069 Document 1311 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 15 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 15. Effective date -STATUTE- The provisions of this Act shall become effective upon the date of the enactment of this Act, but shall not apply to any prosecution in which an indictment or information was filed before such date. -SOURCE- (Pub. L. 96-456, Sec. 15, Oct. 15, 1980, 94 Stat. 2030.) -REFTEXT- REFERENCES IN TEXT This Act, referred to in text, is Pub. L. 96-456, Oct. 15, 1980, 94 Stat. 2025, known as the 'Classified Information Procedures Act'. The date of the enactment of this Act, referred to in text, means Oct. 15, 1980. ------DocID 25070 Document 1312 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT Sec. 16 -EXPCITE- TITLE 18 CLASSIFIED INFORMATION PROCEDURES ACT -HEAD- Sec. 16. Short title -STATUTE- That this Act may be cited as the 'Classified Information Procedures Act'. -SOURCE- (Pub. L. 96-456, Sec. 16, Oct. 15, 1980, 94 Stat. 2031.) ------DocID 25071 Document 1313 of 1438------ -CITE- 18 USC APPENDIX - CLASSIFIED INFORMATION PROCEDURES ACT FEDERAL RULES OF EVIDENCE -EXPCITE- TITLE 18 FEDERAL RULES OF EVIDENCE -HEAD- FEDERAL RULES OF EVIDENCE -MISC1- The text of the Federal Rules of Evidence enacted into law by Pub. L. 93-595, Sec. 1, Jan. 2, 1975, 88 Stat. 1929, is set out in the Appendix to Title 28, Judiciary and Judicial Procedure. Rule 1101(b) of the Rules of Evidence provides that the rules apply generally to civil actions and proceedings, including admiralty and maritime cases, to criminal cases and proceedings, to contempt proceedings except those in which the court may act summarily, and to proceedings and cases under the Bankruptcy Act. ------DocID 25072 Document 1314 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS -HEAD- RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS -MISC1- (AS AMENDED TO JANUARY 2, 1991) HISTORICAL NOTE The original Rules of Criminal Procedure for the District Courts were adopted by order of the Supreme Court on Dec. 26, 1944, transmitted to Congress by the Attorney General on Jan. 3, 1945, and became effective on Mar. 21, 1946. The Rules have been amended Dec. 27, 1948, eff. Jan. 1, 1949; Dec. 27, 1948, eff. Oct. 20, 1949; Apr. 12, 1954, eff. July 1, 1954; Apr. 9, 1956, eff. July 8, 1956; Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 1968; Mar. 1, 1971, eff. July 1, 1971; Apr. 24, 1972, eff. Oct. 1, 1972; Nov. 20, 1972, eff. July 1, 1975, pursuant to Pub. L. 93-595; Mar. 18, 1974, eff. July 1, 1974; Apr. 22, 1974, eff. in part Aug. 1, 1975, and Dec. 1, 1975, pursuant to Pub. L. 93-361 and Pub. L. 94-64; Dec. 12, 1975, Pub. L. 94-149, Sec. 5, 89 Stat. 806; Apr. 26, 1976, eff. in part Aug. 1, 1976, and Oct. 1, 1977, pursuant to Pub. L. 94-349 and Pub. L. 95-78; Apr. 30, 1979, eff. in part Aug. 1, 1979, and Dec. 1, 1980, pursuant to Pub. L. 96-42; Apr. 28, 1982, eff. Aug. 1, 1982; Oct. 12, 1982, Pub. L. 97-291, Sec. 3, 96 Stat. 1249; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 209, 215, 404, 98 Stat. 1986, 2014, 2067; Pub. L. 98-596, Sec. 11(a), (b), Oct. 30, 1984, 98 Stat. 3138; Apr. 29, 1985, eff. Aug. 1, 1985; Oct. 27, 1986, Pub. L. 99-570, title I, Sec. 1009(a), 100 Stat. 3207-8; Nov. 10, 1986, Pub. L. 99-646, Sec. 12(b), 24, 25(a), 54(a), 100 Stat. 3594, 3597, 3607; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1988, eff. Aug. 1, 1988; Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6483, title VII, Sec. 7076, 7089(c), 102 Stat. 4382, 4406, 4409; Apr. 25, 1989, eff. Dec. 1, 1989; May 1, 1990, eff. Dec. 1, 1990. I. SCOPE, PURPOSE, AND CONSTRUCTION Rule 1. Scope. 2. Purpose and Construction. II. PRELIMINARY PROCEEDINGS 3. The Complaint. 4. Arrest Warrant or Summons Upon Complaint. (a) Issuance. (b) Probable Cause. (c) Form. (1) Warrant. (2) Summons. (d) Execution or Service; and Return. (1) By Whom. (2) Territorial Limits. (3) Manner. (4) Return. 5. Initial Appearance Before the Magistrate. (a) In General. (b) Misdemeanors and Other Petty Offenses. (c) Offenses Not Triable by the United States Magistrate. 5.1. Preliminary Examination. (a) Probable Cause Finding. (b) Discharge of Defendant. (c) Records. III. INDICTMENT AND INFORMATION 6. The Grand Jury. (a) Summoning Grand Juries (1) Generally. (2) Alternate Jurors. (b) Objections to Grand Jury and to Grand Jurors. (1) Challenges. (2) Motion To Dismiss. (c) Foreperson and Deputy Foreperson. (d) Who May Be Present. (e) Recording and Disclosure of Proceedings. (1) Recording of Proceedings. (2) General Rule of Secrecy. (3) Exceptions. (4) Sealed Indictments. (5) Closed Hearing. (6) Sealed Records. (f) Finding and Return of Indictment. (g) Discharge and Excuse. 7. The Indictment and the Information. (a) Use of Indictment or Information. (b) Waiver of Indictment. (c) Nature and Contents. (1) In General. (2) Criminal Forfeiture. (3) Harmless Error. (d) Surplusage. (e) Amendment of Information. (f) Bill of Particulars. 8. Joinder of Offenses and of Defendants. (a) Joinder of Offenses. (b) Joinder of Defendants. 9. Warrant or Summons Upon Indictment or Information. (a) Issuance. (b) Form. (1) Warrant. (2) Summons. (c) Execution or Service; and Return. (1) Execution or Service. (2) Return. (d) Abrogated. IV. ARRAIGNMENT, AND PREPARATION FOR TRIAL 10. Arraignment. 11. Pleas. (a) Alternatives. (1) In General. (2) Conditional Pleas. (b) Nolo Contendere. (c) Advice to Defendant. (d) Insuring That the Plea Is Voluntary. (e) Plea Agreement Procedure. (1) In General. (2) Notice of Such Agreement. (3) Acceptance of a Plea Agreement. (4) Rejection of a Plea Agreement. (5) Time of Plea Agreement Procedure. (6) Inadmissibility of Pleas, Plea Discussions, and Related Statements. (f) Determining Accuracy of Plea. (g) Record of Proceedings. (h) Harmless Error. 12. Pleadings and Motions Before Trial; Defenses and Objections. (a) Pleadings and Motions. (b) Pretrial Motions. (c) Motion Date. (d) Notice by the Government of the Intention To Use Evidence. (1) At the Discretion of the Government. (2) At the Request of the Defendant. (e) Ruling on Motion. (f) Effect of Failure To Raise Defenses or Objections. (g) Records. (h) Effect of Determination. (i) Production of Statements at Suppression Hearing. 12.1. Notice of Alibi. (a) Notice by Defendant. (b) Disclosure of Information and Witness. (c) Continuing Duty To Disclose. (d) Failure To Comply. (e) Exceptions. (f) Inadmissibility of Withdrawn Alibi. 12.2. Notice of Insanity Defense or Expert Testimony of Defendant's Mental Condition. (a) Defense of Insanity. (b) Expert Testimony of Defendant's Mental Condition. (c) Mental Examination of Defendant. (d) Failure To Comply. (e) Inadmissibility of Withdrawn Intention. 12.3 Notice of Defense Based Upon Public Authority. (a) Notice by Defendant; Government Response; Disclosure of Witnesses. (1) Defendant's Notice and Government's Response. (2) Disclosure of Witnesses. (3) Additional Time. (b) Continuing Duty to Disclose. (c) Failure to Comply. (d) Protective Procedures Unaffected. (e) Inadmissibility of Withdrawn Defense Based Upon Public Authority. 13. Trial Together of Indictments or Informations. 14. Relief From Prejudicial Joinder. 15. Depositions. (a) When Taken. (b) Notice of Taking. (c) Payment of Expenses. (d) How Taken. (e) Use. (f) Objections to Deposition Testimony. (g) Deposition by Agreement Not Precluded. 16. Discovery and Inspection. (a) Disclosure of Evidence by the Government. (1) Information Subject to Disclosure. (A) Statement of Defendant. (B) Defendant's Prior Record. (C) Documents and Tangible Objects. (D) Reports of Examinations and Tests. (2) Information Not Subject to Disclosure. (3) Grand Jury Transcripts. (4) Deleted. (b) Disclosure of Evidence by the Defendant. (1) Information Subject to Disclosure. (A) Documents and Tangible Objects. (B) Reports of Examinations and Tests. (2) Information Not Subject to Disclosure. (3) Deleted. (c) Continuing Duty To Disclose. (d) Regulation of Discovery. (1) Protective and Modifying Orders. (2) Failure To Comply With a Request. (e) Alibi Witnesses. 17. Subpoena. (a) For Attendance of Witnesses; Form; Issuance. (b) Defendants Unable to Pay. (c) For Production of Documentary Evidence and of Objects. (d) Service. (e) Place of Service. (1) In United States. (2) Abroad. (f) For Taking Deposition; Place of Examination. (1) Issuance. (2) Place. (g) Contempt. (h) Information Not Subject to Subpoena. 17.1. Pretrial Conference. V. VENUE 18. Place of Prosecution and Trial. 19. Rescinded. 20. Transfer from the District for Plea and Sentence. (a) Indictment or Information Pending. (b) Indictment or Information Not Pending. (c) Effect of Not Guilty Plea. (d) Juveniles. 21. Transfer from the District for Trial. (a) For Prejudice in the District. (b) Transfer in Other Cases. (c) Proceedings on Transfer. 22. Time of Motion To Transfer. VI. TRIAL 23. Trial by Jury or by the Court. (a) Trial by Jury. (b) Jury of Less Than Twelve. (c) Trial Without a Jury. 24. Trial Jurors. (a) Examination. (b) Peremptory Challenges. (c) Alternate Jurors. 25. Judge; Disability. (a) During Trial. (b) After Verdict or Finding of Guilt. 26. Taking of Testimony. 26.1. Determination of Foreign Law. 26.2. Production of Statements of Witnesses. (a) Motion for Production. (b) Production of Entire Statement. (c) Production of Excised Statement. (d) Recess for Examination of Statement. (e) Sanction for Failure to Produce Statement. (f) Definition. 27. Proof of Official Record. 28. Interpreters. 29. Motion for Judgment of Acquittal. (a) Motion Before Submission to Jury. (b) Reservation of Decision on Motion. (c) Motion After Discharge of Jury. (d) Same: Conditional Ruling on Grant of Motion. 29.1. Closing Argument. 30. Instructions. 31. Verdict. (a) Return. (b) Several Defendants. (c) Conviction of Less Offense. (d) Poll of Jury. (e) Criminal Forfeiture. VII. JUDGMENT 32. Sentence and Judgment. (a) Sentence. (1) Imposition of Sentence. (2) Notification of Right To Appeal. (b) Judgment. (1) In General. (2) Criminal Forfeiture. (c) Presentence Investigation. (1) When Made. (2) Report. (3) Disclosure. (d) Plea Withdrawal. (e) Probation. (f) Abrogated. 32.1. Revocation or Modification of Probation or Supervised Release. (a) Revocation of Probation or Supervised Release. (1) Preliminary Hearing. (2) Revocation Hearing. (b) Modification of Probation or Supervised Release. 33. New Trial. 34. Arrest of Judgment. 35. Correction of Sentence. (a) Correction of a Sentence on Remand. (b) Correction of a Sentence for Changed Circumstances. 36. Clerical Mistakes. VIII. APPEAL (ABROGATED) 37. Abrogated. 38. Stay of Execution, and Relief Pending Review. (a) Death. (b) Imprisonment. (c) Fine. (d) Probation. (e) Criminal Forfeiture, Notice to Victims, and Restitution. (f) Disabilities. 39. Abrogated. IX. SUPPLEMENTARY AND SPECIAL PROCEEDINGS 40. Commitment to Another District. (a) Appearance Before Federal Magistrate. (b) Statement by Federal Magistrate. (c) Papers. (d) Arrest of Probationer or Supervised Releasee. (e) Arrest for Failure To Appear. (f) Release or Detention. 41. Search and Seizure. (a) Authority To Issue Warrant. (b) Property or Persons Which May Be Seized With a Warrant. (c) Issuance and Contents. (1) Warrant Upon Affidavit. (2) Warrant Upon Oral Testimony. (A) General Rule. (B) Application. (C) Issuance. (D) Recording and Certification of Testimony. (E) Contents. (F) Additional Rule for Execution. (G) Motion To Suppress Precluded. (d) Execution and Return With Inventory. (e) Motion for Return of Property. (f) Motion To Suppress. (g) Return of Papers to Clerk. (h) Scope and Definition. 42. Criminal Contempt. (a) Summary Disposition. (b) Disposition Upon Notice and Hearing. X. GENERAL PROVISIONS 43. Presence of the Defendant. (a) Presence Required. (b) Continued Presence Not Required. (c) Presence Not Required. 44. Right to and Assignment of Counsel. (a) Right to Assigned Counsel. (b) Assignment Procedure. (c) Joint Representation. 45. Time. (a) Computation. (b) Enlargement. (c) Rescinded. (d) For Motions; Affidavits. (e) Additional Time After Service by Mail. 46. Release From Custody. (a) Release Prior to Trial. (b) Release During Trial. (c) Pending Sentence and Notice of Appeal. (d) Justification of Sureties. (e) Forfeiture. (1) Declaration. (2) Setting aside. (3) Enforcement. (4) Remission. (f) Exoneration. (g) Supervision of Detention Pending Trial. (h) Forfeiture of Property. 47. Motions. 48. Dismissal. (a) By Attorney for Government. (b) By Court. 49. Service and Filing of Papers. (a) Service: When Required. (b) Service: How Made. (c) Notice of Orders. (d) Filing. (e) Filing of Dangerous Offender Notice. 50. Calendars; Plans for Prompt Disposition. (a) Calendars. (b) Plans for Achieving Prompt Disposition of Criminal Cases. 51. Exceptions Unnecessary. 52. Harmless Error and Plain Error. (a) Harmless Error. (b) Plain Error. 53. Regulation of Conduct in the Court Room. 54. Application and Exception. (a) Courts. (b) Proceedings. (1) Removed Proceedings. (2) Offenses Outside a District or State. (3) Peace Bonds. (4) Proceedings Before United States Magistrates. (5) Other Proceedings. (c) Application of Terms. 55. Records. 56. Courts and Clerks. 57. Rules by District Courts. 58. Procedure for Misdemeanors and Other Petty Offenses. (a) Scope. (1) In General. (2) Applicability of Other Federal Rules of Criminal Procedure. (3) Definition. (b) Pretrial Procedures. (1) Trial Document. (2) Initial Appearance. (3) Consent and Arraignment. (A) Trial Before a Magistrate. (B) Failure to Consent. (c) Additional Procedures Applicable Only to Petty Offenses for Which No Sentence of Imprisonment Will Be Imposed. (1) Plea of Guilty or Nolo Contendere. (2) Waiver of Venue for Plea and Sentence. (3) Sentence. (4) Notification of Right to Appeal. (d) Securing the Defendant's Appearance; Payment in Lieu of Appearance. (1) Forfeiture of Collateral. (2) Notice To Appear. (3) Summons or Warrant. (e) Record. (f) New Trial. (g) Appeal. (1) Decision, Order, Judgment or Sentence by a District Judge. (2) Decision, Order, Judgment or Sentence by a Magistrate. (A) Interlocutory Appeal. (B) Appeal From Conviction or Sentence. (C) Record. (D) Scope of Appeal. (3) Stay of Execution; Release Pending Appeal. 59. Effective Date. 60. Title. APPENDIX OF FORMS (ABROGATED) ------DocID 25073 Document 1315 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE I -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS I -HEAD- I. SCOPE, PURPOSE, AND CONSTRUCTION ------DocID 25074 Document 1316 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS I -HEAD- Rule 1. Scope -STATUTE- These rules govern the procedure in all criminal proceedings in the courts of the United States, as provided in Rule 54(a); and, whenever specifically provided in one of the rules, to preliminary, supplementary, and special proceedings before United States magistrates and at proceedings before state and local judicial officers. -SOURCE- (As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 28, 1982, eff. Aug. 1, 1982.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. These rules are prescribed under the authority of two acts of Congress, namely: the Act of June 29, 1940, c. 445, 18 U.S.C. 687 (see 3771) (Proceedings in criminal cases prior to and including verdict; power of Supreme Court to prescribe rules), and the Act of November 21, 1941, c. 492, 18 U.S.C. 689 (see 3771, 3772) (Proceedings to punish for criminal contempt of court; application to sections 687 and 688). 2. The courts of the United States covered by the rules are enumerated in Rule 54(a). In addition to Federal courts in the continental United States they include district courts in Alaska, Hawaii, Puerto Rico and the Virgin Islands. In the Canal Zone only the rules governing proceedings after verdict, finding or plea of guilty are applicable. 3. While the rules apply to proceedings before commissioners when acting as committing magistrates, they do not govern when a commissioner acts as a trial magistrate for the trial of petty offenses committed on Federal reservations. That procedure is governed by rules adopted by order promulgated by the Supreme Court on January 6, 1941 (311 U.S. 733), pursuant to the Act of October 9, 1940, c. 785, secs. 1-5. See 18 U.S.C. 576-576d (now 3401, 3402) (relating to trial of petty offenses on Federal reservations by United States commissioners). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT The rule is amended to make clear that the rules are applicable to courts of the United States and, where the rule so provides, to proceedings before United States magistrates and state or local judicial officers. Primarily these rules are intended to govern proceedings in criminal cases triable in the United States District Court. Special rules have been promulgated, pursuant to the authority set forth in 28 U.S.C. Sec. 636(c), for the trial of 'minor offenses' before United States magistrates. (See Rules of Procedure for the Trial of Minor Offenses Before United States Magistrates (January 27, 1971).) However, there is inevitably some overlap between the two sets of rules. The Rules of Criminal Procedure for the United States District Courts deal with preliminary, supplementary, and special proceedings which will often be conducted before United States magistrates. This is true, for example, with regard to rule 3 - The Complaint; rule 4 - Arrest Warrant or Summons Upon Complaint; rule 5 - Initial Appearance Before the Magistrate; and rule 5.1 - Preliminary Examination. It is also true, for example, of supplementary and special proceedings such as rule 40 - Commitment to Another District, Removal; rule 41 - Search and Seizure; and rule 46 - Release from Custody. Other of these rules, where applicable, also apply to proceedings before United States magistrates. See Rules of Procedure for the Trial of Minor Offenses Before United States Magistrates, rule 1 - Scope: These rules govern the procedure and practice for the trial of minor offenses (including petty offenses) before United States magistrates under Title 18, U.S.C. Sec. 3401, and for appeals in such cases to judges of the district courts. To the extent that pretrial and trial procedure and practice are not specifically covered by these rules, the Federal Rules of Criminal Procedure apply as to minor offenses other than petty offenses. All other proceedings in criminal matters, other than petty offenses, before United States magistrates are governed by the Federal Rules of Criminal Procedure. State and local judicial officers are governed by these rules, but only when the rule specifically so provides. This is the case of rule 3 - The Complaint; rule 4 - Arrest Warrant or Summons Upon Complaint; and rule 5 - Initial Appearance Before the Magistrate. These rules confer authority upon the 'magistrate,' a term which is defined in new rule 54 as follows: 'Magistrate' includes a United States magistrate as defined in 28 U.S.C. Sec. 631-639, a judge of the United States, another judge or judicial officer specifically empowered by statute in force in any territory or possession, the commonwealth of Puerto Rico, or the District of Columbia, to perform a function to which a particular rule relates, and a state or local judicial officer, authorized by 18 U.S.C. Sec. 3041 to perform the functions prescribed in rules 3, 4, and 5. Rule 41 provides that a search warrant may be issued by 'a judge of a state court of record' and thus confers that authority upon appropriate state judicial officers. The scope of rules 1 and 54 is discussed in C. Wright, Federal Practice and Procedure: Criminal Sec. 21, 871-874 (1969, Supp. 1971), and 8 and 8A J. Moore, Federal Practice chapters 1 and 54 (2d ed. Cipes 1970, Supp. 1971). NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT The amendment corrects an erroneous cross reference, from Rule 54(c) to Rule 54(a), and replaces the word 'defined' with the more appropriate word 'provided.' -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Power of Supreme Court to prescribe rules of procedure and evidence, see section 2072 of Title 28, Judiciary and Judicial Procedure. ------DocID 25075 Document 1317 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 2 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS I -HEAD- Rule 2. Purpose and Construction -STATUTE- These rules are intended to provide for the just determination of every criminal proceeding. They shall be construed to secure simplicity in procedure, fairness in administration and the elimination of unjustifiable expense and delay. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Compare Federal Rules of Civil Procedure (28 U.S.C., Appendix), Rule 1 (Scope of Rules), last sentence: 'They (the Federal Rules of Civil Procedure) shall be construed to secure the just, speedy, and inexpensive determination of every action.' ------DocID 25076 Document 1318 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE II -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS II -HEAD- II. PRELIMINARY PROCEEDINGS ------DocID 25077 Document 1319 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 3 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS II -HEAD- Rule 3. The Complaint -STATUTE- The complaint is a written statement of the essential facts constituting the offense charged. It shall be made upon oath before a magistrate. -SOURCE- (As amended Apr. 24, 1972, eff. Oct. 1, 1972.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The rule generally states existing law and practice, 18 U.S.C. 591 (now 3041) (Arrest and removal for trial); United States v. Simon (E.D.Pa.), 248 F. 980; United States v. Maresca (S.D.N.Y.), 266 F. 713, 719-721. It eliminates, however, the requirement of conformity to State law as to the form and sufficiency of the complaint. See, also, rule 57(b). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT The amendment deletes the reference to 'commissioner or other officer empowered to commit persons charged with offenses against the United States' and substitute therefor 'magistrate.' The change is editorial in nature to conform the language of the rule to the recently enacted Federal Magistrates Act. The term 'magistrate' is defined in rule 54. -CROSS- CROSS REFERENCES Arrest without warrant, filing of complaint on bringing arrested person before magistrate, see rule 5. Copy of complaint, issuance of warrant of removal, see rule 40. Dismissal of complaint, by Attorney General or United States attorney, see rule 48. Extradition of fugitives from foreign country, complaint on oath, see section 3184 of this title. Internal revenue law violations, see section 3045 of this title. Warrant for arrest - Description of offense charged in complaint, see rule 4. Issued upon complaint, see rule 5. Warrant of removal, issuance on copy of complaint, see rule 40. ------DocID 25078 Document 1320 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 4 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS II -HEAD- Rule 4. Arrest Warrant or Summons Upon Complaint -STATUTE- (a) Issuance. If it appears from the complaint, or from an affidavit or affidavits filed with the complaint, that there is probable cause to believe that an offense has been committed and that the defendant has committed it, a warrant for the arrest of the defendant shall issue to any officer authorized by law to execute it. Upon the request of the attorney for the government a summons instead of a warrant shall issue. More than one warrant or summons may issue on the same complaint. If a defendant fails to appear in response to the summons, a warrant shall issue. (b) Probable Cause. The finding of probable cause may be based upon hearsay evidence in whole or in part. (c) Form. (1) Warrant. The warrant shall be signed by the magistrate and shall contain the name of the defendant or, if the defendant's name is unknown, any name or description by which the defendant can be identified with reasonable certainty. It shall describe the offense charged in the complaint. It shall command that the defendant be arrested and brought before the nearest available magistrate. (2) Summons. The summons shall be in the same form as the warrant except that it shall summon the defendant to appear before a magistrate at a stated time and place. (d) Execution or Service; and Return. (1) By Whom. The warrant shall be executed by a marshal or by some other officer authorized by law. The summons may be served by any person authorized to serve a summons in a civil action. (2) Territorial Limits. The warrant may be executed or the summons may be served at any place within the jurisdiction of the United States. (3) Manner. The warrant shall be executed by the arrest of the defendant. The officer need not have the warrant at the time of the arrest but upon request shall show the warrant to the defendant as soon as possible. If the officer does not have the warrant at the time of the arrest, the officer shall then inform the defendant of the offense charged and of the fact that a warrant has been issued. The summons shall be served upon a defendant by delivering a copy to the defendant personally, or by leaving it at the defendant's dwelling house or usual place of abode with some person of suitable age and discretion then residing therein and by mailing a copy of the summons to the defendant's last known address. (4) Return. The officer executing a warrant shall make return thereof to the magistrate or other officer before whom the defendant is brought pursuant to Rule 5. At the request of the attorney for the government any unexecuted warrant shall be returned to and canceled by the magistrate by whom it was issued. On or before the return day the person to whom a summons was delivered for service shall make return thereof to the magistrate before whom the summons is returnable. At the request of the attorney for the government made at any time while the complaint is pending, a warrant returned unexecuted and not canceled or a summons returned unserved or a duplicate thereof may be delivered by the magistrate to the marshal or other authorized person for execution or service. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(1)-(3), 89 Stat. 370; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. The rule states the existing law relating to warrants issued by commissioner or other magistrate. United States Constitution, Amendment IV; 18 U.S.C. 591 (now 3041) (Arrest and removal for trial). 2. The provision for summons is new, although a summons has been customarily used against corporate defendants, 28 U.S.C. 377 (now 1651) (Power to issue writs); United States v. John Kelso Co., 86 F. 304 (N.D.Cal., 1898). See also, Albrecht v. United States, 273 U.S. 1, 8 (1927). The use of the summons in criminal cases is sanctioned by many States, among them Indiana, Maryland, Massachusetts, New York, New Jersey, Ohio, and others. See A.L.I. Code of Criminal Procedure (1931), Commentaries to secs. 12, 13, and 14. The use of the summons is permitted in England by 11 & 12 Vict., c. 42, sec. 1 (1848). More general use of a summons in place of a warrant was recommended by the National Commission on Law Observance and Enforcement, Report on Criminal Procedure (1931) 47. The Uniform Arrest Act, proposed by the Interstate Commission on Crime, provides for a summons. Warner, 28 Va.L.R. 315. See also, Medalie, 4 Lawyers Guild, R. 1, 6. 3. The provision for the issuance of additional warrants on the same complaint embodies the practice heretofore followed in some districts. It is desirable from a practical standpoint, since when a complaint names several defendants, it may be preferable to issue a separate warrant as to each in order to facilitate service and return, especially if the defendants are apprehended at different times and places. Berge, 42 Mich.L.R. 353, 356. 4. Failure to respond to a summons is not a contempt of court, but is ground for issuing a warrant. Note to Subdivision (b). Compare Rule 9(b) and forms of warrant and summons, Appendix of Forms. Note to Subdivision (c)(2). This rule and Rule 9(c)(1) modify the existing practice under which a warrant may be served only within the district in which it is issued. Mitchell v. Dexter, 244 F. 926 (C.C.A. 1st, 1917); Palmer v. Thompson, 20 App. D.C. 273 (1902); but see In re Christian, 82 F. 885 (C.C.W.D.Ark., 1897); 2 Op.Atty.Gen. 564. When a defendant is apprehended in a district other than that in which the prosecution has been instituted, this change will eliminate some of the steps that are at present followed: the issuance of a warrant in the district where the prosecution is pending; the return of the warrant non est inventus; the filing of a complaint on the basis of the warrant and its return in the district in which the defendant is found; and the issuance of another warrant in the latter district. The warrant originally issued will have efficacy throughout the United States and will constitute authority for arresting the defendant wherever found. Waite, 27 Jour. of Am. Judicature Soc. 101, 103. The change will not modify or affect the rights of the defendant as to removal. See Rule 40. The authority of the marshal to serve process is not limited to the district for which he is appointed, 28 U.S.C. 503 (now 569). Note to Subdivision (c)(3). 1. The provision that the arresting officer need not have the warrant in his possession at the time of the arrest is rendered necessary by the fact that a fugitive may be discovered and apprehended by any one of many officers. It is obviously impossible for a warrant to be in the possession of every officer who is searching for a fugitive or who unexpectedly might find himself in a position to apprehend the fugitive. The rule sets forth the customary practice in such matters, which has the sanction of the courts. 'It would be a strong proposition in an ordinary felony case to say that a fugitive from justice for whom a capias or warrant was outstanding could not be apprehended until the apprehending officer had physical possession of the capias or the warrant. If such were the law, criminals could circulate freely from one end of the land to the other, because they could always keep ahead of an officer with the warrant.' In re Kosopud (N.D. Ohio), 272 F. 330, 336. Waite, 27 Jour. of Am. Judicature Soc. 101, 103. The rule, however, safeguards the defendant's rights in such case. 2. Service of summons under the rule is substantially the same as in civil actions under Federal Rules of Civil Procedure, Rule 4(d)(1) (28 U.S.C., Appendix). Note to Subdivision (c)(4). Return of a warrant or summons to the commissioner or other officer is provided by 18 U.S.C. 603 (now 4084) (Writs; copy as jailer's authority). The return of all 'copies of process' by the commissioner to the clerk of the court is provided by 18 U.S.C. 591 (now 3041); and see Rule 5(c), infra. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT In Giordenello v. United States, 357 U.S. 480 (1958) it was held that to support the issuance of a warrant the complaint must contain in addition to a statement 'of the essential facts constituting the offense' (Rule 3) a statement of the facts relied upon by the complainant to establish probable cause. The amendment permits the complainant to state the facts constituting probable cause in a separate affidavit in lieu of spelling them out in the complaint. See also Jaben v. United States, 381 U.S. 214 (1965). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Throughout the rule the term 'magistrate' is substituted for the term 'commissioner.' Magistrate is defined in rule 54 to include a judge of the United States, a United States magistrate, and those state and local judicial officers specified in 18 U.S.C. Sec. 3041. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT The amendments are designed to achieve several objectives: (1) to make explicit the fact that the determination of probable cause may be based upon hearsay evidence; (2) to make clear that probable cause is a prerequisite to the issuance of a summons; and (3) to give priority to the issuance of a summons rather than a warrant. Subdivision (a) makes clear that the normal situation is to issue a summons. Subdivision (b) provides for the issuance of an arrest warrant in lieu of or in addition to the issuance of a summons. Subdivision (b)(1) restates the provision of the old rule mandating the issuance of a warrant when a defendant fails to appear in response to a summons. Subdivision (b)(2) provides for the issuance of an arrest warrant rather than a summons whenever 'a valid reason is shown' for the issuance of a warrant. The reason may be apparent from the face of the complaint or may be provided by the federal law enforcement officer or attorney for the government. See comparable provision in rule 9. Subdivision (b)(3) deals with the situation in which conditions change after a summons has issued. It affords the government an opportunity to demonstrate the need for an arrest warrant. This may be done in the district in which the defendant is located if this is the convenient place to do so. Subdivision (c) provides that a warrant or summons may issue on the basis of hearsay evidence. What constitutes probable cause is left to be dealt with on a case-to-case basis, taking account of the unlimited variations in source of information and in the opportunity of the informant to perceive accurately the factual data which he furnishes. See e.g., Giordenello v. United States, 357 U.S. 480, 78 S.Ct. 1245, 2 L.Ed.2d 1503 (1958); Aguilar v. Texas, 378 U.S. 108, 84 S.Ct. 1509, 12 L.Ed.2d 723 (1964); United States v. Ventresca, 380 U.S. 102, 85 S.Ct. 741, 13 L.Ed.2d 684 (1965); Jaben v. United States, 381 U.S. 214, 85 S.Ct. 1365, 14 L.Ed.2d 345 (1965); McCray v. Illinois, 386 U.S. 300, 87 S.Ct. 1056, 18 L.Ed.2d 62 (1967); Spinelli v. United States, 393 U.S. 410, 89 S.Ct. 584, 21 L.Ed.2d 637 (1969); United States v. Harris, 403 U.S. 573, 91 S.Ct. 2075, 29 L.Ed.2d 723 (1971); Note, The Informer's Tip as Probable Cause for Search or Arrest, 54 Cornell L.Rev. 958 (1969); C. Wright, Federal Practice and Procedure: Criminal Sec. 52 (1969, Supp. 1971); 8 S.J. Moore, Federal Practice 4.03 (2d ed. Cipes 1970, Supp. 1971). NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 4 of the Federal Rules of Criminal Procedure deals with arrest procedures when a criminal complaint has been filed. It provides in pertinent part: If it appears . . . that there is probable cause . . . a warrant for the arrest of the defendant shall issue to any officer authorized by law to execute it. Upon the request of the attorney for the government a summons instead of a warrant shall issue. (emphasis added) The Supreme Court's amendments make a basic change in Rule 4. As proposed to be amended, Rule 4 gives priority to the issuance of a summons instead of an arrest warrant. In order for the magistrate to issue an arrest warrant, the attorney for the government must show a 'valid reason.' B. Committee Action. The Committee agrees with and approves the basic change in Rule 4. The decision to take a citizen into custody is a very important one with far-reaching consequences. That decision ought to be made by a neutral official (a magistrate) rather than by an interested party (the prosecutor). It has been argued that undesirable consequences will result if this change is adopted - including an increase in the number of fugitives and the introduction of substantial delays in our system of criminal justice. (See testimony of Assistant Attorney General W. Vincent Rakestraw in Hearings on Proposed Amendments to Federal Rules of Criminal Procedure Before the Subcommittee on Criminal Justice of the House Committee on the Judiciary, 93d Cong., 2d Sess., Serial No. 61, at 41-43 (1974) (hereinafter cited as 'Hearing I').) The Committee has carefully considered these arguments and finds them to be wanting. (The Advisory Committee on Criminal Rules has thoroughly analyzed the arguments raised by Mr. Rakestraw and convincingly demonstrated that the undesirable consequences predicted will not necessarily result. See Hearings on Proposed Amendments to Federal Rules on Proposed Amendments to Federal Rules of Criminal Procedure Before the Subcommittee on Criminal Justice of the House Committee on the Judiciary, 94th Congress, 1st Session, Serial No. 6, at 208-09 (1975) (hereinafter cited 'Hearings II').) The present rule permits the use of a summons in lieu of a warrant. The major difference between the present rule and the proposed rule is that the present rule vests the decision to issue a summons or a warrant in the prosecutor, while the proposed rule vests that decision in a judicial officer. Thus, the basic premise underlying the arguments against the proposed rule is the notion that only the prosecutor can be trusted to act responsibly in deciding whether a summons or a warrant shall issue. The Committee rejects the notion that the federal judiciary cannot be trusted to exercise discretion wisely and in the public interest. The Committee recast the language of Rule 4(b). No change in substance is intended. The phrase 'valid reason' was changed to 'good cause,' a phrase with which lawyers are more familiar. (Rule 4, both as proposed by the Supreme Court and as changed by the Committee, does not in any way authorize a magistrate to issue a summons or a warrant sua sponte, nor does it enlarge, limit or change in any way the law governing warrantless arrests.) The Committee deleted two sentences from Rule 4(c). These sentences permitted a magistrate to question the complainant and other witnesses under oath and required the magistrate to keep a record or summary of such a proceeding. The Committee does not intend this change to discontinue or discourage the practice of having the complainant appear personally or the practice of making a record or summary of such an appearance. Rather, the Committee intended to leave Rule 4(c) neutral on this matter, neither encouraging nor discouraging these practices. The Committee added a new section that provides that the determination of good cause for the issuance of a warrant in lieu of a summons shall not be grounds for a motion to suppress evidence. This provision does not apply when the issue is whether there was probable cause to believe an offense has been committed. This provision does not in any way expand or limit the so-called 'exclusionary rule.' NOTES OF CONFERENCE COMMITTEE, HOUSE REPORT NO. 94-414; 1975 AMENDMENT Rule 4(e)(3) deals with the manner in which warrants and summonses may be served. The House version provides two methods for serving a summons: (1) personal service upon the defendant, or (2) service by leaving it with someone of suitable age at the defendant's dwelling and by mailing it to the defendant's last known address. The Senate version provides three methods: (1) personal service, (2) service by leaving it with someone of suitable age at the defendant's dwelling, or (3) service by mailing it to defendant's last known address. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENT Pub. L. 94-64 struck out subds. (a), (b), and (c) and inserted in lieu new subds. (a) and (b); redesignated subd. (d) as (c); and redesignated subd. (e) as (d) and amended par. (3) thereof generally. APPROVAL AND EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Section 2 of Pub. L. 94-64 provided that: 'The amendments proposed by the United States Supreme Court to the Federal Rules of Criminal Procedure (adding rules 12.1, 12.2 and 29.1 and amending rules 4, 9, 11, 12, 15, 16, 17, 20, 32, and 43 of these rules) which are embraced in the order of that Court on April 22, 1974, are approved except as otherwise provided in this Act and shall take effect on December 1, 1975. Except with respect to the amendment to Rule 11, insofar as it adds Rule 11(e)(6), which shall take effect on August 1, 1975, the amendments made by section 3 of this Act (to rules 4, 9, 11, 12, 12.1, 12.2, 15, 16, 17, 20, 32, and 43 of these rules) shall also take effect on December 1, 1975.' -CROSS- CROSS REFERENCES Arrest without warrant, appearance before magistrate, see rule 5. Commitment to another district and removal, use of warrant, see rule 40. Indictment or information, warrant issued on, see rule 9. ------DocID 25079 Document 1321 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 5 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS II -HEAD- Rule 5. Initial Appearance Before the Magistrate -STATUTE- (a) In General. An officer making an arrest under a warrant issued upon a complaint or any person making an arrest without a warrant shall take the arrested person without unnecessary delay before the nearest available federal magistrate or, in the event that a federal magistrate is not reasonably available, before a state or local judicial officer authorized by 18 U.S.C. Sec. 3041. If a person arrested without a warrant is brought before a magistrate, a complaint shall be filed forthwith which shall comply with the requirements of Rule 4(a) with respect to the showing of probable cause. When a person, arrested with or without a warrant or given a summons, appears initially before the magistrate, the magistrate shall proceed in accordance with the applicable subdivisions of this rule. (b) Misdemeanors and Other Petty Offenses. If the charge against the defendant is a misdemeanor or other petty offense triable by a United States magistrate under 18 U.S.C. Sec. 3401, the magistrate shall proceed in accordance with Rule 58. (c) Offenses Not Triable by the United States Magistrate. If the charge against the defendant is not triable by the United States magistrate, the defendant shall not be called upon to plead. The magistrate shall inform the defendant of the complaint against the defendant and of any affidavit filed therewith, of the defendant's right to retain counsel or to request the assignment of counsel if the defendant is unable to obtain counsel, and of the general circumstances under which the defendant may secure pretrial release. The magistrate shall inform the defendant that the defendant is not required to make a statement and that any statement made by the defendant may be used against the defendant. The magistrate shall also inform the defendant of the right to a preliminary examination. The magistrate shall allow the defendant reasonable time and opportunity to consult counsel and shall detain or conditionally release the defendant as provided by statute or in these rules. A defendant is entitled to a preliminary examination, unless waived, when charged with any offense, other than a petty offense, which is to be tried by a judge of the district court. If the defendant waives preliminary examination, the magistrate shall forthwith hold the defendant to answer in the district court. If the defendant does not waive the preliminary examination, the magistrate shall schedule a preliminary examination. Such examination shall be held within a reasonable time but in any event not later than 10 days following the initial appearance if the defendant is in custody and no later than 20 days if the defendant is not in custody, provided, however, that the preliminary examination shall not be held if the defendant is indicted or if an information against the defendant is filed in district court before the date set for the preliminary examination. With the consent of the defendant and upon a showing of good cause, taking into account the public interest in the prompt disposition of criminal cases, time limits specified in this subdivision may be extended one or more times by a federal magistrate. In the absence of such consent by the defendant, time limits may be extended by a judge of the United States only upon a showing that extraordinary circumstances exist and that delay is indispensable to the interests of justice. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 28, 1982, eff. Aug. 1, 1982; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 209(a), 98 Stat. 1986; Mar. 9, 1987, eff. Aug. 1, 1987; May 1, 1990, eff. Dec. 1, 1990.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. The time within which a prisoner must be brought before a committing magistrate is defined differently in different statutes. The rule supersedes all statutory provisions on this point and fixes a single standard, i.e., 'without unnecessary delay', 18 U.S.C. (former) 593 (Operating illicit distillery; arrest; bail); sec. (former) 595 (Persons arrested taken before nearest officer for hearing); 5 U.S.C. 300a (now 18 U.S.C. 3052, 3107) (Division of Investigation; authority of officers to serve warrants and make arrests); 16 U.S.C. 10 (Arrests by employees of park service for violations of laws and regulations); sec. 706 (Migratory Bird Treaty Act; arrests; search warrants); D.C. Code (1940), Title 4, sec. 140 (Arrests without warrant); see, also, 33 U.S.C. 436, 446, 452; 46 U.S.C. 708 (now 18 U.S.C. 2279). What constitutes 'unnecessary delay', i.e., reasonable time within which the prisoner should be brought before a committing magistrate, must be determined in the light of all the facts and circumstances of the case. The following authorities discuss the question what constitutes reasonable time for this purpose in various situations: Carroll v. Parry, 48 App.D.C. 453; Janus v. United States, 38 F.2d 431 (C.C.A. 9th); Commonwealth v. Di Stasio, 294 Mass. 273; State v. Freeman, 86 N.C. 683; Peloquin v. Hibner, 231 Wis. 77; see, also, Warner, 28 Va.L.R. 315, 339-341. 2. The rule also states the prevailing state practice, A.L.I. Code of Criminal Procedure (1931), Commentaries to secs. 35, 36. Note to Subdivisions (b) and (c). 1. These rules prescribe a uniform procedure to be followed at preliminary hearings before a commissioner. They supersede the general provisions of 18 U.S.C. 591 (now 3041) (Arrest and removal for trial). The procedure prescribed by the rules is that generally prevailing. See Wood v. United States, 128 F.2d 265, 271-272 (App. D.C.); A.L.I. Code of Criminal Procedure (1931), secs. 39-60 and Commentaries thereto; Manual for United States Commissioners, pp. 6-10, published by Administrative Office of the United States Courts. 2. Pleas before a commissioner are excluded, as a plea of guilty at this stage has no legal status or function except to serve as a waiver of preliminary examination. It has been held inadmissible in evidence at the trial, if the defendant was not represented by counsel when the plea was entered. Wood v. United States, 128 F.2d 265 (App. D.C.) The rule expressly provides for a waiver of examination, thereby eliminating any necessity for a provision as to plea. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The first change is designed to insure that under the revision made in Rule 4(a) the defendant arrested on a warrant will receive the same information concerning the basis for the issuance of the warrant as would previously have been given him by the complaint itself. The second change obligates the commissioner to inform the defendant of his right to request the assignment of counsel if he is unable to obtain counsel. Cf. the amendment to Rule 44, and the Advisory Committee's Note thereon. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT There are a number of changes made in rule 5 which are designed to improve the editorial clarity of the rule; to conform the rule to the Federal Magistrates Act; and to deal explicitly in the rule with issues as to which the rule was silent and the law uncertain. The principal editorial change is to deal separately with the initial appearance before the magistrate and the preliminary examination. They are dealt with together in old rule 5. They are separated in order to prevent confusion as to whether they constitute a single or two separate proceedings. Although the preliminary examination can be held at the time of the initial appearance, in practice this ordinarily does not occur. Usually counsel need time to prepare for the preliminary examination and as a consequence a separate date is typically set for the preliminary examination. Because federal magistrates are reasonably available to conduct initial appearances, the rule is drafted on the assumption that the initial appearance is before a federal magistrate. If experience under the act indicates that there must be frequent appearances before state or local judicial officers it may be desirable to draft an additional rule, such as the following, detailing the procedure for an initial appearance before a state or local judicial officer: Initial Appearance Before a State or Local Judicial Officer. If a United States magistrate is not reasonably available under rule 5(a), the arrested person shall be brought before a state or local judicial officer authorized by 18 U.S.C. Sec. 3041, and such officer shall inform the person of the rights specified in rule 5(c) and shall authorize the release of the arrested person under the terms provided for by these rules and by 18 U.S.C. Sec. 3146. The judicial officer shall immediately transmit any written order of release and any papers filed before him to the appropriate United States magistrate of the district and order the arrested person to appear before such United States magistrate within three days if not in custody or at the next regular hour of business of the United States magistrate if the arrested person is retained in custody. Upon his appearance before the United States magistrate, the procedure shall be that prescribed in rule 5. Several changes are made to conform the language of the rule to the Federal Magistrates Act. (1) The term 'magistrate,' which is defined in new rule 54, is substituted for the term 'commissioner.' As defined, 'magistrate' includes those state and local judicial officers specified in 18 U.S.C. Sec. 3041, and thus the initial appearance may be before a state or local judicial officer when a federal magistrate is not reasonably available. This is made explicit in subdivision (a). (2) Subdivision (b) conforms the rule to the procedure prescribed in the Federal Magistrate Act when a defendant appears before a magistrate charged with a 'minor offense' as defined in 18 U.S.C. Sec. 3401(f): 'misdemeanors punishable under the laws of the United States, the penalty for which does not exceed imprisonment for a period of one year, or a fine of not more than $1,000, or both, except that such term does not include . . . (specified exceptions).' If the 'minor offense' is tried before a United States magistrate, the procedure must be in accordance with the Rules of Procedure for the Trial of Minor Offenses Before United States Magistrates, (January 27, 1971). (3) Subdivision (d) makes clear that a defendant is not entitled to a preliminary examination if he has been indicted by a grand jury prior to the date set for the preliminary examination or, in appropriate cases, if any information is filed in the district court prior to that date. See C. Wright, Federal Practice and Procedure: Criminal Sec. 80, pp. 137-140 (1969, Supp. 1971). This is also provided in the Federal Magistrates Act, 18 U.S.C. Sec. 3060(e). Rule 5 is also amended to deal with several issues not dealt with in old rule 5: Subdivision (a) is amended to make clear that a complaint, complying with the requirements of rule 4(a), must be filed whenever a person has been arrested without a warrant. This means that the complaint, or an affidavit or affidavits filed with the complaint, must show probable cause. As provided in rule 4(a) the showing of probable cause 'may be based upon hearsay evidence in whole or in part.' Subdivision (c) provides that defendant should be notified of the general circumstances under which he is entitled to pretrial release under the Bail Reform Act of 1966 (18 U.S.C. Sec. 3141-3152). Defendants often do not in fact have counsel at the initial appearance and thus, unless told by the magistrate, may be unaware of their right to pretrial release. See C. Wright, Federal Practice and Procedure: Criminal Sec. 78 N. 61 (1969). Subdivision (c) makes clear that a defendant who does not waive his right to trial before a judge of the district court is entitled to a preliminary examination to determine probable cause for any offense except a petty offense. It also, by necessary implication, makes clear that a defendant is not entitled to a preliminary examination if he consents to be tried on the issue of guilt or innocence by the United States magistrate, even though the offense may be one not heretofore triable by the United States commissioner and therefore one as to which the defendant had a right to a preliminary examination. The rationale is that the preliminary examination serves only to justify holding the defendant in custody or on bail during the period of time it takes to bind the defendant over to the district court for trial. See State v. Solomon, 158 Wis. 146, 147 N.W. 640 (1914). A similar conclusion is reached in the New York Proposed Criminal Procedure Law. See McKinney's Session Law News, April 10, 1969, at p. A-119. Subdivision (c) also contains time limits within which the preliminary examination must be held. These are taken from 18 U.S.C. Sec. 3060. The provisions for the extension of the prescribed time limits are the same as the provisions of 18 U.S.C. Sec. 3060 with two exceptions: The new language allows delay consented to by the defendant only if there is 'a showing of good cause, taking into account the public interest in the prompt disposition of criminal cases.' This reflects the view of the Advisory Committee that delay, whether prosecution or defense induced, ought to be avoided whenever possible. The second difference between the new rule and 18 U.S.C. Sec. 3060 is that the rule allows the decision to grant a continuance to be made by a United States magistrate as well as by a judge of the United States. This reflects the view of the Advisory Committee that the United States magistrate should have sufficient judicial competence to make decisions such as that contemplated in subdivision (c). NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT The amendment of subdivision (b) reflects the recent amendment of 18 U.S.C. Sec. 3401(a), by the Federal Magistrate Act of 1979, to read: 'When specially designated to exercise such jurisdiction by the district court or courts he serves, any United States magistrate shall have jurisdiction to try persons accused of, and sentence persons convicted of, misdemeanors committed within that judicial district.' NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. NOTES OF ADVISORY COMMITTEE ON RULES - 1990 AMENDMENT Rule 5(b) is amended to conform the rule to Rule 58. 1984 AMENDMENT Subd. (c). Pub. L. 98-473 substituted 'shall detain or conditionally release the defendant' for 'shall admit the defendant to bail'. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Appeal from conviction by United States magistrate judge, see section 3402 of this title. Appearance before magistrate, see rule 9. Commitment to another district and removal, see rule 40. Fees, trial of petty offenses, see section 3401 of this title. Powers of courts and magistrate judges, arrest and commitment, see section 3041 of this title. Records, duty to keep, see rule 55. Return of warrant, see rule 4. Subpoena, issuance by magistrate, see rule 17. ------DocID 25080 Document 1322 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 5.1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS II -HEAD- Rule 5.1. Preliminary Examination -STATUTE- (a) Probable Cause Finding. If from the evidence it appears that there is probable cause to believe that an offense has been committed and that the defendant committed it, the federal magistrate shall forthwith hold the defendant to answer in district court. The finding of probable cause may be based upon hearsay evidence in whole or in part. The defendant may cross-examine adverse witnesses and may introduce evidence. Objections to evidence on the ground that it was acquired by unlawful means are not properly made at the preliminary examination. Motions to suppress must be made to the trial court as provided in Rule 12. (b) Discharge of Defendant. If from the evidence it appears that there is no probable cause to believe that an offense has been committed or that the defendant committed it, the federal magistrate shall dismiss the complaint and discharge the defendant. The discharge of the defendant shall not preclude the government from instituting a subsequent prosecution for the same offense. (c) Records. After concluding the proceeding the federal magistrate shall transmit forthwith to the clerk of the district court all papers in the proceeding. The magistrate shall promptly make or cause to be made a record or summary of such proceeding. (1) On timely application to a federal magistrate, the attorney for a defendant in a criminal case may be given the opportunity to have the recording of the hearing on preliminary examination made available to that attorney in connection with any further hearing or preparation for trial. The court may, by local rule, appoint the place for and define the conditions under which such opportunity may be afforded counsel. (2) On application of a defendant addressed to the court or any judge thereof, an order may issue that the federal magistrate make available a copy of the transcript, or of a portion thereof, to defense counsel. Such order shall provide for prepayment of costs of such transcript by the defendant unless the defendant makes a sufficient affidavit that the defendant is unable to pay or to give security therefor, in which case the expense shall be paid by the Director of the Administrative Office of the United States Courts from available appropriated funds. Counsel for the government may move also that a copy of the transcript, in whole or in part, be made available to it, for good cause shown, and an order may be entered granting such motion in whole or in part, on appropriate terms, except that the government need not prepay costs nor furnish security therefor. -SOURCE- (Added Apr. 24, 1972, eff. Oct. 1, 1972, and amended Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Rule 5.1 is, for the most part, a clarification of old rule 5(c). Under the new rule, the preliminary examination must be conducted before a 'federal magistrate' as defined in rule 54. Giving state or local judicial officers authority to conduct a preliminary examination does not seem necessary. There are not likely to be situations in which a 'federal magistrate' is not 'reasonably available' to conduct the preliminary examination, which is usually not held until several days after the initial appearance provided for in rule 5. Subdivision (a) makes clear that a finding of probable cause may be based on 'hearsay evidence in whole or in part.' The propriety of relying upon hearsay at the preliminary examination has been a matter of some uncertainty in the federal system. See C. Wright, Federal Practice and Procedure: Criminal Sec. 80 (1969, Supp. 1971); 8 J. Moore, Federal Practice 504(4) (2d ed. Cipes 1970, Supp. 1971); Washington v. Clemmer, 339 F.2d 715, 719 (D.C. Cir. 1964); Washington v. Clemmer, 339 F.2d 725, 728 (D.C. Cir. 1964); Ross v. Sirica, 380 F.2d 557, 565 (D.C. Cir. 1967); Howard v. United States, 389 F.2d 287, 292 (D.C. Cir. 1967); Weinberg and Weinberg, The Congressional Invitation to Avoid the Preliminary Hearing: An Analysis of Section 303 of the Federal Magistrates Act of 1968, 67 Mich.L.Rev. 1361, especially n. 92 at 1383 (1969); D. Wright, The Rules of Evidence Applicable to Hearings in Probable Cause, 37 Conn.B.J. 561 (1963); Comment, Preliminary Examination - Evidence and Due Process, 15 Kan.L.Rev. 374, 379-381 (1967). A grand jury indictment may properly be based upon hearsay evidence. Costello v. United States, 350 U.S. 359 (1956); 8 J. Moore, Federal Practice 6.03 (2) (2d ed. Cipes 1970, Supp. 1971). This being so, there is practical advantage in making the evidentiary requirements for the preliminary examination as flexible as they are for the grand jury. Otherwise there will be increased pressure upon United States Attorneys to abandon the preliminary examination in favor of the grand jury indictment. See C. Wright, Federal Practice and Procedure: Criminal Sec. 80 at p. 143 (1969). New York State, which also utilizes both the preliminary examination and the grand jury, has under consideration a new Code of Criminal Procedure which would allow the use of hearsay at the preliminary examination. See McKinney's Session Law News, April 10, 1969, pp. A119-A120. For the same reason, subdivision (a) also provides that the preliminary examination is not the proper place to raise the issue of illegally obtained evidence. This is current law. In Giordenello v. United States, 357 U.S. 480, 484 (1958), the Supreme Court said: (T)he Commissioner here had no authority to adjudicate the admissibility at petitioner's later trial of the heroin taken from his person. That issue was for the trial court. This is specifically recognized by Rule 41(e) of the Criminal Rules, which provides that a defendant aggrieved by an unlawful search and seizure may '* * * move the district court * * * to suppress for use as evidence anything so obtained on the ground that * * *' the arrest warrant was defective on any of several grounds. Dicta in Costello v. United States, 350 U.S. 359, 363-364 (1956), and United States v. Blue, 384 U.S. 251, 255 (1966), also support the proposed rule. In United States ex rel. Almeida v. Rundle, 383 F.2d 421, 424 (3d Cir. 1967), the court, in considering the adequacy of an indictment said: On this score, it is settled law that (1) '(an) indictment returned by a legally constituted nonbiased grand jury, * * * is enough to call for a trial of the charge on the merits and satisfies the requirements of the Fifth Amendment.', Lawn v. United States, 355 U.S. 399, 349, 78 S.Ct. 311, 317, 2 L.Ed.2d 321 (1958); (2) an indictment cannot be challenged 'on the ground that there was inadequate or incompetent evidence before the grand jury', Costello v. United States, 350 U.S. 359, 363, 76 S.Ct. 406, 408, 100 L.Ed. 397 (1956); and (3) a prosecution is not abated, nor barred, even where 'tainted evidence' has been submitted to a grand jury, United States v. Blue, 384 U.S. 251, 86 S.Ct. 1416, 16 L.Ed.2d 510 (1966). See also C. Wright, Federal Practice and Procedure: Criminal Sec. 80 at 143 n. 5 (1969, Supp. 1971) 8 J. Moore, Federal Practice 6.03 (3) (2d ed. Cipes 1970, Supp. 1971). The Manual for United States Commissioners (Administrative Office of United States Courts, 1948) provides at pp. 24-25: 'Motions for this purpose (to suppress illegally obtained evidence) may be made and heard only before a district judge. Commissioners are not empowered to consider or act upon such motions.' It has been urged that the rules of evidence at the preliminary examination should be those applicable at the trial because the purpose of the preliminary examination should be, not to review the propriety of the arrest or prior detention, but rather to determine whether there is evidence sufficient to justify subjecting the defendant to the expense and inconvenience of trial. See Weinberg and Weinberg, The Congressional Invitation to Avoid the Preliminary Hearing: An Analysis of Section 303 of the Federal Magistrates Act of 1968, 67 Mich. L. Rev. 1361, 1396-1399 (1969). The rule rejects this view for reasons largely of administrative necessity and the efficient administration of justice. The Congress has decided that a preliminary examination shall not be required when there is a grand jury indictment (18 U.S.C. Sec. 3060). Increasing the procedural and evidentiary requirements applicable to the preliminary examination will therefore add to the administrative pressure to avoid the preliminary examination. Allowing objections to evidence on the ground that evidence has been illegally obtained would require two determinations of admissibility, one before the United States magistrate and one in the district court. The objective is to reduce, not increase, the number of preliminary motions. To provide that a probable cause finding may be based upon hearsay does not preclude the magistrate from requiring a showing that admissible evidence will be available at the time of trial. See Comment, Criminal Procedure - Grand Jury - Validity of Indictment Based Solely on Hearsay Questioned When Direct Testimony Is Readily Available, 43 N.Y.U. L. Rev. 578 (1968); United States v. Umans, 368 F.2d. 725 (2d Cir. 1966), cert. dismissed as improvidently granted 389 U.S. 80 (1967); United States v. Andrews, 381 F.2d 377, 378 (2d Cir. 1967); United States v. Messina, 388 F.2d 393, 394 n. 1 (2d Cir. 1968); and United States v. Beltram. 388 F.2d 449 (2d Cir. 1968); and United States v. Arcuri, 282 F.Supp. 347 (E.D.N.Y. 1968). The fact that a defendant is not entitled to object to evidence alleged to have been illegally obtained does not deprive him of an opportunity for a pretrial determination of the admissibility of evidence. He can raise such an objection prior to trial in accordance with the provisions of rule 12. Subdivision (b) makes it clear that the United States magistrate may not only discharge the defendant but may also dismiss the complaint. Current federal law authorizes the magistrate to discharge the defendant but he must await authorization from the United States Attorney before he can close his records on the case by dismissing the complaint. Making dismissal of the complaint a separate procedure accomplishes no worthwhile objective, and the new rule makes it clear that the magistrate can both discharge the defendant and file the record with the clerk. Subdivision (b) also deals with the legal effect of a discharge of a defendant at a preliminary examination. This issue is not dealt with explicitly in the old rule. Existing federal case law is limited. What cases there are seem to support the right of the government to issue a new complaint and start over. See e.q., Collins v. Loisel, 262 U.S. 426 (1923); Morse v. United States, 267 U.S. 80 (1925). State law is similar. See People v. Dillon, 197 N.Y. 254, 90 N.E. 820 (1910; Tell v. Wolke, 21 Wis.2d 613, 124 N.W.2d 655 (1963). In the Tell case the Wisconsin court stated the common rationale for allowing the prosecutor to issue a new complaint and start over: The state has no appeal from errors of law committed by a magistrate upon preliminary examination and the discharge on a preliminary would operate as an unchallengeable acquittal. * * * The only way an error of law committed on the preliminary examination prejudicial to the state may be challenged or corrected is by a preliminary examination on a second complaint. (21 Wis. 2d at 619-620.) Subdivision (c) is based upon old rule 5(c) and upon the Federal Magistrates Act, 18 U.S.C. Sec. 3060(f). It provides methods for making available to counsel the record of the preliminary examination. See C. Wright, Federal Practice and Procedure: Criminal Sec. 82 (1969, Supp. 1971). The new rule is designed to eliminate delay and expense occasioned by preparation of transcripts where listening to the tape recording would be sufficient. Ordinarily the recording should be made available pursuant to subdivision (c)(1). A written transcript may be provided under subdivision (c)(2) at the discretion of the court, a discretion which must be exercised in accordance with Britt v. North Carolina, 404 U.S. 226, 30 L.Ed.2d 400, 405 (1971): A defendant who claims the right to a free transcript does not, under our cases, bear the burden of proving inadequate such alternatives as may be suggested by the State or conjured up by a court in hindsight. In this case, however, petitioner has conceded that he had available an informal alternative which appears to be substantially equivalent to a transcript. Accordingly, we cannot conclude that the court below was in error in rejecting his claim. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. ------DocID 25081 Document 1323 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE III -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS III -HEAD- III. INDICTMENT AND INFORMATION ------DocID 25082 Document 1324 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 6 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS III -HEAD- Rule 6. The Grand Jury -STATUTE- (a) Summoning Grand Juries. (1) Generally. The court shall order one or more grand juries to be summoned at such time as the public interest requires. The grand jury shall consist of not less than 16 nor more than 23 members. The court shall direct that a sufficient number of legally qualified persons be summoned to meet this requirement. (2) Alternate Jurors. The court may direct that alternate jurors may be designated at the time a grand jury is selected. Alternate jurors in the order in which they were designated may thereafter be impanelled as provided in subdivision (g) of this rule. Alternate jurors shall be drawn in the same manner and shall have the same qualifications as the regular jurors, and if impanelled shall be subject to the same challenges, shall take the same oath and shall have the same functions, powers, facilities and privileges as the regular jurors. (b) Objections to Grand Jury and to Grand Jurors. (1) Challenges. The attorney for the government or a defendant who has been held to answer in the district court may challenge the array of jurors on the ground that the grand jury was not selected, drawn or summoned in accordance with law, and may challenge an individual juror on the ground that the juror is not legally qualified. Challenges shall be made before the administration of the oath to the jurors and shall be tried by the court. (2) Motion To Dismiss. A motion to dismiss the indictment may be based on objections to the array or on the lack of legal qualification of an individual juror, if not previously determined upon challenge. It shall be made in the manner prescribed in 28 U.S.C. Sec. 1867(e) and shall be granted under the conditions prescribed in that statute. An indictment shall not be dismissed on the ground that one or more members of the grand jury were not legally qualified if it appears from the record kept pursuant to subdivision (c) of this rule that 12 or more jurors, after deducting the number not legally qualified, concurred in finding the indictment. (c) Foreperson and Deputy Foreperson. The court shall appoint one of the jurors to be foreperson and another to be deputy foreperson. The foreperson shall have power to administer oaths and affirmations and shall sign all indictments. The foreperson or another juror designated by the foreperson shall keep a record of the number of jurors concurring in the finding of every indictment and shall file the record with the clerk of the court, but the record shall not be made public except on order of the court. During the absence of the foreperson, the deputy foreperson shall act as foreperson. (d) Who May Be Present. Attorneys for the government, the witness under examination, interpreters when needed and, for the purpose of taking the evidence, a stenographer or operator of a recording device may be present while the grand jury is in session, but no person other than the jurors may be present while the grand jury is deliberating or voting. (e) Recording and Disclosure of Proceedings. (1) Recording of Proceedings. All proceedings, except when the grand jury is deliberating or voting, shall be recorded stenographically or by an electronic recording device. An unintentional failure of any recording to reproduce all or any portion of a proceeding shall not affect the validity of the prosecution. The recording or reporter's notes or any transcript prepared therefrom shall remain in the custody or control of the attorney for the government unless otherwise ordered by the court in a particular case. (2) General Rule of Secrecy. A grand juror, an interpreter, a stenographer, an operator of a recording device, a typist who transcribes recorded testimony, an attorney for the government, or any person to whom disclosure is made under paragraph (3)(A)(ii) of this subdivision shall not disclose matters occurring before the grand jury, except as otherwise provided for in these rules. No obligation of secrecy may be imposed on any person except in accordance with this rule. A knowing violation of Rule 6 may be punished as a contempt of court. (3) Exceptions. (A) Disclosure otherwise prohibited by this rule of matters occurring before the grand jury, other than its deliberations and the vote of any grand juror, may be made to - (i) an attorney for the government for use in the performance of such attorney's duty; and (ii) such government personnel (including personnel of a state or subdivision of a state) as are deemed necessary by an attorney for the government to assist an attorney for the government in the performance of such attorney's duty to enforce federal criminal law. (B) Any person to whom matters are disclosed under subparagraph (A)(ii) of this paragraph shall not utilize that grand jury material for any purpose other than assisting the attorney for the government in the performance of such attorney's duty to enforce federal criminal law. An attorney for the government shall promptly provide the district court, before which was impaneled the grand jury whose material has been so disclosed, with the names of the persons to whom such disclosure has been made, and shall certify that the attorney has advised such persons of their obligation of secrecy under this rule. (C) Disclosure otherwise prohibited by this rule of matters occurring before the grand jury may also be made - (i) when so directed by a court preliminarily to or in connection with a judicial proceeding; (ii) when permitted by a court at the request of the defendant, upon a showing that grounds may exist for a motion to dismiss the indictment because of matters occurring before the grand jury; (iii) when the disclosure is made by an attorney for the government to another federal grand jury; or (iv) when permitted by a court at the request of an attorney for the government, upon a showing that such matters may disclose a violation of state criminal law, to an appropriate official of a state or subdivision of a state for the purpose of enforcing such law. If the court orders disclosure of matters occurring before the grand jury, the disclosure shall be made in such manner, at such time, and under such conditions as the court may direct. (D) A petition for disclosure pursuant to subdivision (e)(3)(C)(i) shall be filed in the district where the grand jury convened. Unless the hearing is ex parte, which it may be when the petitioner is the government, the petitioner shall serve written notice of the petition upon (i) the attorney for the government, (ii) the parties to the judicial proceeding if disclosure is sought in connection with such a proceeding, and (iii) such other persons as the court may direct. The court shall afford those persons a reasonable opportunity to appear and be heard. (E) If the judicial proceeding giving rise to the petition is in a federal district court in another district, the court shall transfer the matter to that court unless it can reasonably obtain sufficient knowledge of the proceeding to determine whether disclosure is proper. The court shall order transmitted to the court to which the matter is transferred the material sought to be disclosed, if feasible, and a written evaluation of the need for continued grand jury secrecy. The court to which the matter is transferred shall afford the aforementioned persons a reasonable opportunity to appear and be heard. (4) Sealed Indictments. The federal magistrate to whom an indictment is returned may direct that the indictment be kept secret until the defendant is in custody or has been released pending trial. Thereupon the clerk shall seal the indictment and no person shall disclose the return of the indictment except when necessary for the issuance and execution of a warrant or summons. (5) Closed Hearing. Subject to any right to an open hearing in contempt proceedings, the court shall order a hearing on matters affecting a grand jury proceeding to be closed to the extent necessary to prevent disclosure of matters occurring before a grand jury. (6) Sealed Records. Records, orders and subpoenas relating to grand jury proceedings shall be kept under seal to the extent and for such time as is necessary to prevent disclosure of matters occurring before a grand jury. (f) Finding and Return of Indictment. An indictment may be found only upon the concurrence of 12 or more jurors. The indictment shall be returned by the grand jury to a federal magistrate in open court. If a complaint or information is pending against the defendant and 12 jurors do not concur in finding an indictment, the foreperson shall so report to a federal magistrate in writing forthwith. (g) Discharge and Excuse. A grand jury shall serve until discharged by the court, but no grand jury may serve more than 18 months unless the court extends the service of the grand jury for a period of six months or less upon a determination that such extension is in the public interest. At any time for cause shown the court may excuse a juror either temporarily or permanently, and in the latter event the court may impanel another person in place of the juror excused. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976; July 30, 1977, Pub. L. 95-78, Sec. 2(a), 91 Stat. 319; Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 215(f), 98 Stat. 2016; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. The first sentence of this rule vests in the court full discretion as to the number of grand juries to be summoned and as to the times when they should be convened. This provision supersedes the existing law, which limits the authority of the court to summon more than one grand jury at the same time. At present two grand juries may be convened simultaneously only in a district which has a city or borough of at least 300,000 inhabitants, and three grand juries only in the Southern District of New York, 28 U.S.C. (former) 421 (Grand juries; when, how and by whom summoned; length of service). This statute has been construed, however, as only limiting the authority of the court to summon more than one grand jury for a single place of holding court, and as not circumscribing the power to convene simultaneously several grand juries at different points within the same district, Morris v. United States, 128 F.2d 912 (C.C.A. 5th); United States v. Perlstein, 39 F.Supp. 965 (D.N.J.). 2. The provision that the grand jury shall consist of not less than 16 and not more than 23 members continues existing law, 28 U.S.C. 419 (now 18 U.S.C. 3321) (Grand jurors; number when less than required number). 3. The rule does not affect or deal with the method of summoning and selecting grand juries. Existing statutes on the subjects are not superseded. See 28 U.S.C. 411-426 (now 1861-1870). As these provisions of law relate to jurors for both criminal and civil cases, it seemed best not to deal with this subject. Note to Subdivision (b)(1). Challenges to the array and to individual jurors, although rarely invoked in connection with the selection of grand juries, are nevertheless permitted in the Federal courts and are continued by this rule, United States v. Gale, 109 U.S. 65, 69-70; Clawson v. United States, 114 U.S. 477; Agnew v. United States, 165 U.S. 36, 44. It is not contemplated, however, that defendants held for action of the grand jury shall receive notice of the time and place of the impaneling of a grand jury, or that defendants in custody shall be brought to court to attend at the selection of the grand jury. Failure to challenge is not a waiver of any objection. The objection may still be interposed by motion under Rule 6(b)(2). Note to Subdivision (b)(2). 1. The motion provided by this rule takes the place of a plea in abatement, or motion to quash. Crowley v. United States, 194 U.S. 461, 469-474; United States v. Gale, supra. 2. The second sentence of the rule is a restatement of 18 U.S.C. (former) 554(a) (Indictments and presentments; objection on ground of unqualified juror barred where twelve qualified jurors concurred; record of number concurring), and introduces no change in existing law. Note to Subdivision (c). 1. This rule generally is a restatement of existing law, 18 U.S.C. (former) 554(a) and 28 U.S.C. (former) 420. Failure of the foreman to sign or endorse the indictment is an irregularity and is not fatal, Frisbie v. United States, 157 U.S. 160, 163-165. 2. The provision for the appointment of a deputy foreman is new. Its purpose is to facilitate the transaction of business if the foreman is absent. Such a provision is found in the law of at least one State, N.Y. Code Criminal Procedure, sec. 244. Note to Subdivision (d). This rule generally continues existing law. See 18 U.S.C. (former) 556 (Indictments and presentments; defects of form); and 5 U.S.C. 310 (now 28 U.S.C. 515(a)) (Conduct of legal proceedings). Note to Subdivision (e). 1. This rule continues the traditional practice of secrecy on the party of members of the grand jury, except when the court permits a disclosure, Schmidt v. United States, 115 F.2d 394 (C.C.A. 6th); United States v. American Medical Association, 26 F.Supp. 429 (D.C.); Cf. Atwell v. United States, 162 F. 97 (C.C.A. 4th); and see 18 U.S.C. (former) 554(a) (Indictments and presentments; objection on ground of unqualified juror barred where twelve qualified jurors concurred; record of number concurring). Government attorneys are entitled to disclosure of grand jury proceedings, other than the deliberations and the votes of the jurors, inasmuch as they may be present in the grand jury room during the presentation of evidence. The rule continues this practice. 2. The rule does not impose any obligation of secrecy on witnesses. The existing practice on this point varies among the districts. The seal of secrecy on witnesses seems an unnecessary hardship and may lead to injustice if a witness is not permitted to make a disclosure to counsel or to an associate. 3. The last sentence authorizing the court to seal indictments continues present practice. Note to Subdivision (f). This rule continues existing law, 18 U.S.C. (former) 554 (Indictments and presentments; by twelve grand jurors). The purpose of the last sentence is to provide means for a prompt release of a defendant if in custody, or exoneration of bail if he is on bail, in the event that the grand jury considers the case of a defendant held for its action and finds no indictment. Note to Subdivision (g). Under existing law a grand jury serves only during the term for which it is summoned, but the court may extend its period of service for as long as 18 months, 28 U.S.C. (former) 421. During the extended period, however, a grand jury may conduct only investigations commenced during the original term. The rule continues the 18 months' maximum for the period of service of a grand jury, but provides for such service as a matter of course, unless the court terminates it at an earlier date. The matter is left in the discretion of the court, as it is under existing law. The expiration of a term of court as a time limitation is elsewhere entirely eliminated (Rule 45(c)) and specific time limitations are substituted therefor. This was previously done by the Federal Rules of Civil Procedure for the civil side of the courts (Federal Rules of Civil Procedure, Rule 6(c) (28 U.S.C., Appendix)). The elimination of the requirement that at an extended period the grand jury may continue only investigations previously commenced, will obviate such a controversy as was presented in United States v. Johnson, 319 U.S. 503. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (d). - The amendment makes it clear that recording devices may be used to take evidence at grand jury sessions. Subdivision (e). - The amendment makes it clear that the operator of a recording device and a typist who transcribes recorded testimony are bound to the obligation of secrecy. Subdivision (f). - A minor change conforms the language to what doubtless is the practice. The need for a report to the court that no indictment has been found may be present even though the defendant has not been 'held to answer.' If the defendant is in custody or has given bail, some official record should be made of the grand jury action so that the defendant can be released or his bail exonerated. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (b)(2) is amended to incorporate by express reference the provisions of the Jury Selection and Service Act of 1968. That act provides in part: The procedures prescribed by this section shall be the exclusive means by which a person accused of a Federal crime (or) the Attorney General of the United States * * * may challenge any jury on the ground that such jury was not selected in conformity with the provisions of this title. (28 U.S.C. Sec. 1867(c)) Under rule 12(e) the judge shall decide the motion before trial or order it deferred until after verdict. The authority which the judge has to delay his ruling until after verdict gives him an option which can be exercised to prevent the unnecessary delay of a trial in the event that a motion attacking a grand jury is made on the eve of the trial. In addition, rule 12(c) gives the judge authority to fix the time at which pretrial motions must be made. Failure to make a pretrial motion at the appropriate time may constitute a waiver under rule 12(f). NOTES OF ADVISORY COMMITTEE ON RULES - 1976 AMENDMENT Under the proposed amendment to rule 6(f), an indictment may be returned to a federal magistrate. ('Federal magistrate' is defined in rule 54(c) as including a United States magistrate as defined in 28 U.S.C. Sec. 631-639 and a judge of the United States.) This change will foreclose the possibility of noncompliance with the Speedy Trial Act timetable because of the nonavailability of a judge. Upon the effective date of certain provisions of the Speedy Trial Act of 1974, the timely return of indictments will become a matter of critical importance; for the year commencing July 1, 1976, indictments must be returned within 60 days of arrest or summons, for the year following within 45 days, and thereafter within 30 days. 18 U.S.C. Sec. 3161(b) and (f), 3163(a). The problem is acute in a one-judge district where, if the judge is holding court in another part of the district, or is otherwise absent, the return of the indictment must await the later reappearance of the judge at the place where the grand jury is sitting. A corresponding change has been made to that part of subdivision (f) which concerns the reporting of a 'no bill,' and to that part of subdivision (e) which concerns keeping an indictment secret. The change in the third sentence of rule 6(f) is made so as to cover all situations in which by virtue of a pending complaint or information the defendant is in custody or released under some form of conditional release. NOTES OF ADVISORY COMMITTEE ON RULES - 1977 AMENDMENT The proposed definition of 'attorneys for the government' in subdivision (e) is designed to facilitate an increasing need, on the part of government attorneys, to make use of outside expertise in complex litigation. The phrase 'other government personnel' includes, but is not limited to, employees of administrative agencies and government departments. Present subdivision (e) provides for disclosure 'to the attorneys for the government for use in the performance of their duties.' This limitation is designed to further 'the long established policy that maintains the secrecy of the grand jury in federal courts.' United States v. Procter and Gamble Co., 356 U.S. 677 (1958). As defined in rule 54(c), ' 'Attorney for the government' means the Attorney General, an authorized assistant of the Attorney General, a United States Attorney, an authorized assistant of a United States Attorney and when applicable to cases arising under the laws of Guam * * *.' The limited nature of this definition is pointed out in In re Grand Jury Proceedings, 309 F.2d 440 (3d Cir. 1962) at 443: The term attorneys for the government is restrictive in its application. * * * If it had been intended that the attorneys for the administrative agencies were to have free access to matters occurring before a grand jury, the rule would have so provided. The proposed amendment reflects the fact that there is often government personnel assisting the Justice Department in grand jury proceedings. In In re Grand Jury Investigation of William H. Pflaumer & Sons, Inc., 53 F.R.D. 464 (E.D.Pa. 1971), the opinion quoted the United States Attorney: It is absolutely necessary in grand jury investigations involving analysis of books and records, for the government attorneys to rely upon investigative personnel (from the government agencies) for assistance. See also 8 J. Moore, Federal Practice 6.05 at 6-28 (2d ed. Cipes, 1969): The rule (6(e)) has presented a problem, however, with respect to attorneys and nonattorneys who are assisting in preparation of a case for the grand jury. * * * These assistants often cannot properly perform their work without having access to grand jury minutes. Although case law is limited, the trend seems to be in the direction of allowing disclosure to government personnel who assist attorneys for the government in situations where their expertise is required. This is subject to the qualification that the matters disclosed be used only for the purposes of the grand jury investigation. The court may inquire as to the good faith of the assisting personnel, to ensure that access to material is not merely a subterfuge to gather evidence unattainable by means other than the grand jury. This approach was taken in In re Grand Jury Investigation of William H. Pflaumer & Sons, Inc., 53 F.R.D. 464 (E.D.Pa. 1971); In re April 1956 Term Grand Jury, 239 F.2d 263 (7th Cir. 1956); United States v. Anzelimo, 319 F.Supp. 1106 (D.C.La. 1970). Another case, Application of Kelly, 19 F.R.D. 269 (S.D.N.Y. 1956), assumed, without deciding, that assistance given the attorney for the government by IRS and FBI agents was authorized. The change at line 27 reflects the fact that under the Bail Reform Act of 1966 some persons will be released without requiring bail. See 18 U.S.C. Sec. 3146, 3148. Under the proposed amendment to rule 6(f), an indictment may be returned to a federal magistrate. ('Federal magistrate' is defined in rule 54(c) as including a United States magistrate as defined in 28 U.S.C. Sec. 631-639 and a judge of the United States.) This change will foreclose the possibility of noncompliance with the Speedy Trial Act timetable because of the nonavailability of a judge. Upon the effective date of certain provisions of the Speedy Trial Act of 1974, the timely return of indictments will become a matter of critical importance; for the year commencing July 1, 1976, indictments must be returned within 60 days of arrest or summons, for the year following within 45 days, and thereafter within 30 days. 18 U.S.C. Sec. 3161(b) and (f), 3163(a). The problem is acute in a one-judge district where, if the judge is holding court in another part of the district, or is otherwise absent, the return of the indictment must await the later reappearance of the judge at the place where the grand jury is sitting. A corresponding change has been made to that part of subdivision (f) which concerns the reporting of a 'no bill,' and to that part of subdivision (e) which concerns keeping an indictment secret. The change in the third sentence of rule 6(f) is made so as to cover all situations in which by virtue of a pending complaint or information the defendant is in custody or released under some form of conditional release. NOTES OF COMMITTEE ON THE JUDICIARY, SENATE REPORT NO. 95-354; 1977 AMENDMENTS PROPOSED BY THE SUPREME COURT Rule 6(e) currently provides that 'disclosure of matters occurring before the grand jury other than its deliberations and the vote of any juror may be made to the attorneys for the government for use in the performance of their duties.' Rule 54(c) defines attorneys for the government to mean 'the Attorney General, an authorized assistant to the Attorney General, a United States attorney, and an authorized assistant of the United States attorney, and when applicable to cases arising under the laws of Guam, means the Attorney General of Guam. . . .' The Supreme Court proposal would change Rule 6(e) by adding the following new language: For purposes of this subdivision, 'attorneys for the government' includes those enumerated in Rule 54(c); it also includes such other government personnel as are necessary to assist the attorneys for the government in the performance of their duties. It would also make a series of changes in the rule designed to make its provisions consistent with other provisions in the Rules and the Bail Reform Act of 1966. The Advisory Committee note states that the proposed amendment is intended 'to facilitate an increasing need, on the part of Government attorneys to make use of outside expertise in complex litigation'. The note indicated that: Although case law is limited, the trend seems to be in the direction of allowing disclosure to Government personnel who assist attorneys for the Government in situations where their expertise is required. This is subject to the qualification that the matter disclosed be used only for the purposes of the grand jury investigation. It is past history at this point that the Supreme Court proposal attracted substantial criticism, which seemed to stem more from the lack of precision in defining, and consequent confusion and uncertainty concerning, the intended scope of the proposed change than from a fundamental disagreement with the objective. Attorneys for the Government in the performance of their duties with a grand jury must possess the authority to utilize the services of other government employees. Federal crimes are 'investigated' by the FBI, the IRS, or by Treasury agents and not by government prosecutors or the citizens who sit on grand juries. Federal agents gather and present information relating to criminal behavior to prosecutors who analyze and evaluate it and present it to grand juries. Often the prosecutors need the assistance of the agents in evaluating evidence. Also, if further investigation is required during or after grand jury proceedings, or even during the course of criminal trials, the Federal agents must do it. There is no reason for a barrier of secrecy to exist between the facets of the criminal justice system upon which we all depend to enforce the criminal laws. The parameters of the authority of an attorney for the government to disclose grand jury information in the course of performing his own duties is not defined by Rule 6. However, a commonsense interpretation prevails, permitting 'Representatives of other government agencies actively assisting United States attorneys in a grand jury investigation . . . access to grand jury material in the performance of their duties.' Yet projected against this current practice, and the weight of case law, is the anomalous language of Rule 6(e) itself, which, in its present state of uncertainty, is spawning some judicial decisions highly restrictive of the use of government experts that require the government to 'show the necessity (to the Court) for each particular person's aid rather than showing merely a general necessity for assistance, expert or otherwise' and that make Rule 6(e) orders subject to interlocutory appeal. In this state of uncertainty, the Committee believes it is timely to redraft subdivision (e) of Rule 6 to make it clear. Paragraph (1) as proposed by the Committee states the general rule that a grand jury, an interpreter, a stenographer, an operator of a recording device, a typist who transcribes recorded testimony, an attorney for the government, or government personnel to whom disclosure is made under paragraph (2)(A)(ii) shall not disclose matters occurring before the grand jury, except as otherwise provided in these rules. It also expressly provides that a knowing violation of Rule 6 may be punished as a contempt of court. In addition, it carries forward the current provision that no obligation of secrecy may be imposed on any person except in accordance with this Rule. Having stated the general rule of nondisclosure, paragraph (2) sets forth exemptions from nondisclosure. Subparagraph (A) of paragraph (2) provides that disclosure otherwise prohibited, other than the grand jury deliberations and the vote of any grand juror, may be made to an attorney for the government for use in the performance of his duty and to such personnel as are deemed necessary by an attorney for the government to assist an attorney for the government in the performance of such attorney's duty to enforce Federal criminal law. In order to facilitate resolution of subsequent claims of improper disclosure, subparagraph (B) further provides that the names of government personnel designated to assist the attorney for the government shall be promptly provided to the district court and such personnel shall not utilize grand jury material for any purpose other than assisting the attorney for the government in the performance of such attorney's duty to enforce Federal criminal law. Although not expressly required by the rule, the Committee contemplates that the names of such personnel will generally be furnished to the court before disclosure is made to them. Subparagraph (C) permits disclosure as directed by a court preliminarily to or in connection with a judicial proceeding or, at the request of the defendant, upon a showing that grounds may exist for dismissing the indictment because of matters occurring before the grand jury. Paragraph (3) carries forward the last sentence of current Rule 6(e) with the technical changes recommended by the Supreme Court. The Rule as redrafted is designed to accommodate the belief on the one hand that Federal prosecutors should be able, without the time-consuming requirement of prior judicial interposition, to make such disclosures of grand jury information to other government personnel as they deem necessary to facilitate the performance of their duties relating to criminal law enforcement. On the other hand, the Rule seeks to allay the concerns of those who fear that such prosecutorial power will lead to misuse of the grand jury to enforce non-criminal Federal laws by (1) providing a clear prohibition, subject to the penalty of contempt and (2) requiring that a court order under paragraph (C) be obtained to authorize such a disclosure. There is, however, no intent to preclude the use of grand jury-developed evidence for civil law enforcement purposes. On the contrary, there is no reason why such use is improper, assuming that the grand jury was utilized for the legitimate purpose of a criminal investigation. Accordingly, the Committee believes and intends that the basis for a court's refusal to issue an order under paragraph (C) to enable the government to disclose grand jury information in a non-criminal proceeding should be no more restrictive than is the case today under prevailing court decisions. It is contemplated that the judicial hearing in connection with an application for a court order by the government under subparagraph (3)(C)(i) should be ex parte so as to preserve, to the maximum extent possible, grand jury secrecy. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Note to Subdivision (e)(1). Proposed subdivision (e)(1) requires that all proceedings, except when the grand jury is deliberating or voting, be recorded. The existing rule does not require that grand jury proceedings be recorded. The provision in rule 6(d) that 'a stenographer or operator of a recording device may be present while the grand jury is in session' has been taken to mean that recordation is permissive and not mandatory; see United States v. Aloisio, 440 F.2d 705 (7th Cir. 1971), collecting the cases. However, the cases rather frequently state that recordation of the proceedings is the better practice; see United States v. Aloisio, supra; United States v. Cramer, 447 F.2d 210 (2d Cir. 1971), Schlinsky v. United States, 379 F.2d 735 (1st Cir. 1967); and some cases require the district court, after a demand to exercise discretion as to whether the proceedings should be recorded. United States v. Price, 474 F.2d 1223 (9th Cir. 1973); United States v. Thoresen, 428 F.2d 654 (9th Cir. 1970). Some district courts have adopted a recording requirement. See e.g. United States v. Aloisio, supra; United States v. Gramolini, 301 F.Supp. 39 (D.R.I. 1969). Recording of grand jury proceedings is currently a requirement in a number of states. See, e.g., Cal.Pen.Code Sec. 938-938.3; Iowa Code Ann. Sec. 772.4; Ky.Rev.Stat.Ann. Sec. 28.460; and Ky.R.Crim.P. Sec. 5.16(2). The assumption underlying the proposal is that the cost of such recording is justified by the contribution made to the improved administration of criminal justice. See United States v. Gramolini, supra, noting: 'Nor can it be claimed that the cost of recordation is prohibitive; in an electronic age, the cost of recordation must be categorized as miniscule.' For a discussion of the success of electronic recording in Alaska, see Reynolds, Alaska's Ten Years of Electronic Reporting, 56 A.B.A.J. 1080 (1970). Among the benefits to be derived from a recordation requirement are the following: (1) Ensuring that the defendant may impeach a prosecution witness on the basis of his prior inconsistent statements before the grand jury. As noted in the opinion of Oakes, J., in United States v. Cramer: 'First since Dennis v. United States, 384 U.S. 855, 86 S.Ct. 1840, 16 L.Ed.2d 973 (1966), a defendant has been entitled to examine the grand jury testimony of witnesses against him. On this point, the Court was unanimous, holding that there was 'no justification' for the District of Columbia Court of Appeals' 'relying upon (the) 'assumption' ' that 'no inconsistencies would have come to light.' The Court's decision was based on the general proposition that '(i)n our adversary system for determining guilt or innocence, it is rarely justifiable for the prosecution to have exclusive access to a storehouse of relevant facts.' In the case at bar the prosecution did have exclusive access to the grand jury testimony of the witness Sager, by virtue of being present, and the defense had none - to determine whether there were any inconsistencies with, say, his subsequent testimony as to damaging admissions by the defendant and his attorney Richard Thaler. The Government claims, and it is supported by the majority here, that there is no problem since defendants were given the benefit of Sager's subsequent statements including these admissions as Jencks Act materials. But assuming this to be true, it does not cure the basic infirmity that the defense could not know whether the witness testified inconsistently before the grand jury.' (2) Ensuring that the testimony received by the grand jury is trustworthy. In United States v. Cramer, Oakes, J., also observed: 'The recording of testimony is in a very real sense a circumstantial guaranty of trustworthiness. Without the restraint of being subject to prosecution for perjury, a restraint which is wholly meaningless or nonexistent if the testimony is unrecorded, a witness may make baseless accusations founded on hearsay or false accusations, all resulting in the indictment of a fellow citizen for a crime.' (3) Restraining prosecutorial abuses before the grand jury. As noted in United States v. Gramolini: 'In no way does recordation inhibit the grand jury's investigation. True, recordation restrains certain prosecutorial practices which might, in its absence be used, but that is no reason not to record. Indeed, a sophisticated prosecutor must acknowledge that there develops between a grand jury and the prosecutor with whom the jury is closeted a rapport - a dependency relationship - which can easily be turned into an instrument of influence on grand jury deliberations. Recordation is the most effective restraint upon such potential abuses.' (4) Supporting the case made by the prosecution at trial. Oakes, J., observed in United States v. Cramer: 'The benefits of having grand jury testimony recorded do not all inure to the defense. See, e.g., United States v. DeSisto, 329 F.2d 929, 934: (2nd Cir.), cert. denied, 377 U.S. 979, 84 S.Ct. 1885, 12 L.Ed.2d 747 (1964) (conviction sustained in part on basis of witnesses's prior sworn testimony before grand jury).' Fed.R.Evid. 801(d)(1)(A) excludes from the category of hearsay the prior inconsistent testimony of a witness given before a grand jury. United States v. Morgan, 555 F.2d 238 (9th Cir. 1977). See also United States v. Carlson, 547 F.2d 1346 (8th Cir. 1976), admitting under Fed.R.Evid. 804(b)(5) the grand jury testimony of a witness who refused to testify at trial because of threats by the defendant. Commentators have also supported a recording requirement. 8 Moore, Federal Practice par. 6.02(2)(d) (2d ed. 1972) states: 'Fairness to the defendant would seem to compel a change in the practice, particularly in view of the 1970 amendment to 18 USC Sec. 3500 making grand jury testimony of government witnesses available at trial for purposes of impeachment. The requirement of a record may also prove salutary in controlling overreaching or improper examination of witnesses by the prosecutor.' Similarly, 1 Wright, Federal Practice and Procedure - Criminal Sec. 103 (1969), states that the present rule 'ought to be changed, either by amendment or by judicial construction. The Supreme Court has emphasized the importance to the defense of access to the transcript of the grand jury proceedings (citing Dennis). A defendant cannot have that advantage if the proceedings go unrecorded.' American Bar Association, Report of the Special Committee on Federal Rules of Procedure, 52 F.R.D. 87, 94-95 (1971), renews the committee's 1965 recommendation 'that all accusatorial grand jury proceedings either be transcribed by a reporter or recorded by electronic means.' Under proposed subdivision (e)(1), if the failure to record is unintentional, the failure to record would not invalidate subsequent judicial proceedings. Under present law, the failure to compel production of grand jury testimony where there is no record is not reversible error. See Wyatt v. United States, 388 F.2d 395 (10th Cir. 1968). The provision that the recording or reporter's notes or any transcript prepared therefrom are to remain in the custody or control (as where the notes are in the immediate possession of a contract reporter employed by the Department of Justice) of the attorney for the government is in accord with present practice. It is specifically recognized, however, that the court in a particular case may have reason to order otherwise. It must be emphasized that the proposed changes in rule 6(e) deal only with the recording requirement, and in no way expand the circumstances in which disclosure of the grand jury proceedings is permitted or required. 'Secrecy of grand jury proceedings is not jeopardized by recordation. The making of a record cannot be equated with disclosure of its contents, and disclosure is controlled by other means.' United States v. Price, 474 F.2d 1223 (9th Cir. 1973). Specifically, the proposed changes do not provide for copies of the grand jury minutes to defendants as a matter of right, as is the case in some states. See, e.g., Cal.Pen.Code Sec. 938.1; Iowa Code Ann. Sec. 772.4. The matter of disclosure continues to be governed by other provisions, such as rule 16(a) (recorded statements of the defendant), 18 U.S.C. Sec. 3500 (statements of government witnesses), and the unchanged portions of rule 6(e), and the cases interpreting these provisions. See e.g., United States v. Howard, 433 F.2d 1 (5th Cir. 1970), and Beatrice Foods Co. v. United States, 312 F.2d 29 (8th Cir. 1963), concerning the showing which must be made of improper matters occurring before the grand jury before disclosure is required. Likewise, the proposed changes in rule 6(e) are not intended to make any change regarding whether a defendant may challenge a grand jury indictment. The Supreme Court has declined to hold that defendants may challenge indictments on the ground that they are not supported by sufficient or competent evidence. Costello v. United States, 350 U.S. 359 (1956); Lawn v. United States, 355 U.S. 339 (1958); United States v. Blue, 384 U.S. 251 (1966). Nor are the changes intended to permit the defendant to challenge the conduct of the attorney for the government before the grand jury absent a preliminary factual showing of serious misconduct. Note to Subdivision (e)(3)(C). The sentence added to subdivision (e)(3)(C) gives express recognition to the fact that if the court orders disclosure, it may determine the circumstances of the disclosure. For example, if the proceedings are electronically recorded, the court would have discretion in an appropriate case to deny defendant the right to a transcript at government expense. While it takes special skills to make a stenographic record understandable, an electronic recording can be understood by merely listening to it, thus avoiding the expense of transcription. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (e)(3)(C). New subdivision (e)(3)(C)(iii) recognizes that it is permissible for the attorney for the government to make disclosure of matters occurring before one grand jury to another federal grand jury. Even absent a specific provision to that effect, the courts have permitted such disclosure in some circumstances. See, e.g., United States v. Socony-Vacuum Oil Co. 310 U.S. 150 (1940); United States v. Garcia, 420 F.2d 309 (2d Cir. 1970). In this kind of situation, '(s)ecrecy of grand jury materials should be protected almost as well by the safeguards at the second grand jury proceeding, including the oath of the jurors, as by judicial supervision of the disclosure of such materials.' United States v. Malatesta, 583 F.2d 748 (5th Cir. 1978). Note to Subdivision (e)(3)(D). In Douglas Oil Co. v. Petrol Stops Northwest, 441 U.S. 211 (1979), the Court held on the facts there presented that it was an abuse of discretion for the district judge to order disclosure of grand jury transcripts for use in civil proceedings in another district where that judge had insufficient knowledge of those proceedings to make a determination of the need for disclosure. The Court suggested a 'better practice' on those facts, but declared that 'procedures to deal with the many variations are best left to the rulemaking procedures established by Congress.' The first sentence of subdivision (e)(3)(D) makes it clear that when disclosure is sought under subdivision (e)(2)(C)(i), the petition is to be filed in the district where the grand jury was convened, whether or not it is the district of the 'judicial proceeding' giving rise to the petition. Courts which have addressed the question have generally taken this view, e.g., Illinois v. Sarbaugh, 522 F.2d 768 (7th Cir. 1977). As stated in Douglas Oil, those who seek grand jury transcripts have little choice other than to file a request with the court that supervised the grand jury, as it is the only court with control over the transcripts. Quite apart from the practical necessity, the policies underlying Rule 6(e) dictate that the grand jury's supervisory court participate in reviewing such requests, as it is in the best position to determine the continuing need for grand jury secrecy. Ideally, the judge who supervised the grand jury should review the request for disclosure, as he will have firsthand knowledge of the grand jury's activities. But even other judges of the district where the grand jury sat may be able to discover facts affecting the need for secrecy more easily than would judges from elsewhere around the country. The records are in the custody of the District Court, and therefore are readily available for references. Moreover, the personnel of that court - particularly those of the United States Attorney's Office who worked with the grand jury - are more likely to be informed about the grand jury proceedings than those in a district that had no prior experience with the subject of the request. The second sentence requires the petitioner to serve notice of his petition upon several persons who, by the third sentence, are recognized as entitled to appear and be heard on the matter. The notice requirement ensures that all interested parties, if they wish, may make a timely appearance. Absent such notice, these persons, who then might only learn of the order made in response to the motion after it was entered, have had to resort to the cumbersome and inefficient procedure of a motion to vacate the order. In re Special February 1971 Grand Jury v. Conlisk, 490 F.2d 894 (7th Cir. 1973). Though some authority is to be found that parties to the judicial proceeding giving rise to the motion are not entitled to intervene, in that 'the order to produce was not directed to' them, United States v. American Oil Co., 456 F.2d 1043 (3d Cir. 1972), that position was rejected in Douglas Oil, where it was noted that such persons have standing 'to object to the disclosure order, as release of the transcripts to their civil adversaries could result in substantial injury to them.' As noted in Illinois v. Sarbaugh, supra, while present rule 6(e) 'omits to state whether any one is entitled to object to disclosure,' the rule seems to contemplate a proceeding of some kind, judicial proceedings are not normally ex parte, and persons in the situation of the intervenors (parties to the civil proceeding) are likely to be the only ones to object to an order for disclosure. If they are not allowed to appear, the advantages of an adversary proceeding are lost. If the judicial proceeding is a class action, notice to the representative is sufficient. The amendment also recognizes that the attorney for the government in the district where the grand jury convened also has an interest in the matter and should be allowed to be heard. It may sometimes be the case, as in Douglas Oil, that the prosecutor will have relatively little concern for secrecy, at least as compared with certain parties to the civil proceeding. Nonetheless, it is appropriate to recognize that generally the attorney for the government is entitled to be heard so that he may represent what Douglas Oil characterizes as 'the public interest in secrecy,' including the government's legitimate concern about 'the possible effect upon the functioning of future grand juries' of unduly liberal disclosure. The second sentence leaves it to the court to decide whether any other persons should receive notice and be allowed to intervene. This is appropriate, for the necessity for and feasibility of involving others may vary substantially from case to case. In Douglas Oil, it was noted that the individual who produced before the grand jury the information now sought has an interest in the matter: Fear of future retribution or social stigma may act as powerful deterrents to those who would come forward and aid the grand jury in the performance of its duties. Concern as to the future consequences of frank and full testimony is heightened where the witness is an employee of a company under investigation. Notice to such persons, however is by no means inevitably necessary, and in some cases the information sought may have reached the grand jury from such a variety of sources that it is not practicable to involve these sources in the disclosure proceeding. Similarily, while Douglas Oil notes that rule 6(e) secrecy affords 'protection of the innocent accused from disclosure of the accusation made against him before the grand jury,' it is appropriate to leave to the court whether that interest requires representation directly by the grand jury target at this time. When deemed necessary to protect the identity of such other persons, it would be a permissible alternative for the government or the court directly to give notice to these other persons, and thus the rule does not foreclose such action. The notice requirement in the second sentence is inapplicable if the hearing is to be ex parte. The legislative history of rule 6(e) states: 'It is contemplated that the judicial hearing in connection with an application for a court order by the government, under subparagraph (3)(C)(i) should be ex parte so as to preserve, to the maximum extent possible, grand jury secrecy.' S.Rep. No. 95-354, 1977 U.S. Code Cong. & Admin. News p. 532. Although such cases are distinguishable from other cases arising under this subdivision because internal regulations limit further disclosure of information disclosed to the government, the rule provides only that the hearing 'may' be ex parte when the petitioner is the government. This allows the court to decide that matter based upon the circumstances of the particular case. For example, an ex parte proceeding is much less likely to be appropriate if the government acts as petitioner as an accommodation to, e.g., a state agency. Note to Subdivision (e)(3)(E). Under the first sentence in new subdivision (e)(3)(E), the petitioner or any intervenor might seek to have the matter transferred to the federal district court where the judicial proceeding giving rise to the petition is pending. Usually, it will be the petitioner, who is seeking disclosure, who will desire the transfer, but this is not inevitably the case. An intervenor might seek transfer on the ground that the other court, with greater knowledge of the extent of the need, would be less likely to conclude 'that the material * * * is needed to avoid a possible injustice' (the test under Douglas Oil). The court may transfer on its own motion, for as noted in Douglas Oil, if transfer is the better course of action it should not be foreclosed 'merely because the parties have failed to specify the relief to which they are entitled.' It must be emphasized that transfer is proper only if the proceeding giving rise to the petition 'is in federal district court in another district.' If, for example, the proceeding is located in another district but is at the state level, a situation encompassed within rule 6(e)(3)(C)(i), In re Special February 1971 Grand Jury v. Conlisk, supra, there is no occasion to transfer. Ultimate resolution of the matter cannot be placed in the hands of the state court, and in such a case the federal court in that place would lack what Douglas Oil recognizes as the benefit to be derived from transfer: 'first-hand knowledge of the litigation in which the transcripts allegedly are needed.' Formal transfer is unnecessary in intradistrict cases, even when the grand jury court and judicial proceeding court are not in the same division. As stated in the first sentence, transfer by the court is appropriate 'unless it can reasonably obtain sufficient knowledge of the proceeding to determine whether disclosure is proper.' (As reflected by the 'whether disclosure is proper' language, the amendment makes no effort to define the disclosure standard; that matter is currently governed by Douglas Oil and the authorities cited therein, and is best left to elaboration by future case law.) The amendment expresses a preference for having the disclosure issue decided by the grand jury court. Yet, it must be recognized, as stated in Douglas Oil, that often this will not be possible because the judges of the court having custody of the grand jury transcripts will have no first-hand knowledge of the litigation in which the transcripts allegedly are needed, and no practical means by which such knowledge can be obtained. In such a case, a judge in the district of the grand jury cannot weigh in an informed manner the need for disclosure against the need for maintaining grand jury secrecy. The penultimate sentence provides that upon transfer the transferring court shall order transmitted the material sought to be disclosed and also a written evaluation of the need for continuing grand jury secrecy. Because the transferring court is in the best position to assess the interest in continued grand jury secrecy in the particular instance, it is important that the court which will now have to balance that interest against the need for disclosure receive the benefit of the transferring court's assessment. Transmittal of the material sought to be disclosed will not only facilitate timely disclosure if it is thereafter ordered, but will also assist the other court in deciding how great the need for disclosure actually is. For example, with that material at hand the other court will be able to determine if there is any inconsistency between certain grand jury testimony and testimony received in the other judicial proceeding. The rule recognizes, however, that there may be instances in which transfer of everything sought to be disclosed is not feasible. See, e.g., In re 1975-2 Grand Jury Investigation, 566 F.2d 1293 (5th Cir. 1978) (court ordered transmittal of 'an inventory of the grand jury subpoenas, transcripts, and documents,' as the materials in question were 'exceedingly voluminous, filling no less than 55 large file boxes and one metal filing cabinet'). The last sentence makes it clear that in a case in which the matter is transferred to another court, that court should permit the various interested parties specified in the rule to be heard. Even if those persons were previously heard before the court which ordered the transfer, this will not suffice. The order of transfer did not decide the ultimate issue of 'whether a particularized need for disclosure outweighs the interest in continued grand jury secrecy,' Douglas Oil, supra, which is what now remains to be resolved by the court to which transfer was made. Cf. In re 1975-2 Grand Jury Investigation, supra, holding that a transfer order is not appealable because it does not determine the ultimate question of disclosure, and thus '(n)o one has yet been aggrieved and no one will become aggrieved until (the court to which the matter was transferred) acts.' Note to Subdivision (e)(5). This addition to rule 6 would make it clear that certain hearings which would reveal matters which have previously occurred before a grand jury or are likely to occur before a grand jury with respect to a pending or ongoing investigation must be conducted in camera in whole or in part in order to prevent public disclosure of such secret information. One such hearing is that conducted under subdivision (e)(3)(D), for it will at least sometimes be necessary to consider and assess some of the 'matters occurring before the grand jury' in order to decide the disclosure issue. Two other kinds of hearings at which information about a particular grand jury investigation might need to be discussed are those at which the question is whether to grant a grand jury witness immunity or whether to order a grand jury witness to comply fully with the terms of a subpoena directed to him. A recent GAO study established that there is considerable variety in the practice as to whether such hearings are closed or open, and that open hearings often seriously jeopardize grand jury secrecy: For judges to decide these matters, the witness' relationship to the case under investigation must be discussed. Accordingly, the identities of witnesses and targets, the nature of expected testimony, and the extent to which the witness is cooperating are often revealed during preindictment proceedings. Because the matters discussed can compromise the purposes of grand jury secrecy, some judges close the preindictment proceedings to the public and the press; others do not. When the proceeding is open, information that may otherwise be kept secret under rule 6(e) becomes available to the public and the press . . . . Open preindictment proceedings are a major source of information which can compromise the purposes of grand jury secrecy. In 25 cases we were able to establish links between open proceedings and later newspaper articles containing information about the identities of witnesses and targets and the nature of grand jury investigations. Comptroller General, More Guidance and Supervision Needed over Federal Grand Jury Proceedings 8-9 (Oct. 16, 1980). The provisions of rule 6(e)(5) do not violate any constitutional right of the public or media to attend such pretrial hearings. There is no Sixth Amendment right in the public to attend pretrial proceedings, Gannett Co., Inc. v. DePasquale, 443 U.S. 368 (1979), and Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, (1980), only recognizes a First Amendment 'right to attend criminal trials.' Richmond Newspapers was based largely upon the 'unbroken, uncontradicted history' of public trials, while in Gannett it was noted 'there exists no persuasive evidence that at common law members of the public had any right to attend pretrial proceedings.' Moreover, even assuming some public right to attend certain pretrial proceedings, see United States v. Criden, 675 F.2d 550 (3d Cir. 1982), that right is not absolute; it must give way, as stated in Richmond Newspapers, to 'an overriding interest' in a particular case in favor of a closed proceeding. By permitting closure only 'to the extent necessary to prevent disclosure of matters occurring before a grand jury,' rule 6(e)(5) recognizes the longstanding interest in the secrecy of grand jury proceedings. Counsel or others allowed to be present at the closed hearing may be put under a protective order by the court. Subdivision (e)(5) is expressly made 'subject to any right to an open hearing in contempt proceedings.' This will accommodate any First Amendment right which might be deemed applicable in that context because of the proceedings' similarities to a criminal trial, cf. United States v. Criden, supra, and also any Fifth or Sixth Amendment right of the contemnor. The latter right clearly exists as to a criminal contempt proceeding, In re Oliver, 333 U.S. 257 (1948), and some authority is to be found recognizing such a right in civil contempt proceedings as well. In re Rosahn, 671 F.2d 690 (2d Cir. 1982). This right of the contemnor must be requested by him and, in any event, does not require that the entire contempt proceedings, including recitation of the substance of the questions he has refused to answer, be public. Levine v. United States, 362 U.S. 610 (1960). Note to Subdivision (e)(6). Subdivision (e)(6) provides that records, orders and subpoenas relating to grand jury proceedings shall be kept under seal to the extent and for so long as is necessary to prevent disclosure of matters occurring before a grand jury. By permitting such documents as grand jury subpoenas and immunity orders to be kept under seal, this provision addresses a serious problem of grand jury secrecy and expressly authorizes a procedure now in use in many but not all disricts. As reported in Comptroller General, More Guidance and Supervision Needed over Federal Grand Jury Proceedings 10, 14 (Oct. 16, 1980): In 262 cases, documents presented at open preindictment proceedings and filed in public files revealed details of grand jury investigations. These documents are, of course, available to anyone who wants them, including targets of investigations. (There are) two documents commonly found in public files which usually reveal the identities of witnesses and targets. The first document is a Department of Justice authorization to a U.S. attorney to apply to the court for a grant of immunity for a witness. The second document is the court's order granting the witness immunity from prosecution and compelling him to testify and produce requested information. * * * Subpoenas are the fundamental documents used during a grand jury's investigation because through subpoenas, grand juries can require witnesses to testify and produce documentary evidence for their consideration. Subpoenas can identify witnesses, potential targets, and the nature of an investigation. Rule 6(e) does not provide specific guidance on whether a grand jury's subpoena should be kept secret. Additionally, case law has not consistently stated whether the subpoenas are protected by rule 6(e). District courts still have different opinions about whether grand jury subpoenas should be kept secret. Out of 40 Federal District Courts we contacted, 36 consider these documents to be secret. However, 4 districts do make them available to the public. Note to Subdivision (g). In its present form, subdivision 6(g) permits a grand jury to serve no more than 18 months after its members have been sworn, and absolutely no exceptions are permitted. (By comparison, under the Organized Crime Control Act of 1970, Title I, 18 U.S.C. Sec. 3331-3334, special grand juries may be extended beyond their basic terms of 18 months if their business has not been completed.) The purpose of the amendment is to permit some degree of flexibility as to the discharge of grand juries where the public interest would be served by an extension. As noted in United States v. Fein, 504 F.2d 1170 (2d Cir. 1974), upholding the dismissal of an indictment returned 9 days after the expiration of the 18-month period but during an attempted extension, under the present inflexible rule 'it may well be that criminal proceedings which would be in the public interest will be frustrated and that those who might be found guilty will escape trial and conviction.' The present inflexible rule can produce several undesirable consequences, especially when complex fraud, organized crime, tax or antitrust cases are under investigation: (i) wastage of a significant amount of time and resources by the necessity of presenting the case once again to a successor grand jury simply because the matter could not be concluded before the term of the first grand jury expired; (ii) precipitous action to conclude the investigation before the expiration date of the grand jury; and (iii) potential defendants may be kept under investigation for a longer time because of the necessity to present the matter again to another grand jury. The amendment to subdivision 6(g) permits extension of a regular grand jury only 'upon a determination that such extension is in the public interest.' This permits some flexibility, but reflects the fact that extension of regular grand juries beyond 18 months is to be the exception and not the norm. The intention of the amendment is to make it possible for a grand jury to have sufficient extra time to wind up an investigation when, for example, such extension becomes necessary because of the unusual nature of the case or unforeseen developments. Because terms of court have been abolished, 28 U.S.C. Sec. 138, the second sentence of subdivision 6(g) has been deleted. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT Note to Subdivision (e)(3)(A)(ii). Rule 6(e)(3)(A)(ii) currently provides that an attorney for the government may disclose grand jury information, without prior judicial approval, to other government personnel whose assistance the attorney for the government deems necessary in conducting the grand jury investigation. Courts have differed over whether employees of state and local governments are 'government personnel' within the meaning of the rule. Compare In re Miami Federal Grand Jury No. 79-9, 478 F.Supp. 490 (S.D.Fla. 1979), and In re Grand Jury Proceedings, 445 F.Supp. 349 (D.R.I. 1978) (state and local personnel not included); with In re 1979 Grand Jury Proceedings, 479 F.Supp. 93 (E.D.N.Y. 1979) (state and local personnel included). The amendment clarifies the rule to include state and local personnel. It is clearly desirable that federal and state authorities cooperate, as they often do, in organized crime and racketeering investigations, in public corruption and major fraud cases, and in various other situations where federal and state criminal jurisdictions overlap. Because of such cooperation, government attorneys in complex grand jury investigations frequently find it necessary to enlist the help of a team of government agents. While the agents are usually federal prsonnel, it is not uncommon in certain types of investigations that federal prosecutors wish to obtain the assistance of state law enforcement personnel, which could be uniquely beneficial. The amendment permits disclosure to those personnel in the circumstances stated. It must be emphasized that the disclosure permitted is limited. The disclosure under this subdivision is permissible only in connection with the attorney for the government's 'duty to enforce federal criminal law' and only to those personnel 'deemed necessary . . . to assist' in the performance of that duty. Under subdivision (e)(3)(B), the material disclosed may not be used for any other purpose, and the names of persons to whom disclosure is made must be promptly provided to the court. Note to Subdivision (e)(3)(B). The amendment to subdivision (e)(3)(B) imposes upon the attorney for the government the responsibility to certify to the district court that he has advised those persons to whom disclosure was made under subdivison (e)(3)(A)(ii) of their obligation of secrecy under Rule 6. Especially with the amendment of subdivision (e)(3)(A)(ii) to include personnel of a state or subdivision of a state, who otherwise would likely be unaware of this obligation of secrecy, the giving of such advice is an important step in ensuring against inadvertent breach of grand jury secrecy. But because not all federal government personnel will otherwise know of this obligation, the giving of the advice and certification thereof is required as to all persons receiving disclosure under subdivison (e)(3)(A)(ii). Note to Subdivision (e)(3)(C). It sometimes happens that during a federal grand jury investigation evidence will be developed tending to show a violation of state law. When this occurs, it is very frequently the case that this evidence cannot be communicated to the appropriate state officials for further investigation. For one thing, any state officials who might seek this information must show particularized need. Illinois v. Abbott & Associates, 103 S.Ct. 1356 (1983). For another, and more significant, it is often the case that the information relates to a state crime outside the context of any pending or even contemplated state judicial proceeding, so that the 'preliminarily to or in connection with a judicial proceeding' requirement of subdivision (e)(3)(C)(i) cannot be met. This inability lawfully to disclose evidence of a state criminal violation - evidence legitimately obtained by the grand jury - constitutes an unreasonable barrier to the effective enforcement of our two-tiered system of criminal laws. It would be removed by new subdivision (e)(3)(C)(iv), which would allow a court to permit disclosure to a state or local official for the purpose of enforcing state law when an attorney for the government so requests and makes the requisite showing. The federal court has been given control over any disclosure which is authorized, for subdivision (e)(3)(C) presently states that 'the disclosure shall be made in such manner, at such time, and under such conditions as the court may direct.' The Committee is advised that it will be the policy of the Department of Justice under this amendment to seek such disclosure only upon approval of the Assistant Attorney General in charge of the Criminal Division. There is no intention, by virtue of this amendment, to have federal grand juries act as an arm of the state. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT New subdivision (a)(2) gives express recognition to a practice now followed in some district courts, namely, that of designating alternate grand jurors at the time the grand jury is selected. (A person so designated does not attend court and is not paid the jury attendance fees and expenses authorized by 28 U.S.C. Sec. 1871 unless subsequently impanelled pursuant to Rule 6(g).) Because such designation may be a more efficient procedure than election of additional grand jurors later as need arises under subdivision (g), the amendment makes it clear that it is a permissible step in the grand jury selection process. This amendment is not intended to work any change in subdivision (g). In particular, the fact that one or more alternate jurors either have or have not been previously designated does not limit the district court's discretion under subdivision (g) to decide whether, if a juror is excused temporarily or permanently, another person should replace him to assure the continuity of the grand jury and its ability to obtain a quorum in order to complete its business. The amendments (subdivisions (c) and (f)) are technical. No substantive change is intended. 1984 AMENDMENT Subd. (e)(3)(C)(iv). Pub. L. 98-473, eff. Nov. 1, 1987, added subcl. (iv), identical to subcl. (iv) which had been previously added by Order of the Supreme Court dated Apr. 29, 1985, eff. Aug. 1, 1985, thereby requiring no change in text. CONGRESSIONAL MODIFICATION OF PROPOSED 1977 AMENDMENT Section 2(a) of Pub. L. 95-78 provided in part that the amendment proposed by the Supreme Court (in its order of Apr. 26, 1977) to subdivision (e) of rule 6 of the Federal Rules of Criminal Procedure (subd. (e) of this rule) is approved in a modified form. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1977 AMENDMENT Amendment of this rule by order of the United States Supreme Court on Apr. 26, 1977, modified and approved by Pub. L. 95-78, effective Oct. 1, 1977, see section 4 of Pub. L. 95-78, set out as an Effective Date of Pub. L. 95-78 note under section 3771 of this title. EFFECTIVE DATE OF 1976 AMENDMENT Amendment of subd. (f) by the order of the United States Supreme Court of Apr. 26, 1976, effective Aug. 1, 1976, see section 1 of Pub. L. 94-349, July 8, 1976, 90 Stat. 822, set out as a note under section 3771 of this title. -CROSS- CROSS REFERENCES Additional jurors, summoning, see section 3321 of this title. Bankruptcy investigation, presentation to grand jury, see section 3057 of this title. Dismissal of grand jury, reindictment affected by statute of limitations, see sections 3288 and 3289 of this title. Grand jurors, qualifications, fees and manner of drawing, see section 1861 et seq. of Title 28, Judiciary and Judicial Procedure. Intimidation of grand jury, obstructing justice by, see sections 1503 and 1504 of this title. Qualifications of grand jurors, generally, see section 1861 of Title 28, Judiciary and Judicial Procedure. Unnecessary delay in presenting charge, dismissal for, see rule 48. ------DocID 25083 Document 1325 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 7 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS III -HEAD- Rule 7. The Indictment and the Information -STATUTE- (a) Use of Indictment or Information. An offense which may be punished by death shall be prosecuted by indictment. An offense which may be punished by imprisonment for a term exceeding one year or at hard labor shall be prosecuted by indictment or, if indictment is waived, it may be prosecuted by information. Any other offense may be prosecuted by indictment or by information. An information may be filed without leave of court. (b) Waiver of Indictment. An offense which may be punished by imprisonment for a term exceeding one year or at hard labor may be prosecuted by information if the defendant, after having been advised of the nature of the charge and of the rights of the defendant, waives in open court prosecution by indictment. (c) Nature and Contents. (1) In General. The indictment or the information shall be a plain, concise and definite written statement of the essential facts constituting the offense charged. It shall be signed by the attorney for the government. It need not contain a formal commencement, a formal conclusion or any other matter not necessary to such statement. Allegations made in one count may be incorporated by reference in another count. It may be alleged in a single count that the means by which the defendant committed the offense are unknown or that the defendant committed it by one or more specified means. The indictment or information shall state for each count the official or customary citation of the statute, rule, regulation or other provision of law which the defendant is alleged therein to have violated. (2) Criminal Forfeiture. No judgment of forfeiture may be entered in a criminal proceeding unless the indictment or the information shall allege the extent of the interest or property subject to forfeiture. (3) Harmless Error. Error in the citation or its omission shall not be ground for dismissal of the indictment or information or for reversal of a conviction if the error or omission did not mislead the defendant to the defendant's prejudice. (d) Surplusage. The court on motion of the defendant may strike surplusage from the indictment or information. (e) Amendment of Information. The court may permit an information to be amended at any time before verdict or finding if no additional or different offense is charged and if substantial rights of the defendant are not prejudiced. (f) Bill of Particulars. The court may direct the filing of a bill of particulars. A motion for a bill of particulars may be made before arraignment or within ten days after arraignment or at such later time as the court may permit. A bill of particulars may be amended at any time subject to such conditions as justice requires. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 30, 1979, eff. Aug. 1, 1979; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. This rule gives effect to the following provision of the Fifth Amendment to the Constitution of the United States: 'No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury * * *'. An infamous crime has been defined as a crime punishable by death or by imprisonment in a penitentiary or at hard labor, Ex parte Wilson, 114 U.S. 417, 427; United States v. Moreland, 258 U.S. 433. Any sentence of imprisonment for a term of over one year may be served in a penitentiary, if so directed by the Attorney General, 18 U.S.C. 753f (now 4082, 4083) (Commitment of persons by any court of the United States and the juvenile court of the District of Columbia; place of confinement; transfers). Consequently any offense punishable by imprisonment for a term of over one year is an infamous crime. 2. Petty offenses and misdemeanors for which no infamous punishment is prescribed may now be prosecuted by information, 18 U.S.C. 541 (see 1) (Felonies and misdemeanors); Duke v. United States, 301 U.S. 492. 3. For a discussion of the provision for waiver of indictment, see Note to Rule 7(b), infra. 4. Presentment is not included as an additional type of formal accusation, since presentments as a method of instituting prosecutions are obsolete, at least as concerns the Federal courts. Note to Subdivision (b). 1. Opportunity to waive indictment and to consent to prosecution by information will be a substantial aid to defendants, especially those who, because of inability to give bail, are incarcerated pending action of the grand jury, but desire to plead guilty. This rule is particularly important in those districts in which considerable intervals occur between sessions of the grand jury. In many districts where the grand jury meets infrequently a defendant unable to give bail and desiring to plead guilty is compelled to spend many days, and sometimes many weeks, and even months, in jail before he can begin the service of his sentence, whatever it may be, awaiting the action of a grand jury. Homer Cummings, 29 A.B.A.Jour. 654-655; Vanderbilt, 29 A.B.A.Jour. 376, 377; Robinson, 27 Jour. of the Am. Judicature Soc. 38, 45; Medalie, 4 Lawyers Guild R. (3)1, 3. The rule contains safeguards against improvident waivers. The Judicial Conference of Senior Circuit Judges, in September 1941, recommended that 'existing law or established procedure be so changed, that a defendant may waive indictment and plead guilty to an information filed by a United States attorney in all cases except capital felonies.' Report of the Judicial Conference of Senior Circuit Judges (1941) 13. In September 1942 the Judicial Conference recommended that provision be made 'for waiver of indictment and jury trial, so that persons accused of crime may not be held in jail needlessly pending trial.' Id. (1942) 8. Attorneys General of the United States have from time to time recommended legislation to permit defendants to waive indictment and to consent to prosecution by information. See Annual Report of the Attorney General of the United States (Mitchell) (1931) 3; Id. (Mitchell) (1932) 6; Id. (Cummings) (1933) 1, (1936) 2, (1937) 11, (1938) 9; Id. (Murphy) (1939) 7. The Federal Juvenile Delinquency Act (now 18 U.S.C. 5031-5037), now permits a juvenile charged with an offense not punishable by death or life imprisonment to consent to prosecution by information on a charge of juvenile delinquency, 18 U.S.C. 922 (now 5032, 5033). 2. On the constitutionality of this rule, see United States v. Gill, 55 F.2d 399 (D.N.M.), holding that the constitutional guaranty of indictment by grand jury may be waived by defendant. It has also been held that other constitutional guaranties may be waived by the defendant, e. g., Patton v. United States, 281 U.S. 276 (trial by jury); Johnson v. Zerbst, 304 U.S. 458, 465 (right of counsel); Trono v. United States, 199 U.S. 521, 534 (protection against double jeopardy); United States v. Murdock, 284 U.S. 141, 148 (privilege against self-incrimination); Diaz v. United States, 223 U.S. 442, 450 (right of confrontation). Note to Subdivision (c). 1. This rule introduces a simple form of indictment, illustrated by Forms 1 to 11 in the Appendix of Forms. Cf. Rule 8(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). For discussion of the effect of this rule and a comparison between the present form of indictment and the simple form introduced by this rule, see Vanderbilt, 29 A.B.A.Jour. 376, 377; Homer Cummings, 29 A.B.A.Jour. 654, 655; Holtzoff, 3 F.R.D. 445, 448-449; Holtzoff, 12 Geo. Washington L.R. 119, 123-126; Medalie, 4 Lawyers Guild R. (3)1, 3. 2. The provision contained in the fifth sentence that it may be alleged in a single count that the means by which the defendant committed the offense are unknown, or that he committed it by one or more specified means, is intended to eliminate the use of multiple counts for the purpose of alleging the commission of the offense by different means or in different ways. Cf. Federal Rules of Civil Procedure, Rule 8(e)(2) (28 U.S.C., Appendix). 3. The law at present regards citations to statutes or regulations as not a part of the indictment. A conviction may be sustained on the basis of a statute or regulation other than that cited. Williams v. United States, 168 U.S. 382, 389; United States v. Hutcheson, 312 U.S. 219, 229. The provision of the rule, in view of the many statutes and regulations, is for the benefit of the defendant and is not intended to cause a dismissal of the indictment, but simply to provide a means by which he can be properly informed without danger to the prosecution. Note to Subdivision (d). This rule introduces a means of protecting the defendant against immaterial or irrelevant allegations in an indictment or information, which may, however, be prejudicial. The authority of the court to strike such surplusage is to be limited to doing so on defendant's motion, in the light of the rule that the guaranty of indictment by a grand jury implies that an indictment may not be amended, Ex parte Bain, 121 U.S. 1. By making such a motion, the defendant would, however, waive his rights in this respect. Note to Subdivision (e). This rule continues the existing law that, unlike an indictment, an information may be amended, Muncy v. United States, 289 F. 780 (C.C.A. 4th). Note to Subdivision (f). This rule is substantially a restatement of existing law on bills of particulars. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The amendment to the first sentence eliminating the requirement of a showing of cause is designed to encourage a more liberal attitude by the courts toward bills of particulars without taking away the discretion which courts must have in dealing with such motions in individual cases. For an illustration of wise use of this discretion see the opinion by Justice Whittaker written when he was a district judge in United States v. Smith, 16 F.R.D. 372 (W.D.Mo. 1954). The amendment to the second sentence gives discretion to the court to permit late filing of motions for bills of particulars in meritorious cases. Use of late motions for the purpose of delaying trial should not, of course, be permitted. The courts have not been agreed as to their power to accept late motions in the absence of a local rule or a previous order. See United States v. Miller, 217 F.Supp. 760 (E.D.Pa. 1963); United States v. Taylor, 25 F.R.D. 225 (E.D.N.Y. 1960); United States v. Sterling, 122 F.Supp. 81 (E.D.Pa. 1954) (all taking a limited view of the power of the court). But cf. United States v. Brown, 179 F.Supp. 893 (E.D.N.Y. 1959) (exercising discretion to permit an out of time motion). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (c)(2) is new. It is intended to provide procedural implementation of the recently enacted criminal forfeiture provision of the Organized Crime Control Act of 1970, Title IX, Sec. 1963, and the Comprehensive Drug Abuse Prevention and Control Act of 1970, Title II, Sec. 408(a)(2). The Congress viewed the provisions of the Organized Crime Control Act of 1970 as reestablishing a limited common law criminal forfeiture. S. Rep. No. 91-617, 91st Cong., 1st Sess. 79-80 (1969). The legislative history of the Comprehensive Drug Abuse Prevention and Control Act of 1970 indicates a congressional purpose to have similar procedures apply to the forfeiture of profits or interests under that act. H. Rep. No. 91-1444 (part I), 91st Cong., 2d Sess. 81-85 (1970). Under the common law, in a criminal forfeiture proceeding the defendant was apparently entitled to notice, trial, and a special jury finding on the factual issues surrounding the declaration of forfeiture which followed his criminal conviction. Subdivision (c)(2) provides for notice. Changes in rules 31 and 32 provide for a special jury finding and for a judgment authorizing the Attorney General to seize the interest or property forfeited. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT The amendment to rule 7(c)(2) is intended to clarify its meaning. Subdivision (c)(2) was added in 1972, and, as noted in the Advisory Committee Note thereto, was 'intended to provide procedural implementation of the recently enacted criminal forfeiture provision of the Organized Crime Control Act of 1970, Title IX, Sec. 1963, and the Comprehensive Drug Abuse Prevention and Control Act of 1970, Title II, Sec. 408(a)(2).' These provisions reestablished a limited common law criminal forfeiture, necessitating the addition of subdivision (c)(2) and corresponding changes in rules 31 and 32, for at common law the defendant in a criminal forfeiture proceeding was entitled to notice, trial, and a special jury finding on the factual issues surrounding the declaration of forefeiture which followed his criminal conviction. Although there is some doubt as to what forfeitures should be characterized as 'punitive' rather than 'remedial,' see Note, 62 Cornell L.Rev. 768 (1977), subdivision (c)(2) is intended to apply to those forfeitures which are criminal in the sense that they result from a special verdict under rule 31(e) and a judgment under rule 32(b)(2), and not to those resulting from a separate in rem proceeding. Because some confusion in this regard has resulted from the present wording of subdivision (c)(2), United States v. Hall, 521 F.2d 406 (9th Cir. 1975), a clarifying amendment is in order. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. GUAM Applicability of requirement for indictment by grand jury in certain cases, to criminal prosecutions in the District Court of Guam, see section 1424 of Title 48, Territories and Insular Possessions. VIRGIN ISLANDS Prosecutions in District Court of the Virgin Islands to be by information except such as may be required by local law to be by indictment by grand jury, see section 1615 of Title 48, Territories and Insular Possessions. -CROSS- CROSS REFERENCES Arraignment, reading of indictment or information to defendant, see rule 10. Arrest of judgment, indictment or information not charging offense, see rule 34. Capital offense, copy of indictment or information furnished to person charged, see section 3432 of this title. Dismissal of indictment or information - By Attorney General or United States attorney, see rule 48. Raising defenses or objections before trial, see rule 12. Election, prejudicial joinder, see rule 14. Judgment of acquittal, insufficiency of indictment or information, see rule 29. Juvenile delinquents, proceeding against by information, see section 5032 of this title. Removal proceedings, generally, see rule 40. Setting aside or dismissing indictment, direct appeal from district court to Supreme Court, see section 3731 of this title. Trial together of indictments or informations, see rule 13. ------DocID 25084 Document 1326 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 8 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS III -HEAD- Rule 8. Joinder of Offenses and of Defendants -STATUTE- (a) Joinder of Offenses. Two or more offenses may be charged in the same indictment or information in a separate count for each offense if the offenses charged, whether felonies or misdemeanors or both, are of the same or similar character or are based on the same act or transaction or on two or more acts or transactions connected together or constituting parts of a common scheme or plan. (b) Joinder of Defendants. Two or more defendants may be charged in the same indictment or information if they are alleged to have participated in the same act or transaction or in the same series of acts or transactions constituting an offense or offenses. Such defendants may be charged in one or more counts together or separately and all of the defendants need not be charged in each count. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is substantially a restatement of existing law, 18 U.S.C. (former) 557 (Indictments and presentments; joinder of charges). Note to Subdivision (b). The first sentence of the rule is substantially a restatement of existing law, 9 Edmunds, Cyclopedia of Federal Procedure (2d Ed.) 4116. The second sentence formulates a practice now approved in some circuits. Caringella v. United States, 78 F.2d 563, 567 (C.C.A. 7th). -CROSS- CROSS REFERENCES Consolidation of indictments or informations, see rule 13. Election of counts, see rule 14. ------DocID 25085 Document 1327 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 9 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS III -HEAD- Rule 9. Warrant or Summons Upon Indictment or Information -STATUTE- (a) Issuance. Upon the request of the attorney for the government the court shall issue a warrant for each defendant named in an information supported by a showing of probable cause under oath as is required by Rule 4(a), or in an indictment. Upon the request of the attorney for the government a summons instead of a warrant shall issue. If no request is made, the court may issue either a warrant or a summons in its discretion. More than one warrant or summons may issue for the same defendant. The clerk shall deliver the warrant or summons to the marshal or other person authorized by law to execute or serve it. If a defendant fails to appear in response to the summons, a warrant shall issue. When a defendant arrested with a warrant or given a summons appears initially before a magistrate, the magistrate shall proceed in accordance with the applicable subdivisions of Rule 5. (b) Form. (1) Warrant. The form of the warrant shall be as provided in Rule 4(c)(1) except that it shall be signed by the clerk, it shall describe the offense charged in the indictment or information and it shall command that the defendant be arrested and brought before the nearest available magistrate. The amount of bail may be fixed by the court and endorsed on the warrant. (2) Summons. The summons shall be in the same form as the warrant except that it shall summon the defendant to appear before a magistrate at a stated time and place. (c) Execution or Service; and Return. (1) Execution or Service. The warrant shall be executed or the summons served as provided in Rule 4(d)(1), (2) and (3). A summons to a corporation shall be served by delivering a copy to an officer or to a managing or general agent or to any other agent authorized by appointment or by law to receive service of process and, if the agent is one authorized by statute to receive service and the statute so requires, by also mailing a copy to the corporation's last known address within the district or at its principal place of business elsewhere in the United States. The officer executing the warrant shall bring the arrested person without unnecessary delay before the nearest available federal magistrate or, in the event that a federal magistrate is not reasonably available, before a state or local judicial officer authorized by 18 U.S.C. Sec. 3041. (2) Return. The officer executing a warrant shall make return thereof to the magistrate or other officer before whom the defendant is brought. At the request of the attorney for the government any unexecuted warrant shall be returned and cancelled. On or before the return day the person to whom a summons was delivered for service shall make return thereof. At the request of the attorney for the government made at any time while the indictment or information is pending, a warrant returned unexecuted and not cancelled or a summons returned unserved or a duplicate thereof may be delivered by the clerk to the marshal or other authorized person for execution or service. ((d) Remand to United States Magistrate for Trial of Minor Offenses.) (Abrogated Apr. 28, 1982, eff. Aug. 1, 1982) -SOURCE- (As amended Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(4), 89 Stat. 370; Dec. 12, 1975, Pub. L. 94-149, Sec. 5, 89 Stat. 806; Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 28, 1982, eff. Aug. 1, 1982.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. See Note to Rule 4, supra. 2. The provision of Rule 9(a) that a warrant may be issued on the basis of an information only if the latter is supported by oath is necessitated by the Fourth Amendment to the Constitution of the United States. See Albrecht v. United States, 273 U.S. 1, 5. 3. The provision of Rule 9(b)(1) that the amount of bail may be fixed by the court and endorsed on the warrant states a practice now prevailing in many districts and is intended to facilitate the giving of bail by the defendant and eliminate delays between the arrest and the giving of bail, which might ensue if bail cannot be fixed until after arrest. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (b) is amended to make clear that the person arrested shall be brought before a United States magistrate if the information or indictment charges a 'minor offense' triable by the United States magistrate. Subdivision (c) is amended to reflect the office of United States magistrate. Subdivision (d) is new. It provides for a remand to the United States magistrate of cases in which the person is charged with a 'minor offense.' The magistrate can then proceed in accordance with rule 5 to try the case if the right to trial before a judge of the district court is waived. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Rule 9 is revised to give high priority to the issuance of a summons unless a 'valid reason' is given for the issuance of an arrest warrant. See a comparable provision in rule 4. Under the rule, a summons will issue by the clerk unless the attorney for the government presents a valid reason for the issuance of an arrest warrant. Under the old rule, it has been argued that the court must issue an arrest warrant if one is desired by the attorney for the government. See authorities listed in Frankel, Bench Warrants Upon the Prosecutor's Demand: A View From the Bench, 71 Colum.L.Rev. 403, 410 n. 25 (1971). For an expression of the view that this is undesirable policy, see Frankel, supra, pp. 410-415. A summons may issue if there is an information supported by oath. The indictment itself is sufficient to establish the existence of probable cause. See C. Wright, Federal Practice and Procedure: Criminal Sec. 151 (1969); 8 J. Moore, Federal Practice 9.02 (2) at p. 9-4 (2d ed.) Cipes (1969); Giordenello v. United States, 357 U.S. 480, 78 S.Ct. 1245, 2 L.Ed. 2d 1503 (1958). This is not necessarily true in the case of an information. See C. Wright, supra, Sec. 151; 8 J. Moore, supra, 9.02. If the government requests a warrant rather than a summons, good practice would obviously require the judge to satisfy himself that there is probable cause. This may appear from the information or from an affidavit filed with the information. Also a defendant can, at a proper time, challenge an information issued without probable cause. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 9 of the Federal Rules of Criminal Procedure is closely related to Rule 4. Rule 9 deals with arrest procedures after an information has been filed or an indictment returned. The present rule gives the prosecutor the authority to decide whether a summons or a warrant shall issue. The Supreme Court's amendments to Rule 9 parallel its amendments to Rule 4. The basic change made in Rule 4 is also made in Rule 9. B. Committee Action. For the reasons set forth above in connection with Rule 4, the Committee endorses and accepts the basic change in Rule 9. The Committee made changes in Rule 9 similar to the changes it made in Rule 4. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Subdivision (a) is amended to make explicit the fact that a warrant may issue upon the basis of an information only if the information or an affidavit filed with the information shows probable cause for the arrest. This has generally been assumed to be the state of the law even though not specifically set out in rule 9; see C. Wright, Federal Practice and Procedure: Criminal Sec. 151 (1969); 8 J. Moore, Federal Practice par. 9.02(2) (2d ed. 1976). In Gerstein v. Pugh, 420 U.S. 103 (1975), the Supreme Court rejected the contention 'that the prosecutor's decision to file an information is itself a determination of probable cause that furnishes sufficient reason to detain a defendant pending trial,' commenting: Although a conscientious decision that the evidence warrants prosecution affords a measure of protection against unfounded detention, we do not think prosecutorial judgment standing alone meets the requirements of the Fourth Amendment. Indeed, we think the Court's previous decisions compel disapproval of (such) procedure. In Albrecht v. United States, 273 U.S. 1, 5, 47 S.Ct. 250, 251, 71 L.Ed. 505 (1927), the Court held that an arrest warrant issued solely upon a United States Attorney's information was invalid because the accompanying affidavits were defective. Although the Court's opinion did not explicitly state that the prosecutor's official oath could not furnish probable cause, that conclusion was implicit in the judgment that the arrest was illegal under the Fourth Amendment. No change is made in the rule with respect to warrants issuing upon indictments. In Gerstein, the Court indicated it was not disturbing the prior rule that 'an indictment, 'fair upon its face,' and returned by a 'properly constituted grand jury' conclusively determines the existence of probable cause and requires issuance of an arrest warrant without further inquiry.' See Ex parte United States, 287 U.S. 241, 250 (1932). The provision to the effect that a summons shall issue 'by direction of the court' has been eliminated because it conflicts with the first sentence of the rule, which states that a warrant 'shall' issue when requested by the attorney for the government, if properly supported. However, an addition has been made providing that if the attorney for the government does not make a request for either a warrant or summons, then the court may in its discretion issue either one. Other stylistic changes ensure greater consistency with comparable provisions in rule 4. NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT Note to Subdivision (a). The amendment of subdivision (a), by reference to Rule 5, clarifies what is to be done once the defendant is brought before the magistrate. This means, among other things, that no preliminary hearing is to be held in a Rule 9 case, as Rule 5(c) provides that no such hearing is to be had 'if the defendant is indicted or if an information against the defendant is filed.' Note to Subdivision (b). The amendment of subdivision (b) conforms Rule 9 to the comparable provisions in Rule 4(c)(1) and (2). Note to Subdivision (c). The amendment of subdivision (c) conforms Rule 9 to the comparable provisions in Rules 4(d)(4) and 5(a) concerning return of the warrant. Note to Subdivision (d). This subdivision, incorrect in its present form in light of the recent amendment of 18 U.S.C. Sec. 3401(a), has been abrogated as unnecessary in light of the change to subdivision (a). 1975 AMENDMENTS Subd. (a). Pub. L. 94-64 amended subd. (a) generally. Subd. (b)(1). Pub. L. 94-149 substituted reference to 'rule 4(c)(1)' for 'rule 4(b)(1)'. Subd. (c)(1). Pub. L. 94-149 substituted reference to 'rule 4(d)(1), (2), and (3)' for 'rule 4(c)(1), (2), and (3)'. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- CROSS REFERENCES Commitment to another district, see rule 40. ------DocID 25086 Document 1328 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE IV -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- IV. ARRAIGNMENT, AND PREPARATION FOR TRIAL ------DocID 25087 Document 1329 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 10 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 10. Arraignment -STATUTE- Arraignment shall be conducted in open court and shall consist of reading the indictment or information to the defendant or stating to the defendant the substance of the charge and calling on the defendant to plead thereto. The defendant shall be given a copy of the indictment or information before being called upon to plead. -SOURCE- Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. The first sentence states the prevailing practice. 2. The requirement that the defendant shall be given a copy of the indictment or information before he is called upon to plead, contained in the second sentence, is new. 3. Failure to comply with arraignment requirements has been held not to be jurisdictional, but a mere technical irregularity not warranting a reversal of a conviction, if not raised before trial, Garland v. State of Washington, 232 U.S. 642. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- CROSS REFERENCES Assignment of counsel in preliminary proceedings, see note under rule 44. Bill of particulars before arraignment, see rule 7. ------DocID 25088 Document 1330 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 11 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 11. Pleas -STATUTE- (a) Alternatives. (1) In General. A defendant may plead not guilty, guilty, or nolo contendere. If a defendant refuses to plead or if a defendant corporation fails to appear, the court shall enter a plea of not guilty. (2) Conditional Pleas. With the approval of the court and the consent of the government, a defendant may enter a conditional plea of guilty or nolo contendere, reserving in writing the right, on appeal from the judgment, to review of the adverse determination of any specified pretrial motion. A defendant who prevails on appeal shall be allowed to withdraw the plea. (b) Nolo Contendere. A defendant may plead nolo contendere only with the consent of the court. Such a plea shall be accepted by the court only after due consideration of the views of the parties and the interest of the public in the effective administration of justice. (c) Advice to Defendant. Before accepting a plea of guilty or nolo contendere, the court must address the defendant personally in open court and inform the defendant of, and determine that the defendant understands, the following: (1) the nature of the charge to which the plea is offered, the mandatory minimum penalty provided by law, if any, and the maximum possible penalty provided by law, including the effect of any special parole or supervised release term, the fact that the court is required to consider any applicable sentencing guidelines but may depart from those guidelines under some circumstances, and, when applicable, that the court may also order the defendant to make restitution to any victim of the offense; and (2) if the defendant is not represented by an attorney, that the defendant has the right to be represented by an attorney at every stage of the proceeding and, if necessary, one will be appointed to represent the defendant; and (3) that the defendant has the right to plead not guilty or to persist in that plea if it has already been made, the right to be tried by a jury and at that trial the right to the assistance of counsel, the right to confront and cross-examine adverse witnesses, and the right against compelled self-incrimination; and (4) that if a plea of guilty or nolo contendere is accepted by the court there will not be a further trial of any kind, so that by pleading guilty or nolo contendere the defendant waives the right to a trial; and (5) if the court intends to question the defendant under oath, on the record, and in the presence of counsel about the offense to which the defendant has pleaded, that the defendant's answers may later be used against the defendant in a prosecution for perjury or false statement. (d) Insuring That the Plea Is Voluntary. The court shall not accept a plea of guilty or nolo contendere without first, by addressing the defendant personally in open court, determining that the plea is voluntary and not the result of force or threats or of promises apart from a plea agreement. The court shall also inquire as to whether the defendant's willingness to plead guilty or nolo contendere results from prior discussions between the attorney for the government and the defendant or the defendant's attorney. (e) Plea Agreement Procedure. (1) In General. The attorney for the government and the attorney for the defendant or the defendant when acting pro se may engage in discussions with a view toward reaching an agreement that, upon the entering of a plea of guilty or nolo contendere to a charged offense or to a lesser or related offense, the attorney for the government will do any of the following: (A) move for dismissal of other charges; or (B) make a recommendation, or agree not to oppose the defendant's request, for a particular sentence, with the understanding that such recommendation or request shall not be binding upon the court; or (C) agree that a specific sentence is the appropriate disposition of the case. The court shall not participate in any such discussions. (2) Notice of Such Agreement. If a plea agreement has been reached by the parties, the court shall, on the record, require the disclosure of the agreement in open court or, on a showing of good cause, in camera, at the time the plea is offered. If the agreement is of the type specified in subdivision (e)(1)(A) or (C), the court may accept or reject the agreement, or may defer its decision as to the acceptance or rejection until there has been an opportunity to consider the presentence report. If the agreement is of the type specified in subdivision (e)(1)(B), the court shall advise the defendant that if the court does not accept the recommendation or request the defendant nevertheless has no right to withdraw the plea. (3) Acceptance of a Plea Agreement. If the court accepts the plea agreement, the court shall inform the defendant that it will embody in the judgment and sentence the disposition provided for in the plea agreement. (4) Rejection of a Plea Agreement. If the court rejects the plea agreement, the court shall, on the record, inform the parties of this fact, advise the defendant personally in open court or, on a showing of good cause, in camera, that the court is not bound by the plea agreement, afford the defendant the opportunity to then withdraw the plea, and advise the defendant that if the defendant persists in a guilty plea or plea of nolo contendere the disposition of the case may be less favorable to the defendant than that contemplated by the plea agreement. (5) Time of Plea Agreement Procedure. Except for good cause shown, notification to the court of the existence of a plea agreement shall be given at the arraignment or at such other time, prior to trial, as may be fixed by the court. (6) Inadmissibility of Pleas, Plea Discussions, and Related Statements. Except as otherwise provided in this paragraph, evidence of the following is not, in any civil or criminal proceeding, admissible against the defendant who made the plea or was a participant in the plea discussions: (A) a plea of guilty which was later withdrawn; (B) a plea of nolo contendere; (C) any statement made in the course of any proceedings under this rule regarding either of the foregoing pleas; or (D) any statement made in the course of plea discussions with an attorney for the government which do not result in a plea of guilty or which result in a plea of guilty later withdrawn. However, such a statement is admissible (i) in any proceeding wherein another statement made in the course of the same plea or plea discussions has been introduced and the statement ought in fairness be considered contemporaneously with it, or (ii) in a criminal proceeding for perjury or false statement if the statement was made by the defendant under oath, on the record, and in the presence of counsel. (f) Determining Accuracy of Plea. Notwithstanding the acceptance of a plea of guilty, the court should not enter a judgment upon such plea without making such inquiry as shall satisfy it that there is a factual basis for the plea. (g) Record of Proceedings. A verbatim record of the proceedings at which the defendant enters a plea shall be made and, if there is a plea of guilty or nolo contendere, the record shall include, without limitation, the court's advice to the defendant, the inquiry into the voluntariness of the plea including any plea agreement, and the inquiry into the accuracy of a guilty plea. (h) Harmless Error. Any variance from the procedures required by this rule which does not affect substantial rights shall be disregarded. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(5)-(10), 89 Stat. 371, 372; Apr. 30, 1979, eff. Aug. 1, 1979, and Dec. 1, 1980; Apr. 28, 1982, eff. Aug. 1, 1982; Apr. 28, 1983, eff. Aug. 1, 1983; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7076, 102 Stat. 4406; Apr. 25, 1989, eff. Dec. 1, 1989.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. This rule is substantially a restatement of existing law and practice, 18 U.S.C. (former) 564 (Standing mute); Fogus v. United States, 34 F.2d 97 (C.C.A. 4th) (duty of court to ascertain that plea of guilty is intelligently and voluntarily made). 2. The plea of nolo contendere has always existed in the Federal courts, Hudson v. United States, 272 U.S. 451; United States v. Norris, 281 U.S. 619. The use of the plea is recognized by the Probation Act, 18 U.S.C. 724 (now 3651). While at times criticized as theoretically lacking in logical basis, experience has shown that it performs a useful function from a practical standpoint. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The great majority of all defendants against whom indictments or informations are filed in the federal courts plead guilty. Only a comparatively small number go to trial. See United States Attorneys Statistical Report, Fiscal Year 1964, p. 1. The fairness and adequacy of the procedures on acceptance of pleas of guilty are of vital importance in according equal justice to all in the federal courts. Three changes are made in the second sentence. The first change makes it clear that before accepting either a plea of guilty or nolo contendere the court must determine that the plea is made voluntarily with understanding of the nature of the charge. The second change expressly requires the court to address the defendant personally in the course of determining that the plea is made voluntarily and with understanding of the nature of the charge. The reported cases reflect some confusion over this matter. Compare United States v. Diggs, 304 F.2d 929 (6th Cir. 1962); Domenica v. United States, 292 F.2d 483 (1st Cir. 1961); Gundlach v. United States, 262 F.2d 72 (4th Cir. 1958), cert. den., 360 U.S. 904 (1959); and Julian v. United States, 236 F.2d 155 (6th Cir. 1956), which contain the implication that personal interrogation of the defendant is the better practice even when he is represented by counsel, with Meeks v. United States, 298 F.2d 204 (5th Cir. 1962); Nunley v. United States, 294 F.2d 579 (10th Cir. 1961), cert. den., 368 U.S. 991 (1962); and United States v. Von der Heide, 169 F.Supp. 560 (D.D.C. 1959). The third change in the second sentence adds the words 'and the consequences of his plea' to state what clearly is the law. See, e.g., Von Moltke v. Gillies, 332 U.S. 708, 724 (1948); Kerchevel v. United States, 274 U.S. 220, 223 (1927); Munich v. United States, 337 F.2d 356 (9th Cir. 1964); Pilkington v. United States, 315 F.2d 204 (4th Cir. 1963); Smith v. United States, 324 F.2d 436 (D.C. Cir. 1963); but cf. Marvel v. United States, 335 F.2d 101 (5th Cir. 1964). A new sentence is added at the end of the rule to impose a duty on the court in cases where the defendant pleads guilty to satisfy itself that there is a factual basis for the plea before entering judgment. The court should satisfy itself, by inquiry of the defendant or the attorney for the government, or by examining the presentence report, or otherwise, that the conduct which the defendant admits constitutes the offense charged in the indictment or information or an offense included therein to which the defendant has pleaded guilty. Such inquiry should, e.g., protect a defendant who is in the position of pleading voluntarily with an understanding of the nature of the charge but without realizing that his conduct does not actually fall within the charge. For a similar requirement see Mich. Stat. Ann. Sec. 28.1058 (1954); Mich. Sup. Ct. Rule 35A; In re Valle, 364 Mich. 471, 110 N.W.2d 673 (1961); People v. Barrows, 358 Mich. 267, 99 N.W.2d 347 (1959); People v. Bumpus, 355 Mich. 374, 94 N.W.2d 854 (1959); People v. Coates, 337 Mich. 56, 59 N.W.2d 83 (1953). See also Stinson v. United States, 316 F.2d 554 (5th Cir. 1963). The normal consequence of a determination that there is not a factual basis for the plea would be for the court to set aside the plea and enter a plea of not guilty. For a variety of reasons it is desirable in some cases to permit entry of judgment upon a plea of nolo contendere without inquiry into the factual basis for the plea. The new third sentence is not, therefore, made applicable to pleas of nolo contendere. It is not intended by this omission to reflect any view upon the effect of a plea of nolo contendere in relation to a plea of guilty. That problem has been dealt with by the courts. See e.g., Lott v. United States, 367 U.S. 421, 426 (1961). NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT The amendments to rule 11 are designed to achieve two principal objectives: (1) Subdivision (c) prescribes the advice which the court must give to insure that the defendant who pleads guilty has made an informed plea. (2) Subdivision (e) provides a plea agreement procedure designed to give recognition to the propriety of plea discussions; to bring the existence of a plea agreement out into the open in court; and to provide methods for court acceptance or rejection of a plea agreement. Other less basic changes are also made. The changes are discussed in the order in which they appear in the rule. Subdivision (b) retains the requirement that the defendant obtain the consent of the court in order to plead nolo contendere. It adds that the court shall, in deciding whether to accept the plea, consider the views of the prosecution and of the defense and also the larger public interest in the administration of criminal justice. Although the plea of nolo contendere has long existed in the federal courts, Hudson v. United States, 272 U.S. 451, 47 S.Ct. 127, 71 L.Ed. 347 (1926), the desirability of the plea has been a subject of disagreement. Compare Lane-Reticker, Nolo Contendere in North Carolina, 34 N.C.L.Rev. 280, 290-291 (1956), with Note. The Nature and Consequences of the Plea of Nolo Contendere, 33 Neb.L.Rev. 428, 434 (1954), favoring the plea. The American Bar Association Project on Standards for Criminal Justice takes the position that 'the case for the nolo plea is not strong enough to justify a minimum standard supporting its use,' but because 'use of the plea contributes in some degree to the avoidance of unnecessary trials' it does not proscribe use of the plea. ABA, Standards Relating to Pleas of Guilty Sec. 1.1(a) Commentary at 16 (Approved Draft, 1968). A plea of nolo contendere is, for purposes of punishment, the same as the plea of guilty. See discussion of the history of the nolo plea in North Carolina v. Alford, 400 U.S. 25, 35-36 n. 8, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970). Note, The Nature and Consequences of the Plea of Nolo Contendere, 33 Neb.L.Rev. 428, 430 (1954). A judgment upon the plea is a conviction and may be used to apply multiple offender statutes. Lenvin and Meyers, Nolo Contendere: Its Nature and Implications, 51 Yale L.J. 1255, 1265 (1942). Unlike a plea of guilty, however, it cannot be used against a defendant as an admission in a subsequent criminal or civil case. 4 Wigmore Sec. 1066(4), at 58 (3d ed. 1940, Supp. 1970); Rules of Evidence for United States Courts and Magistrates, rule 803(22) (Nov. 1971). See Lenvin and Meyers, Nolo Contendere: Its Nature and Implications, 51 Yale L.J. 1255 (1942); ABA Standards Relating to Pleas of Guilty Sec. 1.1(a) and (b), Commentary at 15-18 (Approved Draft, 1968). The factors considered relevant by particular courts in determining whether to permit the plea of nolo contendere vary. Compare United States v. Bagliore, 182 F.Supp. 714, 716 (E.D.N.Y. 1960), where the view is taken that the plea should be rejected unless a compelling reason for acceptance is established, with United States v. Jones, 119 F.Supp. 288, 290 (S.D.Cal. 1954), where the view is taken that the plea should be accepted in the absence of a compelling reason to the contrary. A defendant who desires to plead nolo contendere will commonly want to avoid pleading guilty because the plea of guilty can be introduced as an admission in subsequent civil litigation. The prosecution may oppose the plea of nolo contendere because it wants a definite resolution of the defendant's guilty or innocence either for correctional purposes or for reasons of subsequent litigation. ABA Standards Relating to Pleas of Guilty Sec. 1.1(b) Commentary at 16-18 (Approved Draft, 1968). Under subdivision (b) of the new rule the balancing of the interests is left to the trial judge, who is mandated to take into account the larger public interest in the effective administration of justice. Subdivision (c) prescribes the advice which the court must give to the defendant as a prerequisite to the acceptance of a plea of guilty. The former rule required that the court determine that the plea was made with 'understanding of the nature of the charge and the consequences of the plea.' The amendment identifies more specifically what must be explained to the defendant and also codifies, in the rule, the requirements of Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969), which held that a defendant must be apprised of the fact that he relinquishes certain constitutional rights by pleading guilty. Subdivision (c) retains the requirement that the court address the defendant personally. See McCarthy v. United States, 394 U.S. 459, 466, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969). There is also an amendment to rule 43 to make clear that a defendant must be in court at the time of the plea. Subdivision (c)(1) retains the current requirement that the court determine that the defendant understands the nature of the charge. This is a common requirement. See ABA Standards Relating to Pleas of Guilty Sec. 1.4(a) (Approved Draft, 1968); Illinois Supreme Court Rule 402(a)(1) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(a)(1). The method by which the defendant's understanding of the nature of the charge is determined may vary from case to case, depending on the complexity of the circumstances and the particular defendant. In some cases, a judge may do this by reading the indictment and by explaining the elements of the offense to the defendants. Thompson, The Judge's Responsibility on a Plea of Guilty 62 W.Va.L.Rev. 213, 220 (1960); Resolution of Judges of U.S. District Court for D.C., June 24, 1959. Former rule 11 required the court to inform the defendant of the 'consequences of the plea.' Subdivision (c)(2) changes this and requires instead that the court inform the defendant of and determine that he understands 'the mandatory minimum penalty provided by law, if any, and the maximum possible penalty provided by law for the offense to which the plea is offered.' The objective is to insure that a defendant knows what minimum sentence the judge must impose and what maximum sentence the judge may impose. This information is usually readily ascertainable from the face of the statute defining the crime, and thus it is feasible for the judge to know specifically what to tell the defendant. Giving this advice tells a defendant the shortest mandatory sentence and also the longest possible sentence for the offense to which he is pleading guilty. It has been suggested that it is desirable to inform a defendant of additional consequences which might follow from his plea of guilty. Durant v. United States, 410 F.2d 689 (1st Cir. 1969), held that a defendant must be informed of his ineligibility for parole. Trujillo v. United States, 377 F.2d 266 (5th Cir. 1967), cert. denied 389 U.S. 899, 88 S.Ct. 224, 19 L.Ed.2d 221 (1967), held that advice about eligibility for parole is not required. It has been suggested that a defendant be advised that a jury might find him guilty only of a lesser included offense. C. Wright, Federal Practice and Procedure: Criminal Sec. 173 at 374 (1969). See contra Dorrough v. United States, 385 F.2d 887 (5th Cir. 1967). The ABA Standards Relating to Pleas of Guilty Sec. 1.4(c)(iii) (Approved Draft, 1968) recommend that the defendant be informed that he may be subject to additional punishment if the offense charged is one for which a different or additional punishment is authorized by reason of the defendant's previous conviction. Under the rule the judge is not required to inform a defendant about these matters, though a judge is free to do so if he feels a consequence of a plea of guilty in a particular case is likely to be of real significance to the defendant. Currently, certain consequences of a plea of guilty, such as parole eligibility, may be so complicated that it is not feasible to expect a judge to clearly advise the defendant. For example, the judge may impose a sentence under 18 U.S.C. Sec. 4202 making the defendant eligible for parole when he has served one third of the judicially imposed maximum; or, under 18 U.S.C. Sec. 4208(a)(1), making parole eligibility after a specified period of time less than one third of the maximum; or, under 18 U.S.C. Sec. 4208(a)(2), leaving eligibility to the discretion of the parole board. At the time the judge is required to advise the defendant of the consequences of his plea, the judge will usually not have seen the presentence report and thus will have no basis for giving a defendant any very realistic advice as to when he might be eligible for parole. Similar complications exist with regard to other, particularly collateral, consequences of a plea of guilty in a given case. Subdivisions (c)(3) and (4) specify the constitutional rights that the defendant waives by a plea of guilty or nolo contendere. These subdivisions are designed to satisfy the requirements of understanding waiver set forth in Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969). Subdivision (c)(3) is intended to require that the judge inform the defendant and determine that he understands that he waives his fifth amendment rights. The rule takes the position that the defendant's right not to incriminate himself is best explained in terms of his right to plead not guilty and to persist in that plea if it has already been made. This is language identical to that adopted in Illinois for the same purpose. See Illinois Supreme Court Rule 402(a)(3) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(a)(3). Subdivision (c)(4) assumes that a defendant's right to have his guilt proved beyond a reasonable doubt and the right to confront his accusers are best explained by indicating that the right to trial is waived. Specifying that there will be no future trial of any kind makes this fact clear to those defendants who, though knowing they have waived trial by jury, are under the mistaken impression that some kind of trial will follow. Illinois has recently adopted similar language. Illinois Supreme Court Rule 402(a)(4) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(a)(4). In explaining to a defendant that he waives his right to trial, the judge may want to explain some of the aspects of trial such as the right to confront witnesses, to subpoena witnesses, to testify in his own behalf, or, if he chooses, not to testify. What is required, in this respect, to conform to Boykin is left to future case-law development. Subdivision (d) retains the requirement that the court determine that a plea of guilty or nolo contendere is voluntary before accepting it. It adds the requirement that the court also inquire whether the defendant's willingness to plead guilty or nolo contendere results from prior plea discussions between the attorney for the government and the defendant or his attorney. See Santobello v. New York, 404 U.S. 257, 261-262, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971): 'The plea must, of course, be voluntary and knowing and if it was induced by promises, the essence of those promises must in some way be made known.' Subdivisions (d) and (e) afford the court adequate basis for rejecting an improper plea agreement induced by threats or inappropriate promises. The new rule specifies that the court personally address the defendant in determining the voluntariness of the plea. By personally interrogating the defendant, not only will the judge be better able to ascertain the plea's voluntariness, but he will also develop a more complete record to support his determination in a subsequent post-conviction attack. * * * Both of these goals are undermined in proportion to the degree the district judge resorts to 'assumptions' not based upon recorded responses to his inquiries. McCarthy v. United States, 394 U.S. 459, 466, 467, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969). Subdivision (e) provides a plea agreement procedure. In doing so it gives recognition to the propriety of plea discussions and plea agreements provided that they are disclosed in open court and subject to acceptance or rejection by the trial judge. Although reliable statistical information is limited, one recent estimate indicated that guilty pleas account for the disposition of as many as 95% of all criminal cases. ABA Standards Relating to Pleas of Guilty, pp. 1-2 (Approved Draft, 1968). A substantial number of these are the result of plea discussions. The President's Commission on Law Enforcement and Administration of Justice, Task Force Report: The Courts 9 (1967); D. Newman, Conviction: The Determination of Guilt or Innocence Without Trial 3 (1966); L. Weinreb, Criminal Process 437 (1969); Note, Guilty Plea Bargaining: Compromises by Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865 (1964). There is increasing acknowledgement of both the inevitability and the propriety of plea agreements. See, e.g., ABA Standards Relating to Pleas of Guilty Sec. 3.1 (Approved Draft, 1968); Illinois Supreme Court Rule 402 (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402. In Brady v. United States, 397 U.S. 742, 752-753, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970), the court said: Of course, that the prevalence of guilty pleas is explainable does not necessarily validate those pleas or the system which produces them. But we cannot hold that it is unconstitutional for the State to extend a benefit to a defendant who in turn extends a substantial benefit to the State and who demonstrates by his plea that he is ready and willing to admit his crime and to enter the correctional system in a frame of mind that affords hope for success in rehabilitation over a shorter period of time than might otherwise be necessary. In Santobello v. New York, 404 U.S. 257, 260, 92 S.Ct. 495, 498, 30 L.Ed.2d 427 (1971), the court said: The disposition of criminal charges by agreement between the prosecutor and the accused, sometimes loosely called 'plea bargaining,' is an essential component of the administration of justice. Properly administered, it is to be encouraged. Administratively, the criminal justice system has come to depend upon pleas of guilty and, hence, upon plea discussions. See, e.g., President's Commission on Law Enforcement and Administration of Justice, Task Force Report. The Courts 9 (1967); Note, Guilty Plea Bargaining: Compromises By Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865 (1964). But expediency is not the basis for recognizing the propriety of a plea agreement practice. Properly implemented, a plea agreement procedure is consistent with both effective and just administration of the criminal law. Santobello v. New York, 404 U.S. 257, 92 S.Ct. 495, 30 L.Ed.2d 427. This is the conclusion reached in the ABA Standards Relating to Pleas of Guilty Sec. 1.8 (Approved Draft, 1968); the ABA Standards Relating to The Prosecution Function and The Defense Function pp. 243-253 (Approved Draft, 1971); and the ABA Standards Relating to the Function of the Trial Judge, Sec. 4.1 (App.Draft, 1972). The Supreme Court of California recently recognized the propriety of plea bargaining. See People v. West, 3 Cal.3d 595, 91 Cal.Rptr. 385, 477 P.2d 409 (1970). A plea agreement procedure has recently been decided in the District of Columbia Court of General Sessions upon the recommendation of the United States Attorney. See 51 F.R.D. 109 (1971). Where the defendant by his plea aids in insuring prompt and certain application of correctional measures, the proper ends of the criminal justice system are furthered because swift and certain punishment serves the ends of both general deterrence and the rehabilitation of the individual defendant. Cf. Note, The Influence of the Defendant's Plea on Judicial Determination of Sentence, 66 Yale L.J. 204, 211 (1956). Where the defendant has acknowledged his guilt and shown a willingness to assume responsibility for his conduct, it has been thought proper to recognize this in sentencing. See also ALI, Model Penal Code Sec. 7.01 (P.O.D. 1962); NPPA Guides for Sentencing (1957). Granting a charge reduction in return for a plea of guilty may give the sentencing judge needed discretion, particularly where the facts of a case do not warrant the harsh consequences of a long mandatory sentence or collateral consequences which are unduly severe. A plea of guilty avoids the necessity of a public trial and may protect the innocent victim of a crime against the trauma of direct and cross-examination. Finally, a plea agreement may also contribute to the successful prosecution of other more serious offenders. See D. Newman, Conviction: The Determination of Guilt or Innocence Without Trial, chs. 2 and 3 (1966); Note, Guilty Plea Bargaining: Compromises By Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865, 881 (1964). Where plea discussions and agreements are viewed as proper, it is generally agreed that it is preferable that the fact of the plea agreement be disclosed in open court and its propriety be reviewed by the trial judge. We have previously recognized plea bargaining as an ineradicable fact. Failure to recognize it tends not to destroy it but to drive it underground. We reiterate what we have said before: that when plea bargaining occurs it ought to be spread on the record (The Bench Book prepared by the Federal Judicial Center for use by United States District Judges now suggests that the defendant be asked by the court 'if he believes there is any understanding or if any predictions have been made to him concerning the sentence he will receive.' Bench Book for United States District Judges, Federal Judicial Center (1969) at 1.05.3.) and publicly disclosed. United States v. Williams, 407 F.2d 940 (4th Cir. 1969). * * * In the future we think that the district judges should not only make the general inquiry under Rule 11 as to whether the plea of guilty has been coerced or induced by promises, but should specifically inquire of counsel whether plea bargaining has occurred. Logically the general inquiry should elicit information about plea bargaining, but it seldom has in the past. Raines v. United States, 423 F.2d 526, 530 (4th Cir. 1970). In the past, plea discussions and agreements have occurred in an informal and largely invisible manner. Enker, Perspectives on Plea Bargaining, in President's Commission on Law Enforcement and Administration of Justice, Task Force Report: The Courts 108, 115 (1967). There has often been a ritual of denial that any promises have been made, a ritual in which judges, prosecutors, and defense counsel have participated. ABA Standards Relating to Pleas of Guilty Sec. 3.1, Commentary at 60-69 (Approved Draft 1968); Task Force Report: The Courts 9. Consequently, there has been a lack of effective judicial review of the propriety of the agreements, thus increasing the risk of real or apparent unfairness. See ABA Standards Relating to Pleas of Guilty Sec. 3.1, Commentary at 60 et seq.; Task Force Report: The Courts 9-13. The procedure described in subdivision (e) is designed to prevent abuse of plea discussions and agreements by providing appropriate and adequate safeguards. Subdivision (e)(1) specifies that the 'attorney for the government and the attorney for the defendant or the defendant when acting pro se may' participate in plea discussions. The inclusion of 'the defendant when acting pro se' is intended to reflect the fact that there are situations in which a defendant insists upon representing himself. It may be desirable that an attorney for the government not enter plea discussions with a defendant personally. If necessary, counsel can be appointed for purposes of plea discussions. (Subdivision (d) makes it mandatory that the court inquire of the defendant whether his plea is the result of plea discussions between him and the attorney for the government. This is intended to enable the court to reject an agreement reached by an unrepresented defendant unless the court is satisfied that acceptance of the agreement adequately protects the rights of the defendant and the interests of justice.) This is substantially the position of the ABA Standards Relating to Pleas of Guilty Sec. 3.1(a), Commentary at 65-66 (Approved Draft, 1968). Apparently, it is the practice of most prosecuting attorneys to enter plea discussions only with defendant's counsel. Note, Guilty Plea Bargaining: Compromises By Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865, 904 (1964). Discussions without benefit of counsel increase the likelihood that such discussions may be unfair. Some courts have indicated that plea discussions in the absence of defendant's attorney may be constitutionally prohibited. See Anderson v. North Carolina, 221 F.Supp. 930, 935 (W.D.N.C.1963); Shape v. Sigler, 230 F.Supp. 601, 606 (D.Neb. 1964). Subdivision (e)(1) is intended to make clear that there are four possible concessions that may be made in a plea agreement. First, the charge may be reduced to a lesser or related offense. Second, the attorney for the government may promise to move for dismissal of other charges. Third, the attorney for the government may agree to recommend or not oppose the imposition of a particular sentence. Fourth, the attorneys for the government and the defense may agree that a given sentence is an appropriate disposition of the case. This is made explicit in subdivision (e)(2) where reference is made to an agreement made 'in the expectation that a specific sentence will be imposed.' See Note, Guilty Plea Bargaining: Compromises By Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865, 898 (1964). Subdivision (e)(1) prohibits the court from participating in plea discussions. This is the position of the ABA Standards Relating to Pleas of Guilty Sec. 3.3(a) (Approved Draft, 1968). It has been stated that it is common practice for a judge to participate in plea discussions. See D. Newman, Conviction: The Determination of Guilt or Innocence Without Trial 32-52, 78-104 (1966); Note, Guilty Plea Bargaining: Compromises By Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865, 891, 905 (1964). There are valid reasons for a judge to avoid involvement in plea discussions. It might lead the defendant to believe that he would not receive a fair trial, were there a trial before the same judge. The risk of not going along with the disposition apparently desired by the judge might induce the defendant to plead guilty, even if innocent. Such involvement makes it difficult for a judge to objectively assess the voluntariness of the plea. See ABA Standards Relating to Pleas of Guilty Sec. 3.3(a), Commentary at 72-74 (Approved Draft, 1968); Note, Guilty Plea Bargaining: Compromises By Prosecutors To Secure Guilty Pleas, 112 U.Pa.L.Rev. 865, 891-892 (1964); Comment, Official Inducements to Plead Guilty: Suggested Morals for a Marketplace, 32 U.Chi.L.Rev. 167, 180-183 (1964); Informal Opinion No. 779 ABA Professional Ethics Committee ('A judge should not be a party to advance arrangements for the determination of sentence, whether as a result of a guilty plea or a finding of guilt based on proof.'), 51 A.B.A.J. 444 (1965). As has been recently pointed out: The unequal positions of the judge and the accused, one with the power to commit to prison and the other deeply concerned to avoid prison, as once raise a question of fundamental fairness. When a judge becomes a participant in plea bargaining he brings to bear the full force and majesty of his office. His awesome power to impose a substantially longer or even maximum sentence in excess of that proposed is present whether referred to or not. A defendant needs no reminder that if he rejects the proposal, stands upon his right to trial and is convicted, he faces a significantly longer sentence. United States ex rel. Elksnis v. Gilligan, 256 F.Supp. 244, 254 (S.D.N.Y. 1966). On the other hand, one commentator has taken the position that the judge may be involved in discussions either after the agreement is reached or to help elicit facts and an agreement. Enker, Perspectives on Plea Bargaining, in President's Commission on Law Enforcement and Administration of Justice, Task Force Report: The Courts 108, 117-118 (1967). The amendment makes clear that the judge should not participate in plea discussions leading to a plea agreement. It is contemplated that the judge may participate in such discussions as may occur when the plea agreement is disclosed in open court. This is the position of the recently adopted Illinois Supreme Court Rule 402(d)(1) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(d)(1). As to what may constitute 'participation,' contrast People v. Earegood, 12 Mich.App. 256, 268-269, 162 N.W.2d 802, 809-810 (1968), with Kruse v. State, 47 Wis.2d 460, 177 N.W.2d 322 (1970). Subdivision (e)(2) provides that the judge shall require the disclosure of any plea agreement in open court. In People v. West, 3 Cal.3d 595, 91 Cal.Rptr. 385, 477 P.2d 409 (1970), the court said: (T)he basis of the bargain should be disclosed to the court and incorporated in the record. * * * Without limiting that court to those we set forth, we note four possible methods of incorporation: (1) the bargain could be stated orally and recorded by the court reporter, whose notes then must be preserved or transcribed; (2) the bargain could be set forth by the clerk in the minutes of the court; (3) the parties could file a written stipulation stating the terms of the bargain; (4) finally, counsel or the court itself may find it useful to prepare and utilize forms for the recordation of plea bargains. 91 Cal.Rptr. 393, 394, 477 P.2d at 417, 418. The District of Columbia Court of General Sessions is using a 'Sentence-Recommendation Agreement' form. Upon notice of the plea agreement, the court is given the option to accept or reject the agreement or defer its decision until receipt of the presentence report. The judge may, and often should, defer his decision until he examines the presentence report. This is made possible by rule 32 which allows a judge, with the defendant's consent, to inspect a presentence report to determine whether a plea agreement should be accepted. For a discussion of the use of conditional plea acceptance, see ABA Standards Relating to Pleas of Guilty Sec. 3.3(b), Commentary at 74-76, and Supplement, Proposed Revisions Sec. 3.3(b) at 2-3 (Approved Draft, 1968); Illinois Supreme Court Rule 402(d)(2) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(d)(2). The plea agreement procedure does not attempt to define criteria for the acceptance or rejection of a plea agreement. Such a decision is left to the discretion of the individual trial judge. Subdivision (e)(3) makes is mandatory, if the court decides to accept the plea agreement, that it inform the defendant that it will embody in the judgment and sentence the disposition provided in the plea agreement, or one more favorable to the defendant. This serves the purpose of informing the defendant immediately that the agreement will be implemented. Subdivision (e)(4) requires the court, if it rejects the plea agreement, to inform the defendant of this fact and to advise the defendant personally, in open court, that the court is not bound by the plea agreement. The defendant must be afforded an opportunity to withdraw his plea and must be advised that if he persists in his guilty plea or plea of nolo contendere, the disposition of the case may be less favorable to him than that contemplated by the plea agreement. That the defendant should have the opportunity to withdraw his plea if the court rejects the plea agreement is the position taken in ABA Standards Relating to Pleas of Guilty, Supplement, Proposed Revisions Sec. 2.1(a)(ii)(5) (Approved Draft, 1968). Such a rule has been adopted in Illinois. Illinois Supreme Court Rule 402(d)(2) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(d)(2). If the court rejects the plea agreement and affords the defendant the opportunity to withdraw the plea, the court is not precluded from accepting a guilty plea from the same defendant at a later time, when such plea conforms to the requirements of rule 11. Subdivision (e)(5) makes it mandatory that, except for good cause shown, the court be notified of the existence of a plea agreement at the arraignment or at another time prior to trial fixed by the court. Having a plea entered at this stage provides a reasonable time for the defendant to consult with counsel and for counsel to complete any plea discussions with the attorney for the government. ABA Standards Relating to Pleas of Guilty Sec. 1.3 (Approved Draft, 1968). The objective of the provision is to make clear that the court has authority to require a plea agreement to be disclosed sufficiently in advance of trial so as not to interfere with the efficient scheduling of criminal cases. Subdivision (e)(6) is taken from rule 410, Rules of Evidence for United States Courts and Magistrates (Nov. 1971). See Advisory Committee Note thereto. See also the ABA Standards Relating to Pleas of Guilty Sec. 2.2 (Approved Draft, 1968); Illinois Supreme Court Rule 402(f) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(f). Subdivision (f) retains the requirement of old rule 11 that the court should not enter judgment upon a plea of guilty without making such an inquiry as will satisfy it that there is a factual basis for the plea. The draft does not specify that any particular type of inquiry be made. See Santobello v. New York, 404 U.S. 257, 261, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971); 'Fed.Rule Crim.Proc. 11, governing pleas in federal courts, now makes clear that the sentencing judge must develop, on the record, the factual basis for the plea, as, for example, by having the accused describe the conduct that gave rise to the charge.' An inquiry might be made of the defendant, of the attorneys for the government and the defense, of the presentence report when one is available, or by whatever means is appropriate in a specific case. This is the position of the ABA Standards Relating to Pleas of Guilty Sec. 1.6 (Approved Draft, 1968). Where inquiry is made of the defendant himself it may be desirable practice to place the defendant under oath. With regard to a determination that there is a factual basis for a plea of guilty to a 'lessor or related offense,' compare ABA Standards Relating to Pleas of Guilty Sec. 3.1(b)(ii), Commentary at 67-68 (Approved Draft, 1968), with ALI, Model Penal Code Sec. 1.07(5) (P.O.D. 1962). The rule does not speak directly to the issue of whether a judge may accept a plea of guilty where there is a factual basis for the plea but the defendant asserts his innocence. North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970). The procedure in such case would seem to be to deal with this as a plea of nolo contendere, the acceptance of which would depend upon the judge's decision as to whether acceptance of the plea is consistent with 'the interest of the public in the effective administration of justice' (new rule 11(b)). The defendant who asserts his innocence while pleading guilty or nolo contendere is often difficult to deal with in a correctional setting, and it may therefore be preferable to resolve the issue of guilt or innocence at the trial stage rather than leaving that issue unresolved, thus complicating subsequent correctional decisions. The rule is intended to make clear that a judge may reject a plea of nolo contendere and require the defendant either to plead not guilty or to plead guilty under circumstances in which the judge is able to determine that the defendant is in fact guilty of the crime to which he is pleading guilty. Subdivision (g) requires that a verbatim record be kept of the proceedings. If there is a plea of guilty or nolo contendere, the record must include, without limitation, the court's advice to the defendant, the inquiry into the voluntariness of the plea and the plea agreement, and the inquiry into the accuracy of the plea. Such a record is important in the event of a postconviction attack. ABA Standards Relating to Pleas of Guilty Sec. 1.7 (Approved Draft, 1968). A similar requirement was adopted in Illinois: Illinois Supreme Court Rule 402(e) (1970), Ill.Rev.Stat. 1973, ch. 110A, Sec. 402(e). NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 11 of the Federal Rules of Criminal Procedure deals with pleas. The Supreme Court has proposed to amend this rule extensively. Rule 11 provides that a defendant may plead guilty, not guilty, or nolo contendere. The Supreme Court's amendments to Rule 11(b) provide that a nolo contendere plea 'shall be accepted by the court only after due consideration of the views of the parties and the interest of the public in the effective administration of justice.' The Supreme Court amendments to Rule 11(c) spell out the advise that the court must give to the defendant before accepting the defendant's plea of guilty or nolo contendere. The Supreme Court amendments to Rule 11(d) set forth the steps that the court must take to insure that a guilty or nolo contendere plea has been voluntarily made. The Supreme Court amendments to Rule 11(e) establish a plea agreement procedure. This procedure permits the parties to discuss disposing of a case without a trial and sets forth the type of agreements that the parties can reach concerning the disposition of the case. The procedure is not mandatory; a court is free not to permit the parties to present plea agreements to it. The Supreme Court amendments to Rule 11(f) require that the court, before entering judgment upon a plea of guilty, satisfy itself that 'there is a factual basis for the plea.' The Supreme Court amendments to Rule 11(g) require that a verbatim record be kept of the proceedings at which the defendant enters a plea. B. Committee Action. The proposed amendments to Rule 11, particularly those relating to the plea negotiating procedure, have generated much comment and criticism. No observer is entirely happy that our criminal justice system must rely to the extent it does on negotiated dispositions of cases. However, crowded court dockets make plea negotiating a fact that the Federal Rules of Criminal Procedure should contend with. The Committee accepts the basic structure and provisions of Rule 11(e). Rule 11(e) as proposed permits each federal court to decide for itself the extent to which it will permit plea negotiations to be carried on within its own jurisdiction. No court is compelled to permit any plea negotiations at all. Proposed Rule 11(e) regulates plea negotiations and agreements if, and to the extent that, the court permits such negotiations and agreements. (Proposed Rule 11(e) has been criticized by some federal judges who read it to mandate the court to permit plea negotiations and the reaching of plea agreements. The Advisory Committee stressed during its testimony that the rule does not mandate that a court permit any form of plea agreement to be presented to it. See, e.g., the remarks of United States Circuit Judge William H. Webster in Hearings II, at 196. See also the exchange of correspondence between Judge Webster and United States District Judge Frank A. Kaufman in Hearings II, at 289-90.) Proposed Rule 11(e) contemplates 4 different types of plea agreements. First, the defendant can plead guilty or nolo contendere in return for the prosecutor's reducing the charge to a less serious offense. Second, the defendant can plead guilty or nolo contendere in return for the prosecutor dropping, or not bringing, a charge or charges relating to other offenses. Third, the defendant can plead guilty or nolo contendere in return for the prosecutor's recommending a sentence. Fourth, the defendant and prosecutor can agree that a particular sentence is the appropriate disposition of the case. (It is apparent, though not explicitly stated, that Rule 11(e) contemplates that the plea agreement may bind the defendant to do more than just plead guilty or nolo contendere. For example, the plea agreement may bind the defendant to cooperate with the prosecution in a different investigation. The Committee intends by its approval of Rule 11(e) to permit the parties to agree on such terms in a plea agreement.) The Committee added language in subdivisions (e)(2) and (e)(4) to permit a plea agreement to be disclosed to the court, or rejected by it, in camera. There must be a showing of good cause before the court can conduct such proceedings in camera. The language does not address itself to whether the showing of good cause may be made in open court or in camera. That issue is left for the courts to resolve on a case-by-case basis. These changes in subdivisions (e)(2) and (e)(4) will permit a fair trial when there is substantial media interest in a case and the court is rejecting a plea agreement. The Committee added an exception to subdivision (e)(6). That subdivision provides: Evidence of a plea of guilty, later withdrawn, or a plea of nolo contendere, or of an offer to plead quilty or nolo contendere to the crime charged or any other crime, or of statements made in connection with any of the foregoing pleas or offers, is not admissible in any civil or criminal proceeding against the person who made the plea or offer. The Committee's exception permits the use of such evidence in a perjury or false statement prosecution where the plea, offer, or related statement was made by the defendant on the record, under oath and in the presence of counsel. The Committee recognizes that even this limited exception may discourage defendants from being completely candid and open during plea negotiations and may even result in discouraging the reaching of plea agreements. However, the Committee believes hat, on balance, it is more important to protect the integrity of the judicial process from willful deceit and untruthfulness. (The Committee does not intend its language to be construed as mandating or encouraging the swearing-in of the defendant during proceedings in connection with the disclosure and acceptance or rejection of a plea agreement.) The Committee recast the language of Rule 11(c), which deals with the advice given to a defendant before the court can accept his plea of guilty or nolo contendere. The Committee acted in part because it believed that the warnings given to the defendant ought to include those that Boykin v. Alabama, 395 U.S. 238 (1969), said were constitutionally required. In addition, and as a result of its change in subdivision (e)(6), the Committee thought if only fair that the defendant be warned that his plea of guilty (later withdrawn) or nolo contendere, or his offer of either plea, or his statements made in connection with such pleas or offers, could later be used against him in a perjury trial if made under oath, on the record, and in the presence of counsel. NOTES OF CONFERENCE COMMITTEE, HOUSE REPORT NO. 94-414; 1975 AMENDMENT Note to subdivision (c). Rule 11(c) enumerates certain things that a judge must tell a defendant before the judge can accept that defendant's plea of guilty or nolo contendere. The House version expands upon the list originally proposed by the Supreme Court. The Senate version adopts the Supreme Court's proposal. The Conference adopts the House provision. Note to subdivision (e)(1). Rule 11(e)(1) outlines some general considerations concerning the plea agreement procedure. The Senate version makes nonsubstantive change in the House version. The Conference adopts the Senate provision. Note to subdivision (e)(6). Rule 11(e)(6) deals with the use of statements made in connection with plea agreements. The House version permits a limited use of pleas of guilty, later withdrawn, or nolo contendere, offers of such pleas, and statements made in connection with such pleas or offers. Such evidence can be used in a perjury or false statement prosecution if the plea, offer, or related statement was made under oath, on the record, and in the presence of counsel. The Senate version permits evidence of voluntary and reliable statements made in court on the record to be used for the purpose of impeaching the credibility of the declarant or in a perjury or false statement prosecution. The Conference adopts the House version with changes. The Conference agrees that neither a plea nor the offer of a plea ought to be admissible for any purpose. The Conference-adopted provision, therefore, like the Senate provision, permits only the use of statements made in connection with a plea of guilty, later withdrawn, or a plea of nolo contendere, or in connection with an offer of a guilty or nolo contendere plea. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Note to Subdivision (e)(2). The amendment to rule 11(e)(2) is intended to clarify the circumstances in which the court may accept or reject a plea agreement, with the consequences specified in subdivision (e)(3) and (4). The present language has been the cause of some confusion and has led to results which are not entirely consistent. Compare United States v. Sarubbi, 416 F.Supp. 633 (D. N.J. 1976); with United States v. Hull, 413 F.Supp. 145 (E.D. Tenn. 1976). Rule 11(e)(1) specifies three types of plea agreements, namely, those in which the attorney for the government might (A) move for dismissal of other charges; or (B) make a recommendation, or agree not to oppose the defendant's request, for a particular sentence, with the understanding that such recommendation or request shall not be binding upon the court; or (C) agree that a specific sentence is the appropriate disposition of the case. A (B) type of plea agreement is clearly of a different order than the other two, for an agreement to recommend or not to oppose is discharged when the prosecutor performs as he agreed to do. By comparison, critical to a type (A) or (C) agreement is that the defendant receive the contemplated charge dismissal or agreed-to sentence. Consequently, there must ultimately be an acceptance or rejection by the court of a type (A) or (C) agreement so that it may be determined whether the defendant shall receive the bargained-for concessions or shall instead be afforded an opportunity to withdraw his plea. But this is not so as to a type (B) agreement; there is no 'disposition provided for' in such a plea agreement so as to make the acceptance provisions of subdivision (e)(3) applicable, nor is there a need for rejection with opportunity for withdrawal under subdivision (e)(4) in light of the fact that the defendant knew the nonbinding character of the recommendation or request. United States v. Henderson, 565 F.2d 1119 (9th Cir. 1977); United States v. Savage, 561 F.2d 554 (4th Cir. 1977). Because a type (B) agreement is distinguishable from the others in that it involves only a recommendation or request not binding upon the court, it is important that the defendant be aware that this is the nature of the agreement into which he has entered. The procedure contemplated by the last sentence of amended subdivision (e)(2) will establish for the record that there is such awareness. This provision conforms to ABA Standards Relating to Pleas of Guilty Sec. 1.5 (Approved Draft, 1968), which provides that 'the court must advise the defendant personally that the recommendations of the prosecuting attorney are not binding on the court.' Sometimes a plea agreement will be partially but not entirely of the (B) type, as where a defendant, charged with counts 1, 2 and 3, enters into an agreement with the attorney for the government wherein it is agreed that if defendant pleads guilty to count 1, the prosecutor will recommend a certain sentence as to that count and will move for dismissal of counts 2 and 3. In such a case, the court must take particular care to ensure that the defendant understands which components of the agreement involve only a (B) type recommendation and which do not. In the above illustration, that part of the agreement which contemplates the dismissal of counts 2 and 3 is an (A) type agreement, and thus under rule 11(e) the court must either accept the agreement to dismiss these counts or else reject it and allow the defendant to withdraw his plea. If rejected, the defendant must be allowed to withdraw the plea on count 1 even if the type (B) promise to recommend a certain sentence on that count is kept, for a multi-faceted plea agreement is nonetheless a single agreement. On the other hand, if counts 2 and 3 are dismissed and the sentence recommendation is made, then the defendant is not entitled to withdraw his plea even if the sentence recommendation is not accepted by the court, for the defendant received all he was entitled to under the various components of the plea agreement. Note to Subdivision (e)(6). The major objective of the amendment to rule 11(e)(6) is to describe more precisely, consistent with the original purpose of the provision, what evidence relating to pleas or plea discussions is inadmissible. The present language is susceptible to interpretation which would make it applicable to a wide variety of statements made under various circumstances other than within the context of those plea discussions authorized by rule 11(e) and intended to be protected by subdivision (e)(6) of the rule. See United States v. Herman, 544 F.2d 791 (5th Cir. 1977), discussed herein. Fed.R.Ev. 410, as originally adopted by Pub. L. 93-595, provided in part that 'evidence of a plea of guilty, later withdrawn, or a plea of nolo contendere, or of an offer to plead guilty or nolo contendere to the crime charged or any other crime, or of statements made in connection with any of the foregoing pleas or offers, is not admissible in any civil or criminal action, case, or proceeding against the person who made the plea or offer.' (This rule was adopted with the proviso that it 'shall be superseded by any amendment to the Federal Rules of Criminal Procedure which is inconsistent with this rule.') As the Advisory Committee Note explained: 'Exclusion of offers to plead guilty or nolo has as its purpose the promotion of disposition of criminal cases by compromise.' The amendment of Fed.R.Crim.P. 11, transmitted to Congress by the Supreme Court in April 1974, contained a subdivision (e)(6) essentially identical to the rule 410 language quoted above, as a part of a substantial revision of rule 11. The most significant feature of this revision was the express recognition given to the fact that the 'attorney for the government and the attorney for the defendant or the defendant when acting pro se may engage in discussions with a view toward reaching' a plea agreement. Subdivision (e)(6) was intended to encourage such discussions. As noted in H.R.Rep. No. 94-247, 94th Cong., 1st Sess. 7 (1975), the purpose of subdivision (e)(6) is to not 'discourage defendants from being completely candid and open during plea negotiations.' Similarly, H.R.Rep. No. 94-414, 94th Cong., 1st Sess. 10 (1975), states that 'Rule 11(e)(6) deals with the use of statements made in connection with plea agreements.' (Rule 11(e)(6) was thereafter enacted, with the addition of the proviso allowing use of statements in a prosecution for perjury, and with the qualification that the inadmissible statements must also be 'relevant to' the inadmissible pleas or offers. Pub. L. 94-64; Fed.R.Ev. 410 was then amended to conform. Pub. L. 94-149.) While this history shows that the purpose of Fed.R.Ev. 410 and Fed.R.Crim.P. 11(e)(6) is to permit the unrestrained candor which produces effective plea discussions between the 'attorney for the government and the attorney for the defendant or the defendant when acting pro se,' given visibility and sanction in rule 11(e), a literal reading of the language of these two rules could reasonably lead to the conclusion that a broader rule of inadmissibility obtains. That is, because 'statements' are generally inadmissible if 'made in connection with, and relevant to' an 'offer to plead guilty,' it might be thought that an otherwise voluntary admission to law enforcement officials is rendered inadmissible merely because it was made in the hope of obtaining leniency by a plea. Some decisions interpreting rule 11(e)(6) point in this direction. See United States v. Herman, 544 F.2d 791 (5th Cir. 1977) (defendant in custody of two postal inspectors during continuance of removal hearing instigated conversation with them and at some point said he would plead guilty to armed robbery if the murder charge was dropped; one inspector stated they were not 'in position' to make any deals in this regard; held, defendant's statement inadmissible under rule 11(e)(6) because the defendant 'made the statements during the course of a conversation in which he sought concessions from the government in return for a guilty plea'); United States v. Brooks, 536 F.2d 1137 (6th Cir. 1976) (defendant telephoned postal inspector and offered to plead guilty if he got 2-year maximum; statement inadmissible). The amendment makes inadmissible statements made 'in the course of any proceedings under this rule regarding' either a plea of guilty later withdrawn or a plea of nolo contendere, and also statements 'made in the course of plea discussions with an attorney for the government which do not result in a plea of guilty or which result in a plea of guilty later withdrawn.' It is not limited to statements by the defendant himself, and thus would cover statements by defense counsel regarding defendant's incriminating admissions to him. It thus fully protects the plea discussion process authorized by rule 11 without attempting to deal with confrontations between suspects and law enforcement agents, which involve problems of quite different dimensions. See, e.g., ALI Model Code of Pre-Arraignment Procedure, art. 140 and Sec. 150.2(8) (Proposed Official Draft, 1975) (latter section requires exclusion if 'a law enforcement officer induces any person to make a statement by promising leniency'). This change, it must be emphasized, does not compel the conclusion that statements made to law enforcement agents, especially when the agents purport to have authority to bargain, are inevitably admissible. Rather, the point is that such cases are not covered by the per se rule of 11(e)(6) and thus must be resolved by that body of law dealing with police interrogations. If there has been a plea of guilty later withdrawn or a plea of nolo contendere, subdivision (e)(6)(C) makes inadmissible statements made 'in the course of any proceedings under this rule' regarding such pleas. This includes, for example, admissions by the defendant when he makes his plea in court pursuant to rule 11 and also admissions made to provide the factual basis pursuant to subdivision (f). However, subdivision (e)(6)(C) is not limited to statements made in court. If the court were to defer its decision on a plea agreement pending examination of the presentence report, as authorized by subdivision (e)(2), statements made to the probation officer in connection with the preparation of that report would come within this provision. This amendment is fully consistent with all recent and major law reform efforts on this subject. ALI Model Code of Pre-Arraignment Procedure Sec. 350.7 (Proposed Official Draft, 1975), and ABA Standards Relating to Pleas of Guilty Sec. 3.4 (Approved Draft, 1968) both provide: Unless the defendant subsequently enters a plea of guilty or nolo contendere which is not withdrawn, the fact that the defendant or his counsel and the prosecuting attorney engaged in plea discussions or made a plea agreement should not be received in evidence against or in favor of the defendant in any criminal or civil action or administrative proceedings. The Commentary to the latter states: The above standard is limited to discussions and agreements with the prosecuting attorney. Sometimes defendants will indicate to the police their willingness to bargain, and in such instances these statements are sometimes admitted in court against the defendant. State v. Christian, 245 S.W.2d 895 (Mo.1952). If the police initiate this kind of discussion, this may have some bearing on the admissibility of the defendant's statement. However, the policy considerations relevant to this issue are better dealt with in the context of standards governing in-custody interrogation by the police. Similarly, Unif.R.Crim.P. 441(d) (Approved Draft, 1974), provides that except under limited circumstances 'no discussion between the parties or statement by the defendant or his lawyer under this Rule,' i.e., the rule providing 'the parties may meet to discuss the possibility of pretrial diversion * * * or of a plea agreement,' are admissible. The amendment is likewise consistent with the typical state provision on this subject; see, e.g., Ill.S.Ct. Rule 402(f). The language of the amendment identifies with more precision than the present language the necessary relationship between the statements and the plea or discussion. See the dispute between the majority and concurring opinions in United States v. Herman, 544 F.2d 791 (5th Cir. 1977), concerning the meanings and effect of the phrases 'connection to' and 'relevant to' in the present rule. Moreover, by relating the statements to 'plea discussions' rather than 'an offer to plead,' the amendment ensures 'that even an attempt to open plea bargaining (is) covered under the same rule of inadmissibility.' United States v. Brooks, 536 F.2d 1137 (6th Cir. 1976). The last sentence of Rule 11(e)(6) is amended to provide a second exception to the general rule of nonadmissibility of the described statements. Under the amendment, such a statement is also admissible 'in any proceeding wherein another statement made in the course of the same plea or plea discussions has been introduced and the statement ought in fairness be considered contemporaneously with it.' This change is necessary so that, when evidence of statements made in the course of or as a consequence of a certain plea or plea discussions are introduced under circumstances not prohibited by this rule (e.g., not 'against' the person who made the plea), other statements relating to the same plea or plea discussions may also be admitted when relevant to the matter at issue. For example, if a defendant upon a motion to dismiss a prosecution on some ground were able to admit certain statements made in aborted plea discussions in his favor, then other relevant statements made in the same plea discussions should be admissible against the defendant in the interest of determining the truth of the matter at issue. The language of the amendment follows closely that in Fed.R.Evid. 106, as the considerations involved are very similar. The phrase 'in any civil or criminal proceeding' has been moved from its present position, following the word 'against,' for purposes of clarity. An ambiguity presently exists because the word 'against' may be read as referring either to the kind of proceeding in which the evidence is offered or the purpose for which it is offered. The change makes it clear that the latter construction is correct. No change is intended with respect to provisions making evidence rules inapplicable in certain situations. See, e.g., Fed.R.Evid. 104(a) and 1101(d). Unlike ABA Standards Relating to Pleas of Guilty Sec. 3.4 (Approved Draft, 1968), and ALI Model Code of Pre-Arraignment Procedure Sec. 350.7 (Proposed Official Draft, 1975), rule 11(e)(6) does not also provide that the described evidence is inadmissible 'in favor of' the defendant. This is not intended to suggest, however, that such evidence will inevitably be admissible in the defendant's favor. Specifically, no disapproval is intended of such decisions as United States v. Verdoorn, 528 F.2d 103 (8th Cir. 1976), holding that the trial judge properly refused to permit the defendants to put into evidence at their trial the fact the prosecution had attempted to plea bargain with them, as 'meaningful dialogue between the parties would, as a practical matter, be impossible if either party had to assume the risk that plea offers would be admissible in evidence.' NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT Note to Subdivision (c)(1). Subdivision (c)(1) has been amended by specifying 'the effect of any special parole term' as one of the matters about which a defendant who has tendered a plea of guilty or nolo contendere is to be advised by the court. This amendment does not make any change in the law, as the courts are in agreement that such advice is presently required by Rule 11. See, e.g., Moore v. United States, 592 F.2d 753 (4th Cir. 1979); United States v. Eaton, 579 F.2d 1181 (10th Cir. 1978); Richardson v. United States, 577 F.2d 447 (8th Cir. 1978); United States v. Del Prete, 567 F.2d 928 (9th Cir. 1978); United States v. Watson, 548 F.2d 1058 (D.C.Cir. 1977); United States v. Crusco, 536 F.2d 21 (2d Cir. 1976); United States v. Yazbeck, 524 F.2d 641 (1st Cir. 1975); United States v. Wolak, 510 F.2d 164 (6th Cir. 1975). In United States v. Timmreck, 441 U.S. 780 (1979), 99 S.Ct. 2085, 60 L.Ed.2d 634 (1979), the Supreme Court assumed that the judge's failure in that case to describe the mandatory special parole term constituted 'a failure to comply with the formal requirements of the Rule.' The purpose of the amendment is to draw more specific attention to the fact that advice concerning special parole terms is a necessary part of Rule 11 procedure. As noted in Moore v. United States, supra: Special parole is a significant penalty. * * * Unlike ordinary parole, which does not involve supervision beyond the original prison term set by the court and the violation of which cannot lead to confinement beyond that sentence, special parole increases the possible period of confinement. It entails the possibility that a defendant may have to serve his original sentence plus a substantial additional period, without credit for time spent on parole. Explanation of special parole in open court is therefore essential to comply with the Rule's mandate that the defendant be informed of 'the maximum possible penalty provided by law.' As the aforecited cases indicate, in the absence of specification of the requirement in the rule it has sometimes happened that such advice has been inadvertently omitted from Rule 11 warnings. The amendment does not attempt to enumerate all of the characteristics of the special parole term which the judge ought to bring to the defendant's attention. Some flexibility in this respect must be preserved although it is well to note that the unique characteristics of this kind of parole are such that they may not be readily perceived by laymen. Moore v. United States supra, recommends that in an appropriate case the judge inform the defendant and determine that he understands the following: (1) that a special parole term will be added to any prison sentence he receives; (2) the minimum length of the special parole term that must be imposed and the absence of a statutory maximum; (3) that special parole is entirely different from - and in addition to - ordinary parole; and (4) that if the special parole is violated, the defendant can be returned to prison for the remainder of his sentence and the full length of his special parole term. The amendment should not be read as meaning that a failure to comply with this particular requirement will inevitably entitle the defendant to relief. See United States v. Timmreck, supra. Likewise, the amendment makes no change in the existing law to the effect that many aspects of traditional parole need not be communicated to the defendant by the trial judge under the umbrella of Rule 11. For example, a defendant need not be advised of all conceivable consequences such as when he may be considered for parole or that, if he violates his parole, he will again be imprisoned. Bunker v. Wise, 550 F.2d 1155, 1158 (9th Cir. 1977). Note to Subdivision (c)(4). The amendment to subdivision (c)(4) is intended to overcome the present conflict between the introductory language of subdivision (c), which contemplates the advice being given '(b)efore accepting a plea of guilty or nolo contendere,' and thus presumably after the plea has been tendered, and the 'if he pleads' language of subdivision (c)(4) which suggests the plea has not been tendered. As noted by Judge Doyle in United States v. Sinagub, 468 F.Supp. 353 (W.D.Wis.1979): Taken literally, this wording of subsection (4) of 11(c) suggests that before eliciting any plea at an arraignment, the court is required to insure that a defendant understands that if he or she pleads guilty or nolo contendere, the defendant will be waiving the right to trial. Under subsection (3) of 11(c), however, there is no requirement that at this pre-plea stage, the court must insure that the defendant understands that he or she enjoys the right to a trial and, at trial, the right to the assistance of counsel, the right to confront and cross-examine witnesses against him or her, and the right not to be compelled to incriminate himself or herself. It would be incongruous to require that at the pre-plea stage the court insure that the defendant understands that if he enters a plea of guilty or nolo contendere he will be waiving a right, the existence and nature of which need not be explained until after such a plea has been entered. I conclude that the insertion of the words 'that if he pleads guilty or nolo contendere,' as they appear in subsection (4) of 11(c), was an accident of draftsmanship which occurred in the course of Congressional rewriting of 11(c) as it has been approved by the Supreme Court. Those words are to be construed consistently with the words 'Before accepting a plea of guilty or nolo contendere,' as they appear in the opening language of 11(c), and consistently with the omission of the words 'that if he pleads' from subsections (1), (2), and (3) of 11(c). That is, as they appear in subsection (4) of 11(c), the words, 'that if he pleads guilty or nolo contendere' should be construed to mean 'that if his plea of guilty or nolo contendere is accepted by the court.' Although this is a very logical interpretation of the present language, the amendment will avoid the necessity to engage in such analysis in order to determine the true meaning of subdivision (c)(4). Note to Subdivision (c)(5). Subdivision (c)(5), in its present form, may easily be read as contemplating that in every case in which a plea of guilty or nolo contendere is tendered, warnings must be given about the possible use of defendant's statements, obtained under oath, on the record and in the presence of counsel, in a later prosecution for perjury or false statement. The language has prompted some courts to reach the remarkable result that a defendant who pleads guilty or nolo contendere without receiving those warnings must be allowed to overturn his plea on appeal even though he was never questioned under oath, on the record, in the presence of counsel about the offense to which he pleaded. United States v. Artis, No. 78-5012 (4th Cir. March 12, 1979); United States v. Boone, 543 F.2d 1090 (4th Cir. 1976). Compare United States v. Michaelson, 552 F.2d 472 (2d Cir. 1977) (failure to give subdivision (c)(5) warnings not a basis for reversal, 'at least when, as here, defendant was not put under oath before questioning about his guilty plea'). The present language of subdivision (c)(5) may also have contributed to the conclusion, not otherwise supported by the rule, that 'Rule 11 requires that the defendant be under oath for the entirety of the proceedings' conducted pursuant to that rule and that failure to place the defendant under oath would itself make necessary overturning the plea on appeal. United States v. Aldridge, 553 F.2d 922 (5th Cir. 1977). When questioning of the kind described in subdivision (c)(5) is not contemplated by the judge who is receiving the plea, no purpose is served by giving the (c)(5) warnings, which in such circumstances can only confuse the defendant and detract from the force of the other warnings required by Rule 11. As correctly noted in United States v. Sinagub, supra, subsection (5) of section (c) of Rule 11 is qualitatively distinct from the other sections of the Rule. It does not go to whether the plea is knowingly or voluntarily made, nor to whether the plea should be accepted and judgment entered. Rather, it does go to the possible consequences of an event which may or may not occur during the course of the arraignment hearing itself, namely, the administration of an oath to the defendant. Whether this event is to occur is wholly within the control of the presiding judge. If the event is not to occur, it is pointless to inform the defendant of its consequences. If a presiding judge intends that an oath not be administered to a defendant during an arraignment hearing, but alters that intention at some point, only then would the need arise to inform the defendant of the possible consequences of the administration of the oath. The amendment to subdivision (c)(5) is intended to make it clear that this is the case. The amendment limits the circumstances in which the warnings must be given, but does not change the fact, as noted in Sinagub that these warnings are 'qualitatively distinct' from the other advice required by Rule 11(c). This being the case, a failure to give the subdivision (c)(5) warnings even when the defendant was questioned under oath, on the record and in the presence of counsel would in no way affect the validity of the defendant's plea. Rather, this failure bears upon the admissibility of defendant's answers pursuant to subdivision (e)(6) in a later prosecution for perjury or false statement. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (a). There are many defenses, objections and requests which a defendant must ordinarily raise by pretrial motion. See, e.g., 18 U.S.C. Sec. 3162(a)(2); Fed.R.Crim.P.12(b). Should that motion be denied, interlocutory appeal of the ruling by the defendant is seldom permitted. See United States v. MacDonald, 435 U.S. 850 (1978) (defendant may not appeal denial of his motion to dismiss based upon Sixth Amendment speedy trial grounds); DiBella v. United States, 369 U.S. 121 (1962) (defendant may not appeal denial of pretrial motion to suppress evidence); compare Abney v. United States, 431 U.S. 651 (1977) (interlocutory appeal of denial of motion to dismiss on double jeopardy grounds permissible). Moreover, should the defendant thereafter plead guilty or nolo contendere, this will usually foreclose later appeal with respect to denial of the pretrial motion 'When a criminal defendant has solemnly admitted in open court that he is in fact guilty of the offense with which he is charged, he may not thereafter raise independent claims relating to the deprivation of constitutional rights that occurred prior to the entry of the guilty plea.' Tollett v. Henderson, 411 U.S. 258, (1973). Though a nolo plea differs from a guilty plea in other respects, it is clear that it also constitutes a waiver of all nonjurisdictional defects in a manner equivalent to a guilty plea. Lott v. United States, 367 U.S. 421 (1961). As a consequence, a defendant who has lost one or more pretrial motions will often go through an entire trial simply to preserve the pretrial issues for later appellate review. This results in a waste of prosecutorial and judicial resources, and causes delay in the trial of other cases, contrary to the objectives underlying the Speedy Trial Act of 1974, 18 U.S.C. Sec. 3161 et seq. These unfortunate consequences may be avoided by the conditional plea device expressly authorized by new subdivision (a)(2). The development of procedures to avoid the necessity for trials which are undertaken for the sole purpose of preserving pretrial objections has been consistenly favored by the commentators. See ABA Standards Relating to the Administration of Criminal Justice, standard 21-1.3(c) (2d ed. 1978); Model Code of Pre-Arraignment Procedure Sec. SS 290.1(4)(b) (1975); Uniform Rules of Criminal Procedure, rule 444(d) (Approved Draft, 1974); 1 C. Wright, Federal Practice and Procedure - Criminal Sec. 175 (1969); 3 W. LaFave, Search and Seizure Sec. 11.1 (1978). The Supreme Court has characterized the New York practice, whereby appeals from suppression motions may be appealed notwithstanding a guilty plea, as a 'commendable effort to relieve the problem of congested trial calendars in a manner that does not diminish the opportunity for the assertion of rights guaranteed by the Constitution.' Lefkowitz v. Newsome, 420 U.S. 283, 293 (1975). That Court has never discussed conditional pleas as such, but has permitted without comment a federal appeal on issues preserved by a conditional plea. Jaben v. United States, 381 U.S. 214 (1965). In the absence of specific authorization by statute or rule for a conditional plea, the circuits have divided on the permissibility of the practice. Two circuits have actually approved the entry of conditional pleas, United States v. Burke, 517 F.2d 377 (2d Cir. 1975); United States v. Moskow, 588 F.2d 882 (3d Cir. 1978); and two others have praised the conditional plea concept, United States v. Clark, 459 F.2d 977 (8th Cir. 1972); United States v. Dorsey, 449 F.2d 1104 (D.C.Cir. 1971). Three circuits have expressed the view that a conditional plea is logically inconsistent and thus improper, United States v. Brown, 499 F.2d 829 (7th Cir. 1974); United States v. Sepe, 472 F.2d 784, aff'd en banc, 486 F.2d 1044 (5th Cir. 1973); United States v. Cox, 464 F.2d 937 (6th Cir. 1972); three others have determined only that conditional pleas are not now authorized in the federal system, United States v. Benson, 579 F.2d 508 (9th Cir. 1978); United States v. Nooner, 565 F.2d 633 (10th Cir. 1977); United States v. Matthews, 472 F.2d 1173 (4th Cir. 1973); while one circuit has reserved judgment on the issue, United States v. Warwar, 478 F.2d 1183 (1st Cir. 1973). (At the state level, a few jurisdictions by statute allow appeal from denial of a motion to suppress notwithstanding a subsequent guilty plea, Cal. Penal Code Sec. 1538.5(m); N.Y.Crim. Proc. Law Sec. 710.20(1); Wis.Stat.Ann. Sec. 971.31(10), but in the absence of such a provision the state courts are also in disagreement as to whether a conditional plea is permissible; see cases collected in Comment, 26 U.C.L.A. L.Rev. 360, 373 (1978).) The conditional plea procedure provided for in subdivision (a)(2) will, as previously noted, serve to conserve prosecutorial and judicial resources and advance speedy trial objectives. It will also produce much needed uniformity in the federal system on this matter; see United States v. Clark, supra, noting the split of authority and urging resolution by statute or rule. Also, the availability of a conditional plea under specified circumstances will aid in clarfying the fact that traditional, unqualified pleas do constitute a waiver of nonjurisdictional defects. See United States v. Nooner, supra (defendant sought appellate review of denial of pretrial suppression motion, despite his prior unqualified guilty plea, claiming the Second Circuit conditional plea practice led him to believe a guilty plea did not bar appeal of pretrial issues). The obvious advantages of the conditional plea procedure authorized by subdivision (a)(2) are not outweighed by any significant or compelling disadvantages. As noted in Comment, supra, at 375: 'Four major arguments have been raised by courts disapproving of conditioned pleas. The objections are that the procedure encourages a flood of appellate litigation, militates against achieving finality in the criminal process, reduces effectiveness of appeallate review due to the lack of a full trial record, and forces decision on constitutional questions that could otherwise be avoided by invoking the harmless error doctrine.' But, as concluded therein, those 'arguments do not withstand close analysis.' Ibid. As for the first of those arguments, experience in states which have permitted appeals of suppression motions notwithstanding a subsequent plea of guilty is most relevant, as conditional pleas are likely to be most common when the objective is to appeal that kind of pretrial ruling. That experience has shown that the number of appeals has not increased substantially. See Comment, 9 Hous.L.Rev. 305, 315-19 (1971). The minimal added burden at the appellate level is certainly a small price to pay for avoiding otherwise unnecessary trials. As for the objection that conditional pleas conflict with the government's interest in achieving finality, it is likewise without force. While it is true that the conditional plea does not have the complete finality of the traditional plea of guilty or nolo contendere because 'the essence of the agreement is that the legal guilt of the defendant exists only if the prosecution's case' survives on appeal, the plea continues to serve a partial state interest in finality, however, by establishing admission of the defendant's factual guilt. The defendant stands guilty and the proceedings come to an end if the reserved issue is ultimately decided in the government's favor. Comment, 26 U.C.L.A. L.Rev. 360, 378 (1978). The claim that the lack of a full trial record precludes effective appellate review may on occassion be relevant. Cf. United States v. MacDonald, supra (holding interlocutory appeal not available for denial of defendant's pretrial motion to dismiss, on speedy trial grounds, and noting that 'most speedy trial claims * * * are best considered only after the relevant facts have been developed at trial'). However, most of the objections which would likely be raised by pretrial motion and preserved for appellate review by a conditional plea are subject to appellate resolution without a trial record. Certainly this is true as to the very common motion to suppress evidence, as is indicated by the fact that appeallate courts presently decide such issues upon interlocutory appeal by the government. With respect to the objection that conditional pleas circumvent application of the harmless error doctrine, it must be acknowledged that '(a)bsent a full trial record, containing all the government's evidence against the defendant, invocation of the harmless error rule is arguably impossible.' Comment, supra, at 380. But, the harmless error standard with respect to constitutional objections is sufficiently high, see Chapman v. California, 386 U.S. 18 (1967), that relatively few appellate decisions result in affirmance upon that basis. Thus it will only rarely be true that the conditional plea device will cause an appellate court to consider constitutional questions which could otherwise have been avoided by invocation of the doctrine of harmless error. To the extent that these or related objections would otherwise have some substance, they are overcome by the provision in Rule 11(a)(2) that the defendant may enter a conditional plea only 'with the approval of the court and the consent of the government.' (In this respect, the rule adopts the practice now found in the Second Circuit.) The requirement of approval by the court is most appropriate, as it ensures, for example, that the defendant is not allowed to take an appeal on a matter which can only be fully developed by proceeding to trial; cf. United States v. MacDonald, supra. As for consent by the government, it will ensure that conditional pleas will be allowed only when the decision of the court of appeals will dispose of the case either by allowing the plea to stand or by such action as compelling dismissal of the indictment or suppressing essential evidence. Absent such circumstances, the conditional plea might only serve to postpone the trial and require the government to try the case after substantial delay, during which time witnesses may be lost, memories dimmed, and the offense grown so stale as to lose jury appeal. The government is in a unique position to determine whether the matter at issue would be case-dispositive, and, as a party to the litigation, should have an absolute right to refuse to consent to potentially prejudicial delay. Although it was suggested in United States v. Moskow, supra, that the government should have no right to prevent the entry of a conditional plea because a defendant has no comparable right to block government appeal of a pretrial ruling pursuant to 18 U.S.C. Sec. 3731, that analogy is unconvincing. That statute requires the government to certify that the appeal is not taken for purposes of delay. Moreover, where the pretrial ruling is case-dispositive, Sec. 3731 is the only mechanism by which the government can obtain appellate review, but a defendant may always obtain review by pleading not guilty. Unlike the state statutes cited earlier, Rule 11(a)(2) is not limited to instances in which the pretrial ruling the defendant wishes to appeal was in response to defendant's motion to suppress evidence. Though it may be true that the conditional plea device will be most commonly employed as to such rulings, the objectives of the rule are well served by extending it to other pretrial rulings as well. See, e.g., ABA Standards, supra (declaring the New York provision 'should be enlarged to include other pretrial defenses'); Uniform Rules of Criminal Procedure, rule 444(d) (Approved Draft, 1974) ('any pretrial motion which, if granted, would be dispositive of the case'). The requirement that the conditional plea be made by the defendant 'reserving in writing the right to appeal from the adverse determination of any specified pretrial motion,' though extending beyond the Second Circuit practice, will ensure careful attention to any conditional plea. It will document that a particular plea was in fact conditional, and will identify precisely what pretrial issues have been preserved for appellate review. By requiring this added step, it will be possible to avoid entry of a conditional plea without the considered acquiscence of the government (see United States v. Burke, supra, holding that failure of the government to object to entry of a conditional plea constituted consent) and post-plea claims by the defendant that his plea should be deemed conditional merely because it occurred after denial of his pretrial motions (see United States v. Nooner, supra). It must be emphasized that the only avenue of review of the specified pretrial ruling permitted under a rule 11(a)(2) conditional plea is an appeal, which must be brought in compliance with Fed.R.App.P. 4(b). Relief via 28 U.S.C. Sec. 2255 is not available for this purpose. The Supreme Court has held that certain kinds of constitutional objections may be raised after a plea of guilty. Menna v. New York, 423 U.S. 61 (1975) (double jeopardy violation); Blackledge v. Perry, 417 U.S. 21 (1974) (due process violation by charge enhancement following defendant's exercise of right to trial de novo). Subdivision 11(a)(2) has no application to such situations, and should not be interpreted as either broadening or narrowing the Menna-Blackledge doctrine or as establishing procedures for its application. Note to Subdivision (h). Subdivision (h) makes clear that the harmless error rule of Rule 52(a) is applicable to Rule 11. The provision does not, however, attempt to define the meaning of 'harmless error,' which is left to the case law. Prior to the amendments which took effect on Dec. 1, 1975, Rule 11 was very brief; it consisted of but four sentences. The 1975 amendments increased significantly the procedures which must be undertaken when a defendant tenders a plea of guilty or nolo contendere, but this change was warranted by the 'two principal objectives' then identified in the Advisory Committee Note: (1) ensuring that the defendant has made an informed plea; and (2) ensuring that plea agreements are brought out into the open in court. An inevitable consequence of the 1975 amendments was some increase in the risk that a trial judge, in a particular case, might inadvertently deviate to some degree from the procedure which a very literal reading of Rule 11 would appear to require. This being so, it became more apparent than ever that Rule 11 should not be given such a crabbed interpretation that ceremony was exalted over substance. As stated in United States v. Scarf, 551 F.2d 1124 (8th Cir. 1977), concerning amended Rule 11: 'It is a salutary rule, and district courts are required to act in substantial compliance with it although * * * ritualistic compliance is not required.' As similarly pointed out in United States v. Saft, 558 F.2d 1073 (2d Cir. 1977), the Rule does note say that compliance can be achieved only by reading the specified items in haec verba. Congress meant to strip district judges of freedom to decide what they must explain to a defendant who wishes to plead guilty, not to tell them precisely how to perform this important task in the great variety of cases that would come before them. While a judge who contents himself with literal application of the Rule will hardly be reversed, it cannot be supposed that Congress preferred this to a more meaningful explanation, provided that all the specified elements were covered. Two important points logically flow from these sound observations. One concerns the matter of construing Rule 11: it is not to be read as requiring a litany or other ritual which can be carried out only by word-for-word adherence to a set 'script.' The other, specifically addressed in new subdivision (h), is that even when it may be concluded Rule 11 has not been complied with in all respects, it does not inevitably follow that the defendant's plea of guilty or nolo contendere is invalid and subject to being overturned by any remedial device then available to the defendant. Notwithstanding the declaration in Rule 52(a) that '(a)ny error, defect, irregularity or variance which does not affect substantial rights shall be disregarded,' there has existed for some years considerable disagreement concerning the applicability of the harmless error doctrine to Rule 11 violations. In large part, this is attributable to uncertanity as to the continued vitatlity and the reach of McCarthy v. United States, 394 U.S. 459 (1969). In McCarthy, involving a direct appeal from a plea of guilty because of noncompliance with Rule 11, the Court concluded that prejudice inheres in a failure to comply with Rule 11, for noncompliance deprives the defendant of the Rule's procedural safeguards, which are designed to facilitate a more accurate determination of the voluntariness of his plea. Our holding (is) that a defendant whose plea has been accepted in violation of Rule 11 should be afforded the opportunity to plead anew * * *. McCarthy has been most frequently relied upon in cases where, as in that case, the defendant sought relief because of a Rule 11 violation by the avenue of direct appeal. It has been held that in such circumstances a defendant's conviction must be reversed whenever the 'district court accepts his guilty plea without fully adhering to the procedure provided for in Rule 11,' United States v. Boone, 543 F.2d 1090 (4th Cir. 1976), and that in this context any reliance by the government on the Rule 52(a) harmless error concept 'must be rejected.' United States v. Journet, 544 F.2d 633 (2d Cir. 1976). On the other hand, decisions are to be found taking a harmless error approach on direct appeal where it appeared the nature and extent of the deviation from Rule 11 was such that it could not have had any impact on the defendant's decision to plead or the fairness in now holding him to his plea. United States v. Peters, No. 77-1700 (4th Cir., Dec. 22, 1978) (where judge failed to comply fully with Rule 11(c)(1), in that defendant not correctly advised of maximum years of special parole term but was told it is at least 3 years, and defendant thereafter sentenced to 15 years plus 3-year special parole term, government's motion for summary affirmance granted, as 'the error was harmless'); United States v. Coronado, 554 F.2d 166 (5th Cir. 1977) (court first holds that charge of conspiracy requires some explanation of what conspiracy means to comply with Rule 11(c)(1), but then finds no reversible error 'because the rule 11 proceeding on its face discloses, despite the trial court's failure sufficiently to make the required explicitation of the charges, that Coronado understood them'). But this conflict has not been limited to cases involving nothing more than a direct appeal following defendant's plea. For example, another type of case is that in which the defendant has based a post-sentence motion to withdraw his plea on a Rule 11 violation. Rule 32(d) says that such a motion may be granted 'to correct manifest injustice,' and some courts have relied upon this latter provision in holding that post-sentence plea withdrawal need not be permitted merely because Rule 11 was not fully complied with and that instead the district court should hold an evidentiary hearing to determine 'whether manifest injustice will result if the conviction based on the guilty plea is permitted to stand.' United States v. Scarf, 551 F.2d 1124 (8th Cir. 1977). Others, however, have held that McCarthy applies and prevails over the language of Rule 32(d), so that 'a failure to scrupulously comply with Rule 11 will invalidate a plea without a showing of manifest injustice.' United States v. Cantor, 469 F.2d 435 (3d Cir. 1972). Disagreement has also existed in the context of collateral attack upon pleas pursuant to 28 U.S.C. Sec. 2255. On the one hand, it has been concluded that '(n)ot every violation of Rule 11 requires that the plea be set aside' in a Sec. 2255 proceeding, and that 'a guilty plea will be set aside on collateral attack only where to not do so would result in a miscarriage of justice, or where there exists exceptional circumstances justifying such relief.' Evers v. United States, 579 F.2d 71 (10th Cir. 1978). The contrary view was that McCarthy governed in Sec. 2255 proceedings because 'the Supreme Court hinted at no exceptions to its policy of strict enforcement of Rule 11.' Timmreck v. United States, 577 F.2d 377 (6th Cir. 1978). But a unanimous Supreme Court resolved this conflict in United States v. Timmreck, 441 U.S. 780 (1979), where the Court concluded that the reasoning of Hill v. United States, 368 U.S. 424 (1962) (ruling a collateral attack could not be predicated on a violation of Rule 32(a)) is equally applicable to a formal violation of Rule 11.* * * Indeed, if anything, this case may be a stronger one for foreclosing collateral relief than the Hill case. For the concern with finality served by the limitation on collateral attack has special force with respect to convictions based on guilty pleas. 'Every inroad on the concept of finality undermines confidence in the integrity of our procedures; and, by increasing the volume of judicial work, inevitably delays and impairs the orderly administration of justice. The impact is greatest when new grounds for setting aside guilty pleas are approved because the vast majority of criminal convictions result from such pleas. Moreover, the concern that unfair procedures may have resulted in the conviction of an innocent defendant is only rarely raised by a petition to set aside a guilty plea.' This interest in finality is strongest in the collateral attack context the Court was dealing with in Timmreck, which explains why the Court there adopted the Hill requirement that in a Sec. 2255 proceeding the rule violation must amount to 'a fundamental defect which inherently results in a complete miscarriage of justice' or 'an omission inconsistent with the rudimentary demands of fair procedure.' The interest in finality of guilty pleas described in Timmreck is of somewhat lesser weight when a direct appeal is involved (so that the Hill standard is obviously inappropriate in that setting), but yet is sufficiently compelling to make unsound the proposition that reversal is required even where it is apparent that the Rule 11 violation was of the harmless error variety. Though the McCarthy per se rule may have been justified at the time and in the circumstances which obtained when the plea in that case was taken, this is no longer the case. For one thing, it is important to recall that McCarthy dealt only with the much simpler pre-1975 version of Rule 11, which required only a brief procedure during which the chances of a minor, insignificant and inadvertent deviation were relatively slight. This means that the chances of a truly harmless error (which was not involved in McCarthy in any event, as the judge made no inquiry into the defendant's understanding of the nature of the charge, and the government had presented only the extreme argument that a court 'could properly assume that petitioner was entering that plea with a complete understanding of the charge against him' merely from the fact he had stated he desired to plead guilty) are much greater under present Rule 11 than under the version before the Court in McCarthy. It also means that the more elaborate and lengthy procedures of present Rule 11, again as compared with the version applied in McCarthy, make it more apparent than ever that a guilty plea is not 'a mere gesture, a temporary and meaningless formality reversible at the defendant's whim,' but rather ' 'a grave and solemn act,' which is 'accepted only with care and discernment.' ' United States v. Barker, 514 F.2d 208 (D.C.Cir.1975), quoting from Brady v. United States, 397 U.S. 742 (1970). A plea of that character should not be overturned, even on direct appeal, when there has been a minor and technical violation of Rule 11 which amounts to harmless error. Secondly, while McCarthy involved a situation in which the defendant's plea of guilty was before the court of appeals on direct appeal, the Supreme Court appears to have been primarily concerned with Sec. 2255-type cases, for the Court referred exclusively to cases of that kind in the course of concluding that a per se rule was justified as to Rule 11 violations because of 'the difficulty of achieving (rule 11's) purposes through a post-conviction voluntariness hearing.' But that reasoning has now been substantially undercut by United States v. Timmreck, supra, for the Court there concluded Sec. 2255 relief 'is not available when all that is shown is a failure to comply with the formal requirements of the Rule,' at least absent 'other aggravating circumstances,' which presumably could often only be developed in the course of a later evidentiary hearing. Although all of the aforementioned considerations support the policy expressed in new subdivision (h), the Advisory Committee does wish to emphasize two important cautionary notes. The first is that subdivision (h) should not be read as supporting extreme or speculative harmless error claims or as, in effect, nullifying important Rule 11 safeguards. There would not be harmless error under subdivision (h) where, for example, as in McCarthy, there had been absolutely no inquiry by the judge into defendant's understanding of the nature of the charge and the harmless error claim of the government rests upon nothing more than the assertion that it may be 'assumed' defendant possessed such understanding merely because he expressed a desire to plead guilty. Likewise, it would not be harmless error if the trial judge totally abdicated to the prosecutor the responsibility for giving to the defendant the various Rule 11 warnings, as this 'results in the creation of an atmosphere of subtle coercion that clearly contravenes the policy behind Rule 11.' United States v. Crook, 526 F.2d 708 (5th Cir. 1976). Indeed, it is fair to say that the kinds of Rule 11 violations which might be found to constitute harmless error upon direct appeal are fairly limited, as in such instances the matter 'must be resolved solely on the basis of the Rule 11 transcript' and the other portions (e.g., sentencing hearing) of the limited record made in such cases. United States v. Coronado, supra. Illustrative are: where the judge's compliance with subdivision (c)(1) was not absolutely complete, in that some essential element of the crime was not mentioned, but the defendant's responses clearly indicate his awareness of that element, see United States v. Coronado, supra; where the judge's compliance with subdivision (c)(2) was erroneous in part in that the judge understated the maximum penalty somewhat, but the penalty actually imposed did not exceed that indicated in the warnings, see United States v. Peters, supra; and where the judge completely failed to comply with subdivision (c)(5), which of course has no bearing on the validity of the plea itself, cf. United States v. Sinagub, supra. The second cautionary note is that subdivision (h) should not be read as an invitation to trial judges to take a more casual approach to Rule 11 proceedings. It is still true, as the Supreme Court pointed out in McCarthy, that thoughtful and careful compliance with Rule 11 best serves the cause of fair and efficient administration of criminal justice, as it will help reduce the great waste of judicial resources required to process the frivolous attacks on guilty plea convictions that are encouraged, and are more difficult to dispose of, when the original record is inadequate. It is, therefore, not too much to require that, before sentencing defendants to years of imprisonment, district judges take the few minutes necessary to inform them of their rights and to determine whether they understand the action they are taking. Subdivision (h) makes no change in the responsibilities of the judge at Rule 11 proceedings, but instead merely rejects the extreme sanction of automatic reversal. It must also be emphasized that a harmless error provision has been added to Rule 11 because some courts have read McCarthy as meaning that the general harmless error provision in Rule 52(a) cannot be utilized with respect to Rule 11 proceedings. Thus, the addition of subdivision (h) should not be read as suggesting that Rule 52(a) does not apply in other circumstances because of the absence of a provision comparable to subdivision (h) attached to other rules. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT Note to Subdivision (c)(1). Section 5 of the Victim and Witness Protection Act of 1982, Pub. L. No. 97-291, 96 Stat. 1248 (1982), adds 18 U.S.C. Sec. 3579, providing that when sentencing a defendant convicted of a Title 18 offense or of violating various subsections of the Federal Aviation Act of 1958, the court 'may order, in addition to or in lieu of any other penalty authorized by law, that the defendant make restitution to any victim of the offense.' Under this law restitution is favored; if the court 'does not order restitution, or orders only partial restitution, . . . the court shall state on the record the reasons therefor.' Because this restitution is deemed an aspect of the defendant's sentence, S. Rept. No. 97-532, 97th Cong., 2d Sess., 30-33 (1982), it is a matter about which a defendant tendering a plea of guilty or nolo contendere should be advised. Because this new legislation contemplates that the amount of the restitution to be ordered will be ascertained later in the sentencing process, this amendment to Rule 11(c)(1) merely requires that the defendant be told of the court's power to order restitution. The exact amount or upper limit cannot and need not be stated at the time of the plea. Failure of a court to advise a defendant of the possibility of a restitution order would constitute harmless error under subdivision (h) if no restitution were thereafter ordered. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. NOTES OF ADVISORY COMMITTEE ON RULES - 1989 AMENDMENT The amendment mandates that the district court inform a defendant that the court is required to consider any applicable guidelines but may depart from them under some circumstances. This requirement assures that the existence of guidelines will be known to a defendant before a plea of guilty or nolo contendere is accepted. Since it will be impracticable, if not impossible, to know which guidelines will be relevant prior to the formulation of a presentence report and resolution of disputed facts, the amendment does not require the court to specify which guidelines will be important or which grounds for departure might prove to be significant. The advice that the court is required to give cannot guarantee that a defendant who pleads guilty will not later claim a lack of understanding as to the importance of guidelines at the time of the plea. No advice is likely to serve as a complete protection against post-plea claims of ignorance or confusion. By giving the advice, the court places the defendant and defense counsel on notice of the importance that guidelines may play in sentencing and of the possibility of a departure from those guidelines. A defendant represented by competent counsel will be in a position to enter an intelligent plea. The amended rule does not limit the district court's discretion to engage in a more extended colloquy with the defendant in order to impart additional information about sentencing guidelines or to inquire into the defendant's knowledge concerning guidelines. The amended rule sets forth only the minimum advice that must be provided to the defendant by the court. 1988 AMENDMENT Subd. (c)(1). Pub. L. 100-690 inserted 'or term of supervised release' after 'special parole term'. 1975 AMENDMENT Pub. L. 94-64 amended subds. (c) and (e)(1)-(4), (6) generally. EFFECTIVE DATE OF 1979 AMENDMENT Amendment of subd. (e)(6) of this rule by order of the United States Supreme Court of Apr. 30, 1979, effective Dec. 1, 1980, see section 1(1) of Pub. L. 96-42, July 31, 1979, 93 Stat. 326, set out as a note under section 3771 of this title. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, except with respect to the amendment adding subd. (e)(6) of this rule, effective Aug. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- CROSS REFERENCES Assignment of counsel, see rule 44. Motion before entry of plea or reasonable time thereafter, see rule 12. Pleadings and motions before trial, see rule 12. Withdrawal of plea of guilty, see rule 32. ------DocID 25089 Document 1331 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 12 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 12. Pleadings and Motions Before Trial; Defenses and Objections -STATUTE- (a) Pleadings and Motions. Pleadings in criminal proceedings shall be the indictment and the information, and the pleas of not guilty, guilty and nolo contendere. All other pleas, and demurrers and motions to quash are abolished, and defenses and objections raised before trial which heretofore could have been raised by one or more of them shall be raised only by motion to dismiss or to grant appropriate relief, as provided in these rules. (b) Pretrial Motions. Any defense, objection, or request which is capable of determination without the trial of the general issue may be raised before trial by motion. Motions may be written or oral at the discretion of the judge. The following must be raised prior to trial: (1) Defenses and objections based on defects in the institution of the prosecution; or (2) Defenses and objections based on defects in the indictment or information (other than that it fails to show jurisdiction in the court or to charge an offense which objections shall be noticed by the court at any time during the pendency of the proceedings); or (3) Motions to suppress evidence; or (4) Requests for discovery under Rule 16; or (5) Requests for a severance of charges or defendants under Rule 14. (c) Motion Date. Unless otherwise provided by local rule, the court may, at the time of the arraignment or as soon thereafter as practicable, set a time for the making of pretrial motions or requests and, if required, a later date of hearing. (d) Notice by the Government of the Intention To Use Evidence. (1) At the Discretion of the Government. At the arraignment or as soon thereafter as is practicable, the government may give notice to the defendant of its intention to use specified evidence at trial in order to afford the defendant an opportunity to raise objections to such evidence prior to trial under subdivision (b)(3) of this rule. (2) At the Request of the Defendant. At the arraignment or as soon thereafter as is practicable the defendant may, in order to afford an opportunity to move to suppress evidence under subdivision (b)(3) of this rule, request notice of the government's intention to use (in its evidence in chief at trial) any evidence which the defendant may be entitled to discover under Rule 16 subject to any relevant limitations prescribed in Rule 16. (e) Ruling on Motion. A motion made before trial shall be determined before trial unless the court, for good cause, orders that it be deferred for determination at the trial of the general issue or until after verdict, but no such determination shall be deferred if a party's right to appeal is adversely affected. Where factual issues are involved in determining a motion, the court shall state its essential findings on the record. (f) Effect of Failure To Raise Defenses or Objections. Failure by a party to raise defenses or objections or to make requests which must be made prior to trial, at the time set by the court pursuant to subdivision (c), or prior to any extension thereof made by the court, shall constitute waiver thereof, but the court for cause shown may grant relief from the waiver. (g) Records. A verbatim record shall be made of all proceedings at the hearing, including such findings of fact and conclusions of law as are made orally. (h) Effect of Determination. If the court grants a motion based on a defect in the institution of the prosecution or in the indictment or information, it may also order that the defendant be continued in custody or that bail be continued for a specified time pending the filing of a new indictment or information. Nothing in this rule shall be deemed to affect the provisions of any Act of Congress relating to periods of limitations. (i) Production of Statements at Suppression Hearing. Except as herein provided, rule 26.2 shall apply at a hearing on a motion to suppress evidence under subdivision (b)(3) of this rule. For purposes of this subdivision, a law enforcement officer shall be deemed a witness called by the government, and upon a claim of privilege the court shall excise the portions of the statement containing privileged matter. -SOURCE- (As amended Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(11), (12), 89 Stat. 372; Apr. 28, 1983, eff. Aug. 1, 1983; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. This rule abolishes pleas to the jurisdiction, pleas in abatement, demurrers, special pleas in bar, and motions to quash. A motion to dismiss or for other appropriate relief is substituted for the purpose of raising all defenses and objections heretofore interposed in any of the foregoing modes. 'This should result in a reduction of opportunities for dilatory tactics and, at the same time, relieve the defense of embarrassment. Many competent practitioners have been baffled and mystified by the distinctions between pleas in abatement, pleas in bar, demurrers, and motions to quash, and have, at times, found difficulty in determining which of these should be invoked.' Homer Cummings, 29 A.B.A.Jour. 655. See also, Medalie, 4 Lawyers Guild R. (3)1, 4. 2. A similar change was introduced by the Federal Rules of Civil Procedure (Rule 7(a)) which has proven successful. It is also proposed by the A.L.I. Code of Criminal Procedure (Sec. 209). Note to Subdivision (b)(1) and (2). These two paragraphs classify into two groups all objections and defenses to be interposed by motion prescribed by Rule 12(a). In one group are defenses and objections which must be raised by motion, failure to do so constituting a waiver. In the other group are defenses and objections which at the defendant's option may be raised by motion, failure to do so, however, not constituting a waiver. (Cf. Rule 12 of Federal Rules of Civil Procedure (28 U.S.C., Appendix).) In the first of these groups are included all defenses and objections that are based on defects in the institution of the prosecution or in the indictment and information, other than lack of jurisdiction or failure to charge an offense. All such defenses and objections must be included in a single motion. (Cf. Rule 12(g) of Federal Rules of Civil Procedure (28 U.S.C., Appendix).) Among the defenses and objections in this group are the following: Illegal selection or organization of the grand jury, disqualification of individual grand jurors, presence of unauthorized persons in the grand jury room, other irregularities in grand jury proceedings, defects in indictment or information other than lack of jurisdiction or failure to state an offense, etc. The provision that these defenses and objections are waived if not raised by motion substantially continues existing law, as they are waived at present unless raised before trial by plea in abatement, demurrer, motion to quash, etc. In the other group of objections and defenses, which the defendant at his option may raise by motion before trial, are included all defenses and objections which are capable of determination without a trial of the general issue. They include such matters as former jeopardy, former conviction, former acquittal, statute of limitations, immunity, lack of jurisdiction, failure of indictment or information to state an offense, etc. Such matters have been heretofore raised by demurrers, special pleas in bar and motions to quash. Note to Subdivision (b)(3). This rule, while requiring the motion to be made before pleading, vests discretionary authority in the court to permit the motion to be made within a reasonable time thereafter. The rule supersedes 18 U.S.C. 556a (now 3288, 3289), fixing a definite limitation of time for pleas in abatement and motions to quash. The rule also eliminates the requirement for technical withdrawal of a plea if it is desired to interpose a preliminary objection or defense after the plea has been entered. Under this rule a plea will be permitted to stand in the meantime. Note to Subdivision (b)(4). This rule substantially restates existing law. It leaves with the court discretion to determine in advance of trial defenses and objections raised by motion or to defer them for determination at the trial. It preserves the right to jury trial in those cases in which the right is given under the Constitution or by statute. In all other cases it vests in the court authority to determine issues of fact in such manner as the court deems appropriate. Note to Subdivision (b)(5). 1. The first sentence substantially restates existing law, 18 U.S.C. (former) 561 (Indictments and presentments; judgment on demurrer), which provides that in case a demurrer to an indictment or information is overruled, the judgment shall be respondeat ouster. 2. The last sentence of the rule that 'Nothing in this rule shall be deemed to affect the provisions of any act of Congress relating to periods of limitations' is intended to preserve the provisions of statutes which permit a reindictment if the original indictment is found defective or is dismissed for other irregularities and the statute of limitations has run in the meantime, 18 U.S.C. 587 (now 3288) (Defective indictment; defect found after period of limitations; reindictment); Id. sec. 588 (now 3289) (Defective indictment; defect found before period of limitations; reindictment); Id. sec. 589 (now 3288, 3289) (Defective indictment; defense of limitations to new indictment); Id. sec. 556a (now 3288, 3289) (Indictments and presentments; objections to drawing or qualification of grand jury; time for filing; suspension of statute of limitations). NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Subdivision (a) remains as it was in the old rule. It 'speaks only of defenses and objections that prior to the rules could have been raised by a plea, demurrer, or motion to quash' (C. Wright, Federal Practice and Procedure: Criminal Sec. 191 at p. 397 (1969)), and this might be interpreted as limiting the scope of the rule. However, some courts have assumed that old rule 12 does apply to pretrial motions generally, and the amendments to subsequent subdivisions of the rule should make clear that the rule is applicable to pretrial motion practice generally. (See e.g., rule 12(b)(3), (4), (5) and rule 41(e).) Subdivision (b) is changed to provide for some additional motions and requests which must be made prior to trial. Subdivisions (b)(1) and (2) are restatements of the old rule. Subdivision (b)(3) makes clear that objections to evidence on the ground that it was illegally obtained must be raised prior to trial. This is the current rule with regard to evidence obtained as a result of an illegal search. See rule 41(e); C. Wright, Federal Practice and Procedure: Criminal Sec. 673 (1969, Supp. 1971). It is also the practice with regard to other forms of illegality such as the use of unconstitutional means to obtain a confession. See C. Wright, Federal Practice and Procedure: Criminal Sec. 673 at p. 108 (1969). It seems apparent that the same principle should apply whatever the claimed basis for the application of the exclusionary rule of evidence may be. This is consistent with the court's statement in Jones v. United States, 362 U.S. 257, 264, 80 S.Ct. 725, 4 L.Ed.2d 697 (1960): This provision of Rule 41(e), requiring the motion to suppress to be made before trial, is a crystallization of decisions of this Court requiring that procedure, and is designed to eliminate from the trial disputes over police conduct not immediately relevant to the question of guilt. (Emphasis added.) Subdivision (b)(4) provides for a pretrial request for discovery by either the defendant or the government to the extent to which such discovery is authorized by rule 16. Subdivision (b)(5) provides for a pretrial request for a severance as authorized in rule 14. Subdivision (c) provides that a time for the making of motions shall be fixed at the time of the arraignment or as soon thereafter as practicable by court rule or direction of a judge. The rule leaves to the individual judge whether the motions may be oral or written. This and other amendments to rule 12 are designed to make possible and to encourage the making of motions prior to trial, whenever possible, and in a single hearing rather than in a series of hearings. This is the recommendation of the American Bar Association's Committee on Standards Relating to Discovery and Procedure Before Trial (Approved Draft, 1970); see especially Sec. 5.2 and 5.3. It also is the procedure followed in those jurisdictions which have used the so-called 'omnibus hearing' originated by Judge James Carter in the Southern District of California. See 4 Defender Newsletter 44 (1967); Miller, The Omnibus Hearing - An Experiment in Federal Criminal Discovery, 5 San Diego L.Rev. 293 (1968); American Bar Association, Standards Relating to Discovery and Procedure Before Trial, Appendices B, C, and D (Approved Draft, 1970). The omnibus hearing is also being used, on an experimental basis, in several other district courts. Although the Advisory Committee is of the view that it would be premature to write the omnibus hearing procedure into the rules, it is of the view that the single pretrial hearing should be made possible and its use encouraged by the rules. There is a similar trend in state practice. See, e.g., State ex rel. Goodchild v. Burke, 27 Wis.2d 244, 133 N.W.2d 753 (1965); State ex rel. Rasmussen v. Tahash, 272 Minn. 539, 141 N.W.2d 3 (1965). The rule provides that the motion date be set at 'the arraignment or as soon thereafter as practicable.' This is the practice in some federal courts including those using the omnibus hearing. (In order to obtain the advantage of the omnibus hearing, counsel routinely plead not guilty at the initial arraignment on the information or indictment and then may indicate a desire to change the plea to guilty following the omnibus hearing. This practice builds a more adequate record in guilty plea cases.) The rule further provides that the date may be set before the arraignment if local rules of court so provide. Subdivision (d) provides a mechanism for insuring that a defendant knows of the government's intention to use evidence to which the defendant may want to object. On some occasions the resolution of the admissibility issue prior to trial may be advantageous to the government. In these situations the attorney for the government can make effective defendant's obligation to make his motion to suppress prior to trial by giving defendant notice of the government's intention to use certain evidence. For example, in United States v. Desist, 384 F.2d 889, 897 (2d Cir. 1967), the court said: Early in the pre-trial proceedings, the Government commendably informed both the court and defense counsel that an electronic listening device had been used in investigating the case, and suggested a hearing be held as to its legality. See also the 'Omnibus Crime Control and Safe Streets Act of 1968,' 18 U.S.C. Sec. 2518(9): The contents of any intercepted wire or oral communication or evidence derived therefrom shall not be received in evidence or otherwise disclosed in any trial, hearing, or other proceeding in a Federal or State court unless each party, not less than ten days before the trial, hearing, or proceeding, has been furnished with a copy of the court order, and accompanying application, under which the interception was authorized or approved. In cases in which defendant wishes to know what types of evidence the government intends to use so that he can make his motion to suppress prior to trial, he can request the government to give notice of its intention to use specified evidence which the defendant is entitled to discover under rule 16. Although the defendant is already entitled to discovery of such evidence prior to trial under rule 16, rule 12 makes it possible for him to avoid the necessity of moving to suppress evidence which the government does not intend to use. No sanction is provided for the government's failure to comply with the court's order because the committee believes that attorneys for the government will in fact comply and that judges have ways of insuring compliance. An automatic exclusion of such evidence, particularly where the failure to give notice was not deliberate, seems to create too heavy a burden upon the exclusionary rule of evidence, especially when defendant has opportunity for broad discovery under rule 16. Compare ABA Project on Standards for Criminal Justice, Standards Relating to Electronic Surveillance (Approved Draft, 1971) at p. 116: A failure to comply with the duty of giving notice could lead to the suppression of evidence. Nevertheless, the standards make it explicit that the rule is intended to be a matter of procedure which need not under appropriate circumstances automatically dictate that evidence otherwise admissible be suppressed. Pretrial notice by the prosecution of its intention to use evidence which may be subject to a motion to suppress is increasingly being encouraged in state practice. See, e.g., State ex rel. Goodchild v. Burke, 27 Wis.2d 244, 264, 133 N.W.2d 753, 763 (1965): In the interest of better administration of criminal justice we suggest that wherever practicable the prosecutor should within a reasonable time before trial notify the defense as to whether any alleged confession or admission will be offered in evidence at the trial. We also suggest, in cases where such notice is given by the prosecution, that the defense, if it intends to attack the confession or admission as involuntary, notify the prosecutor of a desire by the defense for a special determination on such issue. See also State ex rel. Rasmussen v. Tahash, 272 Minn. 539, 553-556, 141 N.W.2d 3, 13-15 (1965): At the time of arraignment when a defendant pleads not guilty, or as soon as possible thereafter, the state will advise the court as to whether its case against the defendant will include evidence obtained as the result of a search and seizure; evidence discovered because of a confession or statements in the nature of a confession obtained from the defendant; or confessions or statements in the nature of confessions. Upon being so informed, the court will formally advise the attorney for the defendant (or the defendant himself if he refuses legal counsel) that he may, if he chooses, move the court to suppress the evidence so secured or the confession so obtained if his contention is that such evidence was secured or confession obtained in violation of defendant's constitutional rights. * * * The procedure which we have outlined deals only with evidence obtained as the result of a search and seizure and evidence consisting of or produced by confession on the part of the defendant. However, the steps which have been suggested as a method of dealing with evidence of this type will indicate to counsel and to the trial courts that the pretrial consideration of other evidentiary problems, the resolution of which is needed to assure the integrity of the trial when conducted, will be most useful and that this court encourages the use of such procedures whenever practical. Subdivision (e) provides that the court shall rule on a pretrial motion before trial unless the court orders that it be decided upon at the trial of the general issue or after verdict. This is the old rule. The reference to issues which must be tried by the jury is dropped as unnecessary, without any intention of changing current law or practice. The old rule begs the question of when a jury decision is required at the trial, providing only that a jury is necessary if 'required by the Constitution or an act of Congress.' It will be observed that subdivision (e) confers general authority to defer the determination of any pretrial motion until after verdict. However, in the case of a motion to suppress evidence the power should be exercised in the light of the possibility that if the motion is ultimately granted a retrial of the defendant may not be permissible. Subdivision (f) provides that a failure to raise the objections or make the requests specified in subdivision (b) constitutes a waiver thereof, but the court is allowed to grant relief from the waiver if adequate cause is shown. See C. Wright, Federal Practice and Procedure: Criminal Sec. 192 (1969), where it is pointed out that the old rule is unclear as to whether the waiver results only from a failure to raise the issue prior to trial or from the failure to do so at the time fixed by the judge for a hearing. The amendment makes clear that the defendant and, where appropriate, the government have an obligation to raise the issue at the motion date set by the judge pursuant to subdivision (c). Subdivision (g) requires that a verbatim record be made of pretrial motion proceedings and requires the judge to make a record of his findings of fact and conclusions of law. This is desirable if pretrial rulings are to be subject to post-conviction review on the record. The judge may find and rule orally from the bench, so long as a verbatim record is taken. There is no necessity of a separate written memorandum containing the judge's findings and conclusions. Subdivision (h) is essentially old rule 12(b)(5) except for the deletion of the provision that defendant may plead if the motion is determined adversely to him or, if he has already entered a plea, that that plea stands. This language seems unnecessary particularly in light of the experience in some district courts where a pro forma plea of not guilty is entered at the arraignment, pretrial motions are later made, and depending upon the outcome the defendant may then change his plea to guilty or persist in his plea of not guilty. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 12 of the Federal Rules of Criminal Procedure deals with pretrial motions and pleadings. The Supreme Court proposed several amendments to it. The more significant of these are set out below. Subdivision (b) as proposed to be amended provides that the pretrial motions may be oral or written, at the court's discretion. It also provides that certain types of motions must be made before trial. Subdivision (d) as proposed to be amended provides that the government, either on its own or in response to a request by the defendant, must notify the defendant of its intention to use certain evidence in order to give the defendant an opportunity before trial to move to suppress that evidence. Subdivision (e) as proposed to be amended permits the court to defer ruling on a pretrial motion until the trial of the general issue or until after verdict. Subdivision (f) as proposed to be amended provides that the failure before trial to file motions or requests or to raise defenses which must be filed or raised prior to trial, results in a waiver. However, it also provides that the court, for cause shown, may grant relief from the waiver. Subdivision (g) as proposed to be amended requires that a verbatim record be made of the pretrial motion proceedings and that the judge make a record of his findings of fact and conclusions of law. B. Committee Action. The Committee modified subdivision (e) to permit the court to defer its ruling on a pretrial motion until after the trial only for good cause. Moreover, the court cannot defer its ruling if to do so will adversely affect a party's right to appeal. The Committee believes that the rule proposed by the Supreme Court could deprive the government of its appeal rights under statutes like section 3731 of title 18 of the United States Code. Further, the Committee hopes to discourage the tendency to reserve rulings on pretrial motions until after verdict in the hope that the jury's verdict will make a ruling unnecessary. The Committee also modified subdivision (h), which deals with what happens when the court grants a pretrial motion based upon a defect in the institution of the prosecution or in the indictment or information. The Committee's change provides that when such a motion is granted, the court may order that the defendant be continued in custody or that his bail be continued for a specified time. A defendant should not automatically be continued in custody when such a motion is granted. In order to continue the defendant in custody, the court must not only determine that there is probable cause, but it must also determine, in effect, that there is good cause to have the defendant arrested. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (i). As noted in the recent decision of United States v. Raddatz, 447 U.S. 667 (1980), hearings on pretrial suppression motions not infrequently necessitate a determination of the credibility of witnesses. In such a situation, it is particularly important, as also highlighted by Raddatz, that the record include some other evidence which tends to either verify or controvert the assertions of the witness. (This is especially true in light of the Raddatz holding that a district judge, in order to make an independent evaluation of credibility, is not required to rehear testimony on which a magistrate based his findings and recommendations following a suppression hearing before the magistrate.) One kind of evidence which can often fulfill this function is prior statements of the testifying witness, yet courts have consistently held that in light of the Jencks Act, 18 U.S.C. Sec. 3500, such production of statements cannot be compelled at a pretrial suppression hearing. United States v. Spagnuolo, 515 F.2d 818 (9th Cir. 1975); United States v. Sebastian, 497 F.2d 1267 (2nd Cir. 1974); United States v. Montos, 421 F.2d 215 (5th Cir. 1970). This result, which finds no express Congressional approval in the legislative history of the Jencks Act, see United States v. Sebastian, supra; United States v. Covello, 410 F.2d 536 (2d Cir. 1969), would be obviated by new subdivision (i) of rule 12. This change will enhance the accuracy of the factual determinations made in the context of pretrial suppression hearings. As noted in United States v. Sebastian, supra, it can be argued most persuasively that the case for pre-trial disclosure is strongest in the framework of a suppression hearing. Since findings at such a hearing as to admissibility of challenged evidence will often determine the result at trial and, at least in the case of fourth amendment suppression motions, cannot be relitigated later before the trier of fact, pre-trial production of the statements of witnesses would aid defense counsel's impeachment efforts at perhaps the most crucial point in the case. * * * (A) government witness at the suppression hearing may not appear at trial so that defendants could never test his credibility with the benefits of Jencks Act material. The latter statement is certainly correct, for not infrequently a police officer who must testify on a motion to suppress as to the circumstances of an arrest or search will not be called at trial because he has no information necessary to the determination of defendant's guilt. See, e.g., United States v. Spagnuolo, supra (dissent notes that 'under the prosecution's own admission, it did not intend to produce at trial the witnesses called at the pre-trial suppression hearing'). Moreover, even if that person did testify at the trial, if that testimony went to a different subject matter, then under rule 26.2(c) only portions of prior statements covering the same subject matter need be produced, and thus portions which might contradict the suppression hearing testimony would not be revealed. Thus, while it may be true, as declared in United States v. Montos, supra, that 'due process does not require premature production at pre-trial hearings on motions to suppress of statements ultimately subject to discovery under the Jencks Act,' the fact of the matter is that those statements - or, the esential portions thereof - are not necessarily subject to later discovery. Moreover, it is not correct to assume that somehow the problem can be solved by leaving the suppression issue 'open' in some fashion for resolution once the trial is under way, at which time the prior statements will be produced. In United States v. Spagnuolo, supra, the court responded to the defendant's dilemma of inaccessible prior statements by saying that the suppression motion could simply be deferred until trial. But, under the current version of rule 12 this is not possible; subdivision (b) declares that motions to suppress 'must' be made before trial, and subdivision (e) says such motions cannot be deferred for determination at trial 'if a party's right to appeal is adversely affected,' which surely is the case as to suppression motions. As for the possibility of the trial judge reconsidering the motion to suppress on the basis of prior statements produced at trial and casting doubt on the credibility of a suppression hearing witness, it is not a desirable or adequate solution. For one thing, as already noted, there is no assurance that the prior statements will be forthcoming. Even if they are, it is not efficient to delay the continuation of the trial to undertake a reconsideration of matters which could have been resolved in advance of trial had the critical facts then been available. Furthermore, if such reconsideration is regularly to be expected of the trial judge, then this would give rise on appeal to unnecessary issues of the kind which confronted the court in United States v. Montos, supra - whether the trial judge was obligated either to conduct a new hearing or to make a new determination in light of the new evidence. The second sentence of subdivision (i) provides that a law enforcement officer is to be deemed a witness called by the government. This means that when such a federal, state or local officer has testified at a suppression hearing, the defendant will be entitled to any statement of the officer in the possession of the government and relating to the subject matter concerning which the witness has testified, without regard to whether the officer was in fact called by the government or the defendant. There is considerable variation in local practice as to whether the arresting or searching officer is considered the witness of the defendant or of the government, but the need for the prior statement exists in either instance. The second sentence of subdivision (i) also provides that upon a claim of privilege the court is to excise the privileged matter before turning over the statement. The situation most likely to arise is that in which the prior statement of the testifying officer identifies an informant who supplied some or all of the probable cause information to the police. Under McCray v. Illinois, 386 U.S. 300 (1967), it is for the judge who hears the motion to decide whether disclosure of the informant's identity is necessary in the particular case. Of course, the government in any case may prevent disclosure of the informant's identity by terminating reliance upon information from that informant. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENT Pub. L. 94-64 amended subds. (e) and (h) generally. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- CROSS REFERENCES Affidavit to support motion, see rule 47. Application for order by motion, see rule 47. Former pleas, demurrers, and motions to quash used in acts of Congress, see rule 54. Motion for order - Bill of particulars, see rule 7. Dismissal of indictment on objections to array of grand jury, see rule 6. Striking surplusage from indictment or information, see rule 7. Pleas, see rule 11. Reindictment before and after periods of limitations, see sections 3288 and 3289 of this title. Service and filing of motion papers, see rule 49. Time for service of motions and affidavits generally, see rule 45. Withdrawal of plea of guilty, see rule 32. ------DocID 25090 Document 1332 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 12.1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 12.1. Notice of Alibi -STATUTE- (a) Notice by Defendant. Upon written demand of the attorney for the government stating the time, date, and place at which the alleged offense was committed, the defendant shall serve within ten days, or at such different time as the court may direct, upon the attorney for the government a written notice of the defendant's intention to offer a defense of alibi. Such notice by the defendant shall state the specific place or places at which the defendant claims to have been at the time of the alleged offense and the names and addresses of the witnesses upon whom the defendant intends to rely to establish such alibi. (b) Disclosure of Information and Witness. Within ten days thereafter, but in no event less than ten days before trial, unless the court otherwise directs, the attorney for the government shall serve upon the defendant or the defendant's attorney a written notice stating the names and addresses of the witnesses upon whom the government intends to rely to establish the defendant's presence at the scene of the alleged offense and any other witnesses to be relied on to rebut testimony of any of the defendant's alibi witnesses. (c) Continuing Duty To Disclose. If prior to or during trial, a party learns of an additional witness whose identity, if known, should have been included in the information furnished under subdivision (a) or (b), the party shall promptly notify the other party or the other party's attorney of the existence and identity of such additional witness. (d) Failure To Comply. Upon the failure of either party to comply with the requirements of this rule, the court may exclude the testimony of any undisclosed witness offered by such party as to the defendant's absence from or presence at, the scene of the alleged offense. This rule shall not limit the right of the defendant to testify. (e) Exceptions. For good cause shown, the court may grant an exception to any of the requirements of subdivisions (a) through (d) of this rule. (f) Inadmissibility of Withdrawn Alibi. Evidence of an intention to rely upon an alibi defense, later withdrawn, or of statements made in connection with such intention, is not, in any civil or criminal proceeding, admissible against the person who gave notice of the intention. -SOURCE- (Added Apr. 22, 1974, eff. Dec. 1, 1975, and amended July 31, 1975, Pub. L. 94-64, Sec. 3(13), 89 Stat. 372; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Rule 12.1 is new. See rule 87 of the United States District Court Rules for the District of Columbia for a somewhat comparable provision. The Advisory Committee has dealt with the issue of notice of alibi on several occasions over the course of the past three decades. In the Preliminary Draft of the Federal Rules of Criminal Procedure, 1943, and the Second Preliminary Draft, 1944, an alibi-notice rule was proposed. But the Advisory Committee was closely divided upon whether there should be a rule at all and, if there were to be a rule, what the form of the rule should be. Orfield, The Preliminary Draft of the Federal Rules of Criminal Procedure, 22 Texas L.Rev. 37, 57-58 (1943). The principal disagreement was whether the prosecutor or the defendant should initiate the process. The Second Preliminary Draft published in 1944 required the defendant to initiate the process by a motion to require the government to state with greater particularity the time and place it would rely on. Upon receipt of this information, defendant was required to give his notice of alibi. This formulation was 'vehemently objected' to by five members of the committee (out of a total of eighteen) and two alternative rule proposals were submitted to the Supreme Court. Both formulations - one requiring the prosecutor to initiate the process, the other requiring the defendant to initiate the process - were rejected by the Court. See Epstein, Advance Notice of Alibi, 55 J.Crim.L., C. & P.S. 29, 30 (1964), in which the view is expressed that the unresolved split over the rule 'probably caused' the court to reject an alibi-notice rule. Rule 12.1 embodies an intermediate position. The initial burden is upon the defendant to raise the defense of alibi, but he need not specify the details of his alibi defense until the government specifies the time, place, and date of alleged offense. Each party must, at the appropriate time, disclose the names and addresses of witnesses. In 1962 the Advisory Committee drafted an alibi-notice rule and included it in the Preliminary Draft of December 1962, rule 12A at pp. 5-6. This time the Advisory Committee withdrew the rule without submitting it to the Standing Committee on Rules of Practice and Procedure. Wright, Proposed Changes in Federal Civil, Criminal, and Appellate Procedure, 35 F.R.D. 317, 326 (1964). Criticism of the December 1962 alibi-notice rule centered on constitutional questions and questions of general fairness to the defendant. See Everett, Discovery in Criminal Cases - In Search of a Standard, 1964 Duke L.J. 477, 497-499. Doubts about the constitutionality of a notice-of-alibi rule were to some extent resolved by Williams v. Florida, 399 U.S. 78, 90 S.Ct. 1893, 26 L.Ed.2d 446 (1970). In that case the court sustained the constitutionality of the Florida notice-of-alibi statute, but left unresolved two important questions. (1) The court said that it was not holding that a notice-of-alibi requirement was valid under conditions where a defendant does not enjoy 'reciprocal discovery against the State.' 399 U.S. at 82 n. 11, 90 S.Ct. 1893. Under the revision of rule 16, the defendant is entitled to substantially enlarged discovery in federal cases, and it would seem appropriate to conclude that the rules will comply with the 'reciprocal discovery' qualification of the Williams decision. (See, Wardius v. Oregon, 412 U.S. 470, 93 S.Ct. 2208, 37 L.Ed.2d 82 (1973) was decided after the approval of proposed Rule 12.1 by the Judicial Conference of the United States. In that case the Court held the Oregon Notice-of-Alibi statute unconstitutional because of the failure to give the defendant adequate reciprocal discovery rights.) (2) The court said that it did not consider the question of the 'validity of the threatened sanction, had petitioner chosen not to comply with the notice-of-alibi rule.' 399 U.S. at 83 n. 14, 90 S.Ct. 1893. This issue remains unresolved. (See Wardius v. Oregon, 412 U.S. at 472, Note 4, 93 S.Ct. 2208.) Rule 12.1(e) provides that the court may exclude the testimony of any witness whose name has not been disclosed pursuant to the requirements of the rule. The defendant may, however, testify himself. Prohibiting from testifying a witness whose name was not disclosed is a common provision in state statutes. See Epstein, supra, at 35. It is generally assumed that the sanction is essential if the notice-of-alibi rule is to have practical significance. See Epstein, supra, at 36. The use of the term 'may' is intended to make clear that the judge may allow the alibi witness to testify if, under the particular circumstances, there is cause shown for the failure to conform to the requirements of the rules. This is further emphasized by subdivision (f) which provides for exceptions whenever 'good cause' is shown for the exception. The Supreme Court of Illinois recently upheld an Illinois statute which requires a defendant to give notice of his alibi witnesses although the prosecution is not required to disclose its alibi rebuttal witnesses. People v. Holiday, 47 Ill.2d 300, 265 N.E.2d 634 (1970). Because the defense complied with the requirement, the court did not have to consider the propriety of penalizing noncompliance. The requirement of notice of alibi seems to be an increasingly common requirement of state criminal procedure. State statutes and court rules are cited in 399 U.S. at 82 n. 11, 90 S.Ct. 1893. See also Epstein, supra. Rule 12.1 will serve a useful purpose even though rule 16 now requires disclosure of the names and addresses of government and defense witnesses. There are cases in which the identity of defense witnesses may be known, but it may come as a surprise to the government that they intend to testify as to an alibi and there may be no advance notice of the details of the claimed alibi. The result often is an unnecessary interruption and delay in the trial to enable the government to conduct an appropriate investigation. The objective of rule 12.1 is to prevent this by providing a mechanism which will enable the parties to have specific information in advance of trial to prepare to meet the issue of alibi during the trial. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 12.1 is a new rule that deals with the defense of alibi. It provides that a defendant must notify the government of his intention to rely upon the defense of alibi. Upon receipt of such notice, the government must advise the defendant of the specific time, date, and place at which the offense is alleged to have been committed. The defendant must then inform the government of the specific place at which he claims to have been when the offense is alleged to have been committed, and of the names and addresses of the witnesses on whom he intends to rely to establish his alibi. The government must then inform the defendant of the names and addresses of the witnesses on whom it will rely to establish the defendant's presence at the scene of the crime. If either party fails to comply with the provisions of the rule, the court may exclude the testimony of any witness whose identity is not disclosed. The rule does not attempt to limit the right of the defendant to testify in his own behalf. B. Committee Action. The Committee disagrees with the defendant-triggered procedures of the rule proposed by the Supreme Court. The major purpose of a notice-of-alibi rule is to prevent unfair surprise to the prosecution. The Committee, therefore, believes that it should be up to the prosecution to trigger the alibi defense discovery procedures. If the prosecution is worried about being surprised by an alibi defense, it can trigger the alibi defense discovery procedures. If the government fails to trigger the procedures and if the defendant raises an alibi defense at trial, then the government cannot claim surprise and get a continuance of the trial. The Committee has adopted a notice-of-alibi rule similar to the one now used in the District of Columbia. (See Rule 2-5(b) of the Rules of the United States District Court for the District of Columbia. See also Rule 16-1 of the Rules of Criminal Procedure for the Superior Court of the District of Columbia.) The rule is prosecution-triggered. If the prosecutor notifies the defendant of the time, place, and date of the alleged offense, then the defendant has 10 days in which to notify the prosecutor of his intention to rely upon an alibi defense, specify where he claims to have been at the time of the alleged offense, and provide a list of his alibi witnesses. The prosecutor, within 10 days but no later than 10 days before trial, must then provide the defendant with a list of witnesses who will place the defendant at the scene of the alleged crime and those witnesses who will be used to rebut the defendant's alibi witnesses. The Committee's rule does not operate only to the benefit of the prosecution. In fact, its rule will provide the defendant with more information than the rule proposed by the Supreme Court. The rule proposed by the Supreme Court permits the defendant to obtain a list of only those witnesses who will place him at the scene of the crime. The defendant, however, would get the names of these witnesses anyway as part of his discovery under Rule 16(a)(1)(E). The Committee rule not only requires the prosecution to provide the names of witnesses who place the defendant at the scene of the crime, but it also requires the prosecution to turn over the names of those witnesses who will be called in rebuttal to the defendant's alibi witnesses. This is information that the defendant is not otherwise entitled to discover. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT Note to Subdivision (f). This clarifying amendment is intended to serve the same purpose as a comparable change made in 1979 to similar language in Rule 11(e)(6). The change makes it clear that evidence of a withdrawn intent or of statements made in connection therewith is thereafter inadmissible against the person who gave the notice in any civil or criminal proceeding, without regard to whether the proceeding is against that person. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENT Pub. L. 94-64 amended Rule 12.1 generally. EFFECTIVE DATE OF RULE; EFFECTIVE DATE OF 1975 AMENDMENTS This rule, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. ------DocID 25091 Document 1333 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 12.2 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 12.2. Notice of Insanity Defense or Expert Testimony of Defendant's Mental Condition -STATUTE- (a) Defense of Insanity. If a defendant intends to rely upon the defense of insanity at the time of the alleged offense, the defendant shall, within the time provided for the filing of pretrial motions or at such later time as the court may direct, notify the attorney for the government in writing of such intention and file a copy of such notice with the clerk. If there is a failure to comply with the requirements of this subdivision, insanity may not be raised as a defense. The court may for cause shown allow late filing of the notice or grant additional time to the parties to prepare for trial or make such other order as may be appropriate. (b) Expert Testimony of Defendant's Mental Condition. If a defendant intends to introduce expert testimony relating to a mental disease or defect or any other mental condition of the defendant bearing upon the issue of guilt, the defendant shall, within the time provided for the filing of pretrial motions or at such later time as the court may direct, notify the attorney for the government in writing of such intention and file a copy of such notice with the clerk. The court may for cause shown allow late filing of the notice or grant additional time to the parties to prepare for trial or make such other order as may be appropriate. (c) Mental Examination of Defendant. In an appropriate case the court may, upon motion of the attorney for the government, order the defendant to submit to an examination pursuant to 18 U.S.C. 4241 or 4242. No statement made by the defendant in the course of any examination provided for by this rule, whether the examination be with or without the consent of the defendant, no testimony by the expert based upon such statement, and no other fruits of the statement shall be admitted in evidence against the defendant in any criminal proceeding except on an issue respecting mental condition on which the defendant has introduced testimony. (d) Failure To Comply. If there is a failure to give notice when required by subdivision (b) of this rule or to submit to an examination when ordered under subdivision (c) of this rule, the court may exclude the testimony of any expert witness offered by the defendant on the issue of the defendant's guilt. (e) Inadmissibility of Withdrawn Intention. Evidence of an intention as to which notice was given under subdivision (a) or (b), later withdrawn, is not, in any civil or criminal proceeding, admissible against the person who gave notice of the intention. -SOURCE- (Added Apr. 22, 1974, eff. Dec. 1, 1975, and amended July 31, 1975, Pub. L. 94-64, Sec. 3(14), 89 Stat. 373; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 404, 98 Stat. 2067; Oct. 30, 1984, Pub. L. 98-596, Sec. 11(a), (b), 98 Stat. 3138; Apr. 29, 1985, eff. Aug. 1, 1985; Nov. 10, 1986, Pub. L. 99-646, Sec. 24, 100 Stat. 3597; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Rule 12.2 is designed to require a defendant to give notice prior to trial of his intention (1) to rely upon the defense of insanity or (2) to introduce expert testimony of mental disease or defect on the theory that such mental condition is inconsistent with the mental state required for the offense charged. This rule does not deal with the issue of mental competency to stand trial. The objective is to give the government time to prepare to meet the issue, which will usually require reliance upon expert testimony. Failure to give advance notice commonly results in the necessity for a continuance in the middle of a trial, thus unnecessarily delaying the administration of justice. A requirement that the defendant give notice of his intention to rely upon the defense of insanity was proposed by the Advisory Committee in the Second Preliminary Draft of Proposed Amendments (March 1964), rule 12.1, p. 7. The objective of the 1964 proposal was explained in a brief Advisory Committee Note: Under existing procedure although insanity is a defense, once it is raised the burden to prove sanity beyond a reasonable doubt rests with the government. Davis v. United States, 160 U.S. 469, 16 S.Ct. 353, 40 L.Ed. 499 (1895). This rule requires pretrial notice to the government of an insanity defense, thus permitting it to prepare to meet the issue. Furthermore, in Lynch v. Overholser, 369 U.S. 705, 82 S.Ct. 1063, 8 L.Ed.2d 211 (1962), the Supreme Court held that, at least in the face of a mandatory commitment statute, the defendant had a right to determine whether or not to raise the issue of insanity. The rule gives the defendant a method of raising the issue and precludes any problem of deciding whether or not the defendant relied on insanity. The Standing Committee on Rules of Practice and Procedure decided not to recommend the proposed Notice of Insanity rule to the Supreme Court. Reasons were not given. Requiring advance notice of the defense of insanity is commonly recommended as a desirable procedure. The Working Papers of the National Commission on Reform of Federal Criminal Laws, Vol. 1, p. 254 (1970), state in part: It is recommended that procedural reform provide for advance notice that evidence of mental disease or defect will be relied upon in defense. . . . Requiring advance notice is proposed also by the American Law Institute's Model Penal Code, Sec. 4.03 (P.O.D. 1962). The commentary in Tentative Draft No. 4 at 193-194 (1955) indicates that, as of that time, six states required pretrial notice and an additional eight states required that the defense of insanity be specially pleaded. For recent state statutes see N.Y. CPL Sec. 250.10 (McKinney's Consol. Laws, c. 11-A, 1971) enacted in 1970 which provides that no evidence by a defendant of a mental disease negativing criminal responsibility shall be allowed unless defendant has served notice on the prosecutor of his intention to rely upon such defense. See also New Jersey Penal Code (Final Report of the New Jersey Criminal Law Revision Commission, Oct. 1971) Sec. 2c: 4-3; New Jersey Court Rule 3:12; State v. Whitlow, 45 N.J. 3, 22 n. 3, 210 T.2d 763 (1965), holding the requirement of notice to be both appropriate and not in violation of the privilege against self-incrimination. Subdivision (a) deals with notice of the 'defense of insanity.' In this context the term insanity has a well-understood meaning. See, e.g., Tydings, A Federal Verdict of Not Guilty by Reason of Insanity and a Subsequent Commitment Procedure, 27 Md.L.Rev. 131 (1967). Precisely how the defense of insanity is phrased does, however, differ somewhat from circuit to circuit. See Study Draft of a New Federal Criminal Code, Sec. 503 Comment at 37 (USGPO 1970). For a more extensive discussion of present law, see Working Papers of the National Commission on Reform of Federal Criminal Laws, Vol. 1, pp. 229-247 (USGPO 1970). The National Commission recommends the adoption of a single test patterned after the proposal of the American Law Institute's Model Penal Code. The proposed definition provides in part: In any prosecution for an offense lack of criminal responsibility by reason of mental disease or defect is a defense. (Study Draft of a New Federal Criminal Code Sec. 503 at 36-37.) Should the proposal of the National Commission be adopted by the Congress, the language of subdivision (a) probably ought to be changed to read 'defense of lack of criminal responsibility by reason of mental disease or defect' rather than 'defense of insanity.' Subdivision (b) is intended to deal with the issue of expert testimony bearing upon the issue of whether the defendant had the 'mental state required for the offense charged.' There is some disagreement as to whether it is proper to introduce evidence of mental disease or defect bearing not upon the defense of insanity, but rather upon the existence of the mental state required by the offense charged. The American Law Institute's Model Penal Code takes the position that such evidence is admissible (Sec. 4.02(1) (P.O.D. 1962)). See also People v. Gorshen, 51 Cal.2d 716, 336 P.2d 492 (1959). The federal cases reach conflicting conclusions. See Rhodes v. United States, 282 F.2d 59, 62 (4th Cir. 1960): The proper way would have been to ask the witness to describe the defendant's mental condition and symptoms, his pathological beliefs and motivations, if he was thus afflicted, and to explain how these influenced or could have influenced his behavior, particularly his mental capacity knowingly to make the false statement charged, or knowingly to forge the signatures * * *. Compare Fisher v. United States, 328 U.S. 463, 66 S.Ct. 1318, 90 L.Ed. 1382 (1946). Subdivision (b) does not attempt to decide when expert testimony is admissible on the issue of the requisite mental state. It provides only that the defendant must give pretrial notice when he intends to introduce such evidence. The purpose is to prevent the need for a continuance when such evidence is offered without prior notice. The problem of unnecessary delay has arisen in jurisdictions which do not require prior notice of an intention to use expert testimony on the issue of mental state. Referring to this, the California Special Commission on Insanity and Criminal Offenders, First Report 30 (1962) said: The abuses of the present system are great. Under a plea of 'not guilty' without any notice to the people that the defense of insanity will be relied upon, defendant has been able to raise the defense upon the trial of the issue as to whether he committed the offense charged. As an example of the delay occasioned by the failure to heretofore require a pretrial notice by the defendant, see United States v. Albright, 388 F.2d 719 (4th Cir. 1968), where a jury trial was recessed for 23 days to permit a psychiatric examination by the prosecution when the defendant injected a surprise defense of lack of mental competency. Subdivision (c) gives the court the authority to order the defendant to submit to a psychiatric examination by a psychiatrist designated by the court. A similar provision is found in ALI, Model Penal Code Sec. 4.05(1) (P.O.D. 1962). This is a common provision of state law, the constitutionality of which has been sustained. Authorities are collected in ALI, Model Penal Code, pp. 195-196 Tent. Draft No. 4, (1955). For a recent proposal, see the New Jersey Penal Code Sec. 2c: 4-5 (Final Report of the New Jersey Criminal Law Revision Commission, Oct. 1971) authorizing appointment of 'at least one qualified psychiatrist to examine and report upon the mental condition of the defendant.' Any issue of self-incrimination which might arise can be dealt with by the court as, for example, by a bifurcated trial which deals separately with the issues of guilt and of mental responsibility. For statutory authority to appoint a psychiatrist with respect to competency to stand trial, see 18 U.S.C. Sec. 4244. Subdivision (d) confers authority on the court to exclude expert testimony in behalf of a defendant who has failed to give notice under subdivision (b) or who refuses to be examined by a court-appointed psychiatrist under subdivision (c). See State v. Whitlow, 45 N.J. 3, 23, 210 A.2d 763 (1965), which indicates that it is proper to limit or exclude testimony by a defense psychiatrist whenever defendant refuses to be examined. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 12.2 is a new rule that deals with defense based upon mental condition. It provides that: (1) The defendant must notify the prosecution in writing of his intention to rely upon the defense of insanity. If the defendant fails to comply, 'insanity may not be raised as a defense.' (2) If the defendant intends to introduce expert testimony relating to mental disease or defect on the issue whether he had the requisite mental state, he must notify the prosecution in writing. (3) The court, on motion of the prosecution, may order the defendant to submit to a psychiatric examination by a court-appointed psychiatrist. (4) If the defendant fails to undergo the court-ordered psychiatric examination, the court may exclude any expert witness the defendant offers on the issue of his mental state. B. Committee Action. The Committee agrees with the proposed rule but has added language concerning the use of statements made to a psychiatrist during the course of a psychiatric examination provided for by Rule 12.2. The language provides: No statement made by the accused in the course of any examination provided for by this rule, whether the examination shall be with or without the consent of the accused, shall be admitted in evidence against the accused before the judge who or jury which determines the guilt of the accused, prior to the determination of guilt. The purpose of this rule is to secure the defendant's fifth amendment right against self-incrimination. See State v. Raskin, 34 Wis.2d 607, 150 N.W.2d 318 (1967). The provision is flexible and does not totally preclude the use of such statements. For example, the defendant's statement can be used at a separate determination of the issue of sanity or for sentencing purposes once guilt has been determined. A limiting instruction to the jury in a single trial to consider statements made to the psychiatrist only on the issue of sanity would not satisfy the requirements of the rule as amended. The prejudicial effect on the determination of guilt would be inescapable. The Committee notes that the rule does not attempt to resolve the issue whether the court can constitutionally compel a defendant to undergo a psychiatric examination when the defendant is unwilling to undergo one. The provisions of subdivision (c) are qualified by the phrase, 'In an appropriate case.' If the court cannot constitutionally compel an unwilling defendant to undergo a psychiatric examination, then the provisions of subdivision (c) are inapplicable in every instance where the defendant is unwilling to undergo a court-ordered psychiatric examination. The Committee, by its approval of subdivision (c), intends to take no stand whatever on the constitutional question. CONFERENCE COMMITTEE NOTES, HOUSE REPORT NO. 94-414; 1975 AMENDMENT Rule 12.2(c) deals with court-ordered psychiatric examinations. The House version provides that no statement made by a defendant during a court-ordered psychiatric examination could be admitted in evidence against the defendant before the trier of fact that determines the issue of guilt prior to the determination of guilt. The Senate version deletes this provision. The Conference adopts a modified House provision and restores to the bill the language of H.R. 6799 as it was originally introduced. The Conference adopted language provides that no statement made by the defendant during a psychiatric examination provided for by the rule shall be admitted against him on the issue of guilt in any criminal proceeding. The Conference believes that the provision in H.R. 6799 as originally introduced in the House adequately protects the defendant's fifth amendment right against self-incrimination. The rule does not preclude use of statements made by a defendant during a court-ordered psychiatric examination. The statements may be relevant to the issue of defendant's sanity and admissible on that issue. However, a limiting instruction would not satisfy the rule if a statement is so prejudicial that a limiting instruction would be ineffective. Cf. practice under 18 U.S.C. 4244. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (b). Courts have recently experienced difficulty with the question of what kind of expert testimony offered for what purpose falls within the notice requirement of rule 12.2(b). See, e.g., United States v. Hill, 655 F.2d 512 (3d Cir. 1980) (rule not applicable to tendered testimony of psychologist concerning defendant's susceptibility of inducement, offered to reinforce defendant's entrapment defense); United States v. Webb, 625 F.2d 709 (5th Cir. 1980) (rule not applicable to expert testimony tendered to show that defendant lacked the 'propensity to commit a violent act,' as this testimony was offered 'to prove that Webb did not commit the offense charged,' shooting at a helicopter, 'not that certain conduct was unaccompanied by criminal intent'); United States v. Perl, 584 F.2d 1316 (4th Cir. 1978) (because entrapment defense properly withheld from jury, it was unnecessary to decide if the district court erred in holding rule applicable to tendered testimony of the doctor that defendant had increased susceptibility to suggestion as a result of medication he was taking); United States v. Olson, 576 F.2d 1267 (8th Cir. 1978) (rule applicable to tendered testimony of an alcoholism and drug therapist that defendant was not responsible for his actions because of a problem with alcohol); United States v. Staggs, 553 F.2d 1073 (7th Cir. 1977) (rule applicable to tendered testimony of psychologist that defendant, charged with assaulting federal officer, was more likely to hurt himself than to direct his aggressions toward others, as this testimony bears upon whether defendant intended to put victim in apprehension when he picked up the gun). What these cases illustate is that expert testimony about defendant's mental condition may be tendered in a wide variety of circumstances well beyond the situation clearly within rule 12.2(b), i.e., where a psychiartist testifies for the defendant regarding his diminished capacity. In all of these situations and others like them, there is good reason to make applicable the notice provisions of rule 12.2(b). This is because in all circumstances in which the defendant plans to offer expert testimony concerning his mental condition at the time of the crime charged, advance disclosure to the government will serve 'to permit adequate pretrial preparation, to prevent surprise at trial, and to avoid the necessity of delays during trial.' 2 A.B.A. Standards for Criminal Justice 11-55 (2d 1980). Thus, while the district court in United States v. Hill, 481 F.Supp. 558 (E.D.Pa. 1979), incorrectly concluded that present rule 12.2(b) covers testimony by a psychologist bearing on the defense of entrapment, the court quite properly concluded that the government would be seriously disadvantaged by lack of notice. This would have meant that the government would not have been equipped to cross-examine the expert, that any expert called by the government would not have had an opportunity to hear the defense expert testify, and that the government would not have had an opportunity to conduct the kind of investigation needed to acquire rebuttal testimony on defendant's claim that he was especially susceptible to inducement. Consequently, rule 12.2(b) has been expanded to cover all of the aforementioned situations. Note to Subdivision (c). The amendment of the first sentence of subdivision (c), recognizing that the government may seek to have defendant subjected to a mental examination by an expert other than a psychiatrist, is prompted by the same considerations discussed above. Because it is possible that the defendant will submit to examination by an expert of his own other than a psychiatrist, it is necessary to recognize that it will sometimes be appropriate for defendant to be examined by a government expert other than a psychiatrist. The last sentence of subdivision (c) has been amended to more accurately reflect the Fifth Amendment considerations at play in this context. See Estelle v. Smith, 451 U.S. 454 (1981), holding that self-incrimination protections are not inevitably limited to the guilt phase of a trial and that the privilege, when applicable, protects against use of defendant's statement and also the fruits thereof, including expert testimony based upon defendant's statements to the expert. Estelle also intimates that 'a defendant can be required to submit to a sanity examination,' and presumably some other form of mental examination, when 'his silence may deprive the State of the only effective means it has of controverting his proof on an issue that he interjected into the case.' Note to Subdivision (d). The broader term 'mental condition' is appropriate here in light of the above changes to subdivisions (b) and (c). Note to Subdivision (e). New subdivision (e), generally consistent with the protection afforded in rule 12.1(f) with respect to notice of alibi, ensures that the notice required under subdivision (b) will not deprive the defendant of an opportunity later to elect not to utilize any expert testimony. This provision is consistent with Williams v. Florida, 399 U.S. 78 (1970), holding the privilege against self-incrimination is not violated by requiring the defendant to give notice of a defense where the defendant retains the 'unfettered choice' of abandoning the defense. DISSENTING STATEMENT OF JUSTICE O'CONNOR TO 1983 AMENDMENT With one minor reservation, I join the Court in its adoption of the proposed amendments. They represent the product of considerable effort by the Advisory Committee, and they will institute desirable reforms. My sole disagreement with the Court's action today lies in its failure to recommend correction of an apparent error in the drafting of Proposed Rule 12.2(e). As proposed, Rule 12.2(e) reads: 'Evidence of an intention as to which notice was given under subdivision (a) or (b), later withdrawn, is not admissible in any civil or criminal proceeding against the person who gave notice of the intention.' Identical language formerly appeared in Fed. Rules Crim. Proc. 11(e)(6) and Fed. Rules Evid. 410, each of which stated that '(Certain material) is not admissible in any civil or criminal proceeding against the defendant.' Those rules were amended, Supreme Court Order April 30, 1979, 441 U.S. 970, 987, 1007, Pub. Law 96-42, approved July 31, 1979, 93 Stat. 326. After the amendments, the relevant language read, '(Certain material) is not, in any civil or criminal proceeding, admissible against the defendant.' As the Advisory Committee explained, this minor change was necessary to eliminate an ambiguity. Before the amendment, the word 'against' could be read as referring either to the kind of proceeding in which the evidence was offered or to the purpose for which it was offered. Thus, for instance, if a person was a witness in a suit but not a party, it was unclear whether the evidence could be used to impeach him. In such a case, the use would be against the person, but the proceeding would not be against him. Similarly, if the person wished to introduce the evidence in a proceeding in which he was the defendant, the use, but not the proceeding, would be against him. To eliminate the ambiguity, the Advisory Committee proposed the amendment clarifying that the evidence was inadmissible against the person, regardless of whether the particular proceeding was against the person. See Adv. Comm. Note to Fed. Rules Crim. Proc. 11(e)(6); Adv. Comm. Note to Fed. Rules Evid. 410. The same ambiguity inheres in the proposed version of Rule 12.2(e). We should recommend that it be eliminated now. To that extent, I respectfully dissent. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT Note to Subdivision (e). This clarifying amendment is intended to serve the same purpose as a comparable change made in 1979 to similar language in Rule 11(e)(6). The change makes it clear that evidence of a withdrawn intent is thereafter inadmissible against the person who gave the notice in any civil or criminal proceeding, without regard to whether the proceeding is against that person. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1986 AMENDMENT Subd. (c). Pub. L. 99-646 inserted '4241 or' before '4242'. 1984 AMENDMENT Subd. (a). Pub. L. 98-473, Sec. 404(a), substituted 'offense' for 'crime'. Subd. (b). Pub. L. 98-473, Sec. 404(b), which directed the amendment of subd. (b) by deleting 'other condition bearing upon the issue of whether he had the mental state required for the offense charged' and inserting in lieu thereof 'any other mental condition bearing upon the issue of guilt', was repealed by section 11(b) of Pub. L. 98-596. Subd. (c). Pub. L. 98-596, Sec. 11(a)(1), substituted 'to an examination pursuant to 18 U.S.C. 4242' for 'to a mental examination by a psychiatrist or other expert designated for this purpose in the order of the court'. Pub. L. 98-473, Sec. 404(c), which directed the amendment of subd. (c) by deleting 'to a psychiatric examination by a psychiatrist designated for this purpose in the order of the court' and inserting in lieu thereof 'to an examination pursuant to 18 U.S.C. 4242' could not be executed because the phrase to be deleted did not appear. See amendment note for section 11(a)(1) of Pub. L. 98-596 above. Subd. (d). Pub. L. 98-596, Sec. 11(a)(2), substituted 'guilt' for 'mental condition'. Pub. L. 98-473, Sec. 404(d), which directed the amendment of subd. (d) by deleting 'mental state' and inserting in lieu thereof 'guilt', was repealed by section 11(b) of Pub. L. 98-596. 1975 AMENDMENT Pub. L. 94-64 amended subd. (c) generally. EFFECTIVE DATE OF 1984 AMENDMENT Section 11(c) of Pub. L. 98-596 provided that: 'The amendments and repeals made by subsections (a) and (b) of this section (amending this rule) shall apply on and after the enactment of the joint resolution entitled 'Joint resoluton making continuing appropriations for the fiscal year 1985, and for other purposes', H.J. Res. 648, Ninety-eighth Congress (Pub. L. 98-473, Oct. 12, 1984).' EFFECTIVE DATE OF RULE; EFFECTIVE DATE OF 1975 AMENDMENTS This rule, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. ------DocID 25092 Document 1334 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 12.3 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 12.3. Notice of Defense Based Upon Public Authority -STATUTE- (a) Notice by Defendant; Government Response; Disclosure of Witnesses. (1) Defendant's Notice and Government's Response. A defendant intending to claim a defense of actual or believed exercise of public authority on behalf of a law enforcement or Federal intelligence agency at the time of the alleged offense shall, within the time provided for the filing of pretrial motions or at such later time as the court may direct, serve upon the attorney for the Government a written notice of such intention and file a copy of such notice with the clerk. Such notice shall identify the law enforcement or Federal intelligence agency and any member of such agency on behalf of which and the period of time in which the defendant claims the actual or believed exercise of public authority occurred. If the notice identifies a Federal intelligence agency, the copy filed with the clerk shall be under seal. Within ten days after receiving the defendant's notice, but in no event less than twenty days before the trial, the attorney for the Government shall serve upon the defendant or the defendant's attorney a written response which shall admit or deny that the defendant exercised the public authority identified in the defendant's notice. (2) Disclosure of Witnesses. At the time that the Government serves its response to the notice or thereafter, but in no event less than twenty days before the trial, the attorney for the Government may serve upon the defendant or the defendant's attorney a written demand for the names and addresses of the witnesses, if any, upon whom the defendant intends to rely in establishing the defense identified in the notice. Within seven days after receiving the Government's demand, the defendant shall serve upon the attorney for the Government a written statement of the names and addresses of any such witnesses. Within seven days after receiving the defendant's written statement, the attorney for the Government shall serve upon the defendant or the defendant's attorney a written statement of the names and addresses of the witnesses, if any, upon whom the Government intends to rely in opposing the defense identified in the notice. (3) Additional Time. If good cause is shown, the court may allow a party additional time to comply with any obligation imposed by this rule. (b) Continuing Duty to Disclose. If, prior to or during trial, a party learns of any additional witness whose identity, if known, should have been included in the written statement furnished under subdivision (a)(2) of this rule, that party shall promptly notify in writing the other party or the other party's attorney of the name and address of any such witness. (c) Failure to Comply. If a party fails to comply with the requirements of this rule, the court may exclude the testimony of any undisclosed witness offered in support of or in opposition to the defense, or enter such other order as it deems just under the circumstances. This rule shall not limit the right of the defendant to testify. (d) Protective Procedures Unaffected. This rule shall be in addition to and shall not supersede the authority of the court to issue appropriate protective orders, or the authority of the court to order that any pleading be filed under seal. (e) Inadmissibility of Withdrawn Defense Based Upon Public Authority. Evidence of an intention as to which notice was given under subdivision (a), later withdrawn, is not, in any civil or criminal proceeding, admissible against the person who gave notice of the intention. -SOURCE- (Added Nov. 18, 1988, Pub. L. 100-690, title VI, Sec. 6483, 102 Stat. 4382.) ------DocID 25093 Document 1335 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 13 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 13. Trial Together of Indictments or Informations -STATUTE- The court may order two or more indictments or informations or both to be tried together if the offenses, and the defendants if there is more than one, could have been joined in a single indictment or information. The procedure shall be the same as if the prosecution were under such single indictment or information. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is substantially a restatement of existing law, 18 U.S.C. (former) 557 (Indictments and presentments; joinder of charges); Logan v. United States, 144 U.S. 263, 296; Showalter v. United States, 260 F. 719 (C.C.A. 4th) - cert. den., 250 U.S. 672; Hostetter v. United States, 16 F.2d 921 (C.C.A. 8th); Capone v. United States, 51 F.2d 609, 619-620 (C.C.A. 7th). ------DocID 25094 Document 1336 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 14 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 14. Relief From Prejudicial Joinder -STATUTE- If it appears that a defendant or the government is prejudiced by a joinder of offenses or of defendants in an indictment or information or by such joinder for trial together, the court may order an election or separate trials of counts, grant a severance of defendants or provide whatever other relief justice requires. In ruling on a motion by a defendant for severance the court may order the attorney for the government to deliver to the court for inspection in camera any statements or confessions made by the defendants which the government intends to introduce in evidence at the trial. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is a restatement of existing law under which severance and other similar relief is entirely in the discretion of the court, 18 U.S.C. (former) 557 (Indictments and presentments; joinder of charges); Pointer v. United States, 151 U.S. 396; Pierce v. United States, 160 U.S. 355; United States v. Ball, 163 U.S. 662, 673; Stilson v. United States, 250 U.S. 583. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT A defendant may be prejudiced by the admission in evidence against a co-defendant of a statement or confession made by that co-defendant. This prejudice cannot be dispelled by cross-examination if the co-defendant does not take the stand. Limiting instructions to the jury may not in fact erase the prejudice. While the question whether to grant a severance is generally left within the discretion of the trial court, recent Fifth Circuit cases have found sufficient prejudice involved to make denial of a motion for severance reversible error. See Schaffer v. United States, 221 F.2d 17 (5th Cir. 1955); Barton v. United States, 263 F.2d 894 (5th Cir. 1959). It has even been suggested that when the confession of the co-defendant comes as a surprise at the trial, it may be error to deny a motion or a mistrial. See Belvin v. United States, 273 F.2d 583 (5th Cir. 1960). The purpose of the amendment is to provide a procedure whereby the issue of possible prejudice can be resolved on the motion for severance. The judge may direct the disclosure of the confessions or statements of the defendants to him for in camera inspection as an aid to determining whether the possible prejudice justifies ordering separate trials. Cf. note, Joint and Single Trials Under Rules 8 and 14 of the Federal Rules of Criminal Procedure, 74 Yale L.J. 551, 565 (1965). ------DocID 25095 Document 1337 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 15 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 15. Depositions -STATUTE- (a) When Taken. Whenever due to exceptional circumstances of the case it is in the interest of justice that the testimony of a prospective witness of a party be taken and preserved for use at trial, the court may upon motion of such party and notice to the parties order that testimony of such witness be taken by deposition and that any designated book, paper, document, record, recording, or other material not privileged, be produced at the same time and place. If a witness is detained pursuant to section 3144 of title 18, United States Code, the court on written motion of the witness and upon notice to the parties may direct that the witness' deposition be taken. After the deposition has been subscribed the court may discharge the witness. (b) Notice of Taking. The party at whose instance a deposition is to be taken shall give to every party reasonable written notice of the time and place for taking the deposition. The notice shall state the name and address of each person to be examined. On motion of a party upon whom the notice is served, the court for cause shown may extend or shorten the time or change the place for taking the deposition. The officer having custody of a defendant shall be notified of the time and place set for the examination and shall, unless the defendant waives in writing the right to be present, produce the defendant at the examination and keep the defendant in the presence of the witness during the examination, unless, after being warned by the court that disruptive conduct will cause the defendant's removal from the place of the taking of the deposition, the defendant persists in conduct which is such as to justify exclusion from that place. A defendant not in custody shall have the right to be present at the examination upon request subject to such terms as may be fixed by the court, but a failure, absent good cause shown, to appear after notice and tender of expenses in accordance with subdivision (c) of this rule shall constitute a waiver of that right and of any objection to the taking and use of the deposition based upon that right. (c) Payment of Expenses. Whenever a deposition is taken at the instance of the government, or whenever a deposition is taken at the instance of a defendant who is unable to bear the expenses of the taking of the deposition, the court may direct that the expense of travel and subsistence of the defendant and the defendant's attorney for attendance at the examination and the cost of the transcript of the deposition shall be paid by the government. (d) How Taken. Subject to such additional conditions as the court shall provide, a deposition shall be taken and filed in the manner provided in civil actions except as otherwise provided in these rules, provided that (1) in no event shall a deposition be taken of a party defendant without that defendant's consent, and (2) the scope and manner of examination and cross-examination shall be such as would be allowed in the trial itself. The government shall make available to the defendant or the defendant's counsel for examination and use at the taking of the deposition any statement of the witness being deposed which is in the possession of the government and to which the defendant would be entitled at the trial. (e) Use. At the trial or upon any hearing, a part or all of a deposition, so far as otherwise admissible under the rules of evidence, may be used as substantive evidence if the witness is unavailable, as unavailability is defined in Rule 804(a) of the Federal Rules of Evidence, or the witness gives testimony at the trial or hearing inconsistent with that witness' deposition. Any deposition may also be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness. If only a part of a deposition is offered in evidence by a party, an adverse party may require the offering of all of it which is relevant to the part offered and any party may offer other parts. (f) Objections to Deposition Testimony. Objections to deposition testimony or evidence or parts thereof and the grounds for the objection shall be stated at the time of the taking of the deposition. (g) Deposition by Agreement Not Precluded. Nothing in this rule shall preclude the taking of a deposition, orally or upon written questions, or the use of a deposition, by agreement of the parties with the consent of the court. -SOURCE- (As amended Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(15)-(19), 89 Stat. 373, 374; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 209(b), 98 Stat. 1986; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. This rule continues the existing law permitting defendants to take depositions in certain limited classes of cases under dedimus potestatem and in perpetuam rei memoriam, 28 U.S.C. (former) 644. This statute has been generally held applicable to criminal cases, Clymer v. United States, 38 F.2d 581 (C.C.A. 10th); Wong Yim v. United States, 118 F.2d 667 (C.C.A. 9th) - cert. den., 313 U.S. 589; United States v. Cameron, 15 F. 794 (C.C.E.D.Mo.); United States v. Hofmann, 24 F.Supp. 847 (S.D.N.Y.). Contra, Luxemberg v. United States, 45 F.2d 497 (C.C.A. 4th) - cert. den., 283 U.S. 820. The rule continues the limitation of the statute that the taking of depositions is to be restricted to cases in which they are necessary 'in order to prevent a failure of justice.' 2. Unlike the practice in civil cases in which depositions may be taken as a matter of right by notice without permission of the court (Rules 26(a) and 30, Federal Rules of Civil Procedure (28 U.S.C., Appendix)), this rule permits depositions to be taken only by order of the court, made in the exercise of discretion and on notice to all parties. It was contemplated that in criminal cases depositions would be used only in exceptional situations, as has been the practice heretofore. 3. This rule introduces a new feature in authorizing the taking of the deposition of a witness committed for failure to give bail (see Rule 46(b)). This matter is, however, left to the discretion of the court. The purpose of the rule is to afford a method of relief for such a witness, if the court finds it proper to extend it. Note to Subdivision (b). This subdivision, as well as subdivisions (d) and (f), sets forth the procedure to be followed in the event that the court grants an order for the taking of a deposition. The procedure prescribed is similar to that in civil cases, Rules 28-31, Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (c). This rule introduces a new feature for the purpose of protecting the rights of an indigent defendant. Note to Subdivision (d). See Note to Subdivision (b), supra. Note to Subdivision (e). In providing when and for what purpose a deposition may be used at the trial, this rule generally follows the corresponding provisions of the Federal Rules of Civil Procedure, Rule 26(d)(3) (28 U.S.C., Appendix). The only difference is that in civil cases a deposition may be introduced at the trial if the witness is at a greater distance than 100 miles from the place of trial, while this rule requires that the witness be out of the United States. The distinction results from the fact that a subpoena in a civil case runs only within the district where issued or 100 miles from the place of trial (Rule 45(e)(1), Federal Rules of Civil Procedure), while a subpoena in a criminal case runs throughout the United States (see Rule 17(e)(1), infra). Note to Subdivision (f). See Note to Subdivision (b), supra. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Rule 15 authorizes the taking of depositions by the government. Under former rule 15 only a defendant was authorized to take a deposition. The revision is similar to Title VI of the Organized Crime Control Act of 1970. The principal difference is that Title VI (18 U.S.C. Sec. 3503) limits the authority of the government to take depositions to cases in which the Attorney General certifies that the 'proceeding is against a person who is believed to have participated in an organized criminal activity.' This limitation is not contained in rule 15. Dealing with the issue of government depositions so soon after the enactment of 18 U.S.C. Sec. 3503 is not inconsistent with the congressional purpose. On the floor of the House, Congressman Poff, a principal spokesman for the proposal, said that the House version was not designed to 'limit the Judicial Conference of the United States in the exercise of its rulemaking authority . . . from addressing itself to other problems in this area or from adopting a broader approach.' 116 Cong.Rec. 35293 (1970). The recently enacted Title VI of the Organized Crime Control Act of 1970 (18 U.S.C. Sec. 3503) is based upon earlier efforts of the Advisory Committee on Criminal Rules which has over the past twenty-five years submitted several proposals authorizing government depositions. The earlier drafts of the Federal Rules of Criminal Procedure proposed that the government be allowed to take depositions. Orfield, The Federal Rules of Criminal Procedure, 33 Calif.L.Rev. 543, 559 (1945). The Fifth Draft of what became rule 15 (then rule 20) dated June 1942, was submitted to the Supreme Court for comment. The court had a number of unfavorable comments about allowing government depositions. These comments were not published. The only reference to the fact that the court made comments is in 2 Orfield, Criminal Procedure under the Federal Rules Sec. 15:1 (1966); and Orfield, Depositions in Federal Criminal Procedure, 9 S.C.L.Q. 376, 380-381 (1957). The Advisory Committee, in the 1940's, continued to recommend the adoption of a provision authorizing government depositions. The final draft submitted to the Supreme Court contained a section providing: The following additional requirements shall apply if the deposition is taken at the instance of the government or of a witness. The officer having custody of a defendant shall be notified of the time and place set for examination, and shall produce him at the examination and keep him in the presence of the witness during the examination. A defendant not in custody shall be given notice and shall have the right to be present at the examination. The government shall pay in advance to the defendant's attorney and a defendant not in custody expenses of travel and subsistence for attendance at the examination. See 2 Orfield, Criminal Procedure under the Federal Rules Sec. 15:3, pp. 447-448 (1966); Orfield, Depositions in Federal Criminal Procedure, 9 S.C.L.Q. 376, 383 (1957). The Supreme Court rejected this section in this entirety, thus eliminating the provision for depositions by the government. These changes were made without comment. The proposal to allow government depositions was renewed in the amendments to the Federal Rules of Criminal Procedure in the early 1960's. The Preliminary Draft of Proposed Amendments to Rules of Criminal Procedure for the United States District Courts (December 1962) proposed to amend rule 15 by eliminating the words 'of a defendant' from the first sentence of subdivision (a) and adding a subdivision (g) which was practically identical to the subdivision rejected by the Supreme Court in the original draft of the rules. The Second Preliminary Draft of Proposed Amendments to Rules of Criminal Procedure for the United States District Courts (March 1964) continued to propose allowing governments depositions. Subdivision (g) was substantially modified, however. The following additional requirements shall apply if the deposition is taken at the instance of the government or a witness. Both the defendant and his attorney shall be given reasonable advance notice of the time and place set for the examination. The officer having custody of a defendant shall be notified of the time and place set for the examination, and shall produce him at the examination and keep him in the presence of the witness during the examination. A defendant not in custody shall have the right to be present at the examination but his failure to appear after notice and tender of expenses shall constitute a waiver of that right. The government shall pay to the defendant's attorney and to a defendant not in custody expenses of travel and subsistence for attendance at the examination. The government shall make available to the defendant for his examination and use at the taking of the deposition any statement of the witness being deposed which is in the possession of the government and which the government would be required to make available to the defendant if the witness were testifying at the trial. The proposal to authorize government depositions was rejected by the Standing Committee on Rules of Practice and Procedure, C. Wright, Federal Practice and Procedure Sec. 241 at 477 (1969). 4 Barron, Federal Practice and Procedure (Supp. 1967). The Report of the Judicial Conference, submitted to the Supreme Court for approval late in 1965, contained no proposal for an amendment to rule 15. See 39 F.R.D. 69, 168-211 (1966). When the Organized Crime Control Act of 1970 was originally introduced in the Senate (S. 30) it contained a government deposition provision which was similar to the 1964 proposal of the Criminal Rules Advisory Committee, except that the original bill (S. 30) failed to provide standards to control the use of depositions at the trial. For an explanation and defense of the original proposal see McClellan, The Organized Crime Act (S. 30) or Its Critics: Which Threatens Civil Liberties?, 46 Notre Dame Lawyer 55, 100-108 (1970). This omission was remedied, prior to passage, with the addition of what is now 18 U.S.C. Sec. 3503(f) which prescribes the circumstances in which a deposition can be used. The standards are the same as those in former rule 15(e) with the addition of language allowing the use of the deposition when 'the witness refuses in the trial or hearing to testify concerning the subject of the deposition or the part offered.' Before the Organized Crime Control Act of 1970 was enacted an additional amendment was added providing that the right of the government to take a deposition is limited to cases in which the Attorney General certifies that the defendant is 'believed to have participated in an organized criminal activity' (18 U.S.C. Sec. 3503(a)). The argument in favor of the amendment was that the whole purpose of the act was to deal with organized crime and therefore its provisions, including that providing for government depositions, should be limited to organized crime type cases. There is another aspect of Advisory Committee history which is relevant. In January 1970, the Advisory Committee circulated proposed changes in rule 16, one of which gives the government, when it has disclosed the identity of its witnesses, the right to take a deposition and use it 'in the event the witness has become unavailable without the fault of the government or if the witness has changed his testimony.' (See Preliminary Draft of Proposed Amendments to the Federal Rules of Criminal Procedure for the United States District Courts, rule 16(a)(1)(vi) (January 1970).) This provision is now incorporated within rule 16(a)(1)(v). Because neither the court nor the standing committee gave reasons for rejecting the government deposition proposal, it is not possible to know why they were not approved. To the extent that the rejection was based upon doubts as to the constitutionality of such a proposal, those doubts now seem resolved by California v. Green, 399 U.S. 149, 90 S.Ct. 1930, 26 L.Ed.2d 489 (1970). On the merits, the proposal to allow the government to take depositions is consistent with the revision of rule 16 and with section 804(b)(1) of the Rules of Evidence for the United States Courts and Magistrates (November 1971) which provides that the following is not excluded by the hearsay rule if the declarant is unavailable: (1) Former Testimony. Testimony given as a witness at another hearing of the same or a different proceeding, or in a deposition taken in compliance with law in the course of another proceeding, at the instance of or against a party with an opportunity to develop the testimony by direct, cross, or redirect examination, with motive and interest similar to those of the party against whom now offered. Subdivision (a) is revised to provide that the government as well as the defendant is entitled to take a deposition. The phrase 'whenever due to special circumstances of the case it is in the interest of justice,' is intended to make clear that the decision by the court as to whether to order the taking of a deposition shall be made in the context of the circumstances of the particular case. The principal objective is the preservation of evidence for use at trial. It is not to provide a method of pretrial discovery nor primarily for the purpose of obtaining a basis for later cross-examination of an adverse witness. Discovery is a matter dealt with in rule 16. An obviously important factor is whether a deposition will expedite, rather than delay, the administration of criminal justice. Also important is the presence or absence of factors which determine the use of a deposition at the trial, such as the agreement of the parties to use of the deposition; the possible unavailability of the witness; or the possibility that coercion may be used upon the witness to induce him to change his testimony or not to testify. See rule 16(a)(1)(v). Subdivision (a) also makes explicit that only the 'testimony of a prospective witness of a party' can be taken. This means the party's own witness and does not authorize a discovery deposition of an adverse witness. The language 'for use at trial' is intended to give further emphasis to the importance of the criteria for use specified in subdivision (e). In subdivision (b) reference is made to the defendant in custody. If he is in state custody, a writ of habeas corpus ad testificandum (to produce the prisoner for purposes of testimony) may be required to accomplish his presence. In subdivision (d) the language 'except as otherwise provided in these rules' is meant to make clear that the subpoena provisions of rule 17 control rather than the provisions of the civil rules. The use of the phrase 'and manner' in subdivision (d)(2) is intended to emphasize that the authorization is not to conduct an adverse examination of an opposing witness. In subdivision (e) the phrase 'as substantive evidence' is added to make clear that the deposition can be used as evidence in chief as well as for purposes of impeachment. Subdivision (e) also makes clear that the deposition can be used as affirmative evidence whenever the witness is available but gives testimony inconsistent with that given in the deposition. A California statute which contained a similar provision was held constitutional in California v. Green, 399 U.S. 149, 90 S.Ct. 1930, 26 L.Ed.2d 489 (1970). This is also consistent with section 801(d)(1) of the Rules of Evidence for United States Courts and Magistrates (Nov. 1971). Subdivision (f) is intended to insure that a record of objections and the grounds for the objections is made at the time the deposition is taken when the witness is available so that the witness can be examined further, if necessary, on the point of the objection so that there will be an adequate record for the court's later ruling upon the objection. Subdivision (g) uses the 'unavailability' definition of the Rules of Evidence for the United States Courts and Magistrates, 804(a) (Nov. 1971). Subdivision (h) is intended to make clear that the court always has authority to order the taking of a deposition, or to allow the use of a deposition, where there is an agreement of the parties to the taking or to the use. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 15 of the Federal Rules of Criminal Procedure provides for the taking of depositions. The present rule permits only the defendant to move that a deposition of a prospective witness be taken. The court may grant the motion if it appears that (a) the prospective witness will be unable to attend or be prevented from attending the trial, (b) the prospective witness' testimony is material, and (c) the prospective witness' testimony is necessary to prevent a failure of justice. The Supreme Court promulgated several amendments to Rule 15. The more significant amendments are described below. Subdivision (a) as proposed to be amended permits either party to move the court for the taking of a deposition of a witness. However, a party may only move to take the deposition of one of its own witnesses, not one of the adversary party's witnesses. Subdivision (c) as proposed to be amended provides that whenever a deposition is taken at the instance of the government or of an indigent defendant, the expenses of the taking of the deposition must be paid by the government. Subdivision (e) as proposed to be amended provides that part or all of the deposition may be used at trial as substantive evidence if the witness is 'unavailable' or if the witness gives testimony inconsistent with his deposition. Subdivision (b)((g)) as proposed to be amended defines 'unavailable.' 'Unavailable' as a witness includes situations in which the deponent: (1) is exempted by ruling of the judge on the ground of privilege from testifying concerning the subject matter of his deposition; or (2) persists in refusing to testify concerning the subject matter of his deposition despite an order of the judge to do so; or (3) testifies to a lack of memory of the subject matter of his deposition; or (4) is unable to be present or to testify at the hearing because of death or then existing physical or mental illness or infirmity; or (5) is absent from the hearing and the proponent of his deposition has been unable to procure his attendance by process or other reasonable means. A deponent is not unavailable as a witness if his exemption, refusal, claim of lack of memory, inability, or absence is due to the procurement or wrongdoing of the proponent of his deposition for the purpose of preventing the witness from attending or testifying. B. Committee Action. The Committee narrowed the definition of 'unavailability' in subdivision (g). The Committee deleted language from that subdivision that provided that a witness was 'unavailable' if the court exempts him from testifying at the trial on the ground of privilege. The Committee does not want to encourage the use of depositions at trial, especially in view of the importance of having live testimony from a witness on the witness stand. The Committee added a provision to subdivision (b) to parallel the provision of Rule 43(b)(2). This is to make it clear that a disruptive defendant may be removed from the place where a deposition is being taken. The Committee added language to subdivision (c) to make clear that the government must pay for the cost of the transcript of a deposition when the deposition is taken at the instance of an indigent defendant or of the government. In order to use a deposition at trial, it must be transcribed. The proposed rule did not explicitly provide for payment of the cost of transcribing, and the Committee change rectifies this. The Committee notes that subdivision (e) permits the use of a deposition when the witness 'gives testimony at the trial or hearing inconsistent with his deposition.' Since subdivision (e) refers to the rules of evidence, the Committee understands that the Federal Rules of Evidence will govern the admissibility and use of the deposition. The Committee, by adopting subdivision (e) as proposed to be amended by the Supreme Court, intends the Federal Rules of Evidence to govern the admissibility and use of the deposition. The Committee believes that Rule 15 will not encourage trials by deposition. A deposition may be taken only in 'exceptional circumstances' when 'it is in the interest of justice that the testimony of a prospective witness of a party be taken and preserved. * * *' A deposition, once it is taken, is not automatically admissible at trial, however. It may only be used at trial if the witness is unavailable, and the rule narrowly defines unavailability. The procedure established in Rule 15 is similar to the procedure established by the Organized Crime Control Act of 1970 for the taking and use of depositions in organized crime cases. See 18 U.S.C. 3503. CONFERENCE COMMITTEE NOTES, HOUSE REPORT NO. 94-414; 1975 AMENDMENT Rule 15 deals with the taking of depositions and the use of depositions at trial. Rule 15(e) permits a deposition to be used if the witness is unavailable. Rule 15(g) defines that term. The Supreme Court's proposal defines five circumstances in which the witness will be considered unavailable. The House version of the bill deletes a provision that said a witness is unavailable if he is exempted at trial, on the ground of privilege, from testifying about the subject matter of his deposition. The Senate version of the bill by cross reference to the Federal Rules of Evidence, restores the Supreme Court proposal. The Conference adopts the Senate provision. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in subsec. (e), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. 1984 AMENDMENT Subd. (a). Pub. L. 98-473 substituted 'detained pursuant to section 3144 of title 18, United States Code' for 'committed for failure to give bail to appear to testify at a trial or hearing'. 1975 AMENDMENT Pub. L. 94-64 amended subds. (a), (b), (c), and (e) generally, deleted subd. (g), and redesignated subd. (h) as (g). -MISC2- EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Deposition of witnesses upon written interrogatories, see rule 31, Title 28, Appendix, Judiciary and Judicial Procedure. Depositions, see rules 26 to 32 and 37. Interrogatories to a party, see rule 33. CROSS REFERENCES Affidavit upon motion, see rule 47. Assignment of counsel, see rule 44. Demands for production of statements and reports of witnesses, see section 3500 of this title. Subpoena and place for taking deposition, see rule 17. ------DocID 25096 Document 1338 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 16 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 16. Discovery and Inspection -STATUTE- (a) Disclosure of Evidence by the Government. (1) Information Subject to Disclosure. (A) Statement of Defendant. Upon request of a defendant the government shall permit the defendant to inspect and copy or photograph: any relevant written or recorded statements made by the defendant, or copies thereof, within the possession, custody or control of the government, the existence of which is known, or by the exercise of due diligence may become known, to the attorney for the government; the substance of any oral statement which the government intends to offer in evidence at the trial made by the defendant whether before or after arrest in response to interrogation by any person then known to the defendant to be a government agent; and recorded testimony of the defendant before a grand jury which relates to the offense charged. Where the defendant is a corporation, partnership, association or labor union, the court may grant the defendant, upon its motion, discovery of relevant recorded testimony of any witness before a grand jury who (1) was, at the time of that testimony, so situated as an officer or employee as to have been able legally to bind the defendant in respect to conduct constituting the offense, or (2) was, at the time of the offense, personally involved in the alleged conduct constituting the offense and so situated as an officer or employee as to have been able legally to bind the defendant in respect to that alleged conduct in which the witness was involved. (B) Defendant's Prior Record. Upon request of the defendant, the government shall furnish to the defendant such copy of the defendant's prior criminal record, if any, as is within the possession, custody, or control of the government, the existence of which is known, or by the exercise of due diligence may become known, to the attorney for the government. (C) Documents and Tangible Objects. Upon request of the defendant the government shall permit the defendant to inspect and copy or photograph books, papers, documents, photographs, tangible objects, buildings or places, or copies or portions thereof, which are within the possession, custody or control of the government, and which are material to the preparation of the defendant's defense or are intended for use by the government as evidence in chief at the trial, or were obtained from or belong to the defendant. (D) Reports of Examinations and Tests. Upon request of a defendant the government shall permit the defendant to inspect and copy or photograph any results or reports of physical or mental examinations, and of scientific tests or experiments, or copies thereof, which are within the possession, custody, or control of the government, the existence of which is known, or by the exercise of due diligence may become known, to the attorney for the government, and which are material to the preparation of the defense or are intended for use by the government as evidence in chief at the trial. (2) Information Not Subject to Disclosure. Except as provided in paragraphs (A), (B), and (D) of subdivision (a)(1), this rule does not authorize the discovery or inspection of reports, memoranda, or other internal government documents made by the attorney for the government or other government agents in connection with the investigation or prosecution of the case, or of statements made by government witnesses or prospective government witnesses except as provided in 18 U.S.C. Sec. 3500. (3) Grand Jury Transcripts. Except as provided in Rules 6, 12(i) and 26.2, and subdivision (a)(1)(A) of this rule, these rules do not relate to discovery or inspection of recorded proceedings of a grand jury. ((4) Failure to Call Witness.) (Deleted Dec. 12, 1975) (b) Disclosure of Evidence by the Defendant. (1) Information Subject to Disclosure. (A) Documents and Tangible Objects. If the defendant requests disclosure under subdivision (a)(1)(C) or (D) of this rule, upon compliance with such request by the government, the defendant, on request of the government, shall permit the government to inspect and copy or photograph books, papers, documents, photographs, tangible objects, or copies or portions thereof, which are within the possession, custody, or control of the defendant and which the defendant intends to introduce as evidence in chief at the trial. (B) Reports of Examinations and Tests. If the defendant requests disclosure under subdivision (a)(1)(C) or (D) of this rule, upon compliance with such request by the government, the defendant, on request of the government, shall permit the government to inspect and copy or photograph any results or reports of physical or mental examinations and of scientific tests or experiments made in connection with the particular case, or copies thereof, within the possession or control of the defendant, which the defendant intends to introduce as evidence in chief at the trial or which were prepared by a witness whom the defendant intends to call at the trial when the results or reports relate to that witness' testimony. (2) Information Not Subject to Disclosure. Except as to scientific or medical reports, this subdivision does not authorize the discovery or inspection of reports, memoranda, or other internal defense documents made by the defendant, or the defendant's attorneys or agents in connection with the investigation or defense of the case, or of statements made by the defendant, or by government or defense witnesses, or by prospective government or defense witnesses, to the defendant, the defendant's agents or attorneys. ((3) Failure to Call Witness.) (Deleted Dec. 12, 1975) (c) Continuing Duty To Disclose. If, prior to or during trial, a party discovers additional evidence or material previously requested or ordered, which is subject to discovery or inspection under this rule, such party shall promptly notify the other party or that other party's attorney or the court of the existence of the additional evidence or material. (d) Regulation of Discovery. (1) Protective and Modifying Orders. Upon a sufficient showing the court may at any time order that the discovery or inspection be denied, restricted, or deferred, or make such other order as is appropriate. Upon motion by a party, the court may permit the party to make such showing, in whole or in part, in the form of a written statement to be inspected by the judge alone. If the court enters an order granting relief following such an ex parte showing, the entire text of the party's statement shall be sealed and preserved in the records of the court to be made available to the appellate court in the event of an appeal. (2) Failure To Comply With a Request. If at any time during the course of the proceedings it is brought to the attention of the court that a party has failed to comply with this rule, the court may order such party to permit the discovery or inspection, grant a continuance, or prohibit the party from introducing evidence not disclosed, or it may enter such other order as it deems just under the circumstances. The court may specify the time, place and manner of making the discovery and inspection and may prescribe such terms and conditions as are just. (e) Alibi Witnesses. Discovery of alibi witnesses is governed by Rule 12.1. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(20)-(28), 89 Stat. 374, 375; Dec. 12, 1975, Pub. L. 94-149, Sec. 5, 89 Stat. 806; Apr. 28, 1983, eff. Aug. 1, 1983; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Whether under existing law discovery may be permitted in criminal cases is doubtful, United States v. Rosenfeld, 57 F.2d 74 (C.C.A. 2d) - cert. den., 286 U.S. 556. The courts have, however, made orders granting to the defendant an opportunity to inspect impounded documents belonging to him, United States v. B. Goedde and Co., 40 F.Supp. 523, 534 (E.D.Ill.). The rule is a restatement of this procedure. In addition, it permits the procedure to be invoked in cases of objects and documents obtained from others by seizure or by process, on the theory that such evidential matter would probably have been accessible to the defendant if it had not previously been seized by the prosecution. The entire matter is left within the discretion of the court. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The extent to which pretrial discovery should be permitted in criminal cases is a complex and controversial issue. The problems have been explored in detail in recent legal literature, most of which has been in favor of increasing the range of permissible discovery. See, e.g. Brennan, The Criminal Prosecution: Sporting Event or Quest for Truth, 1963 Wash.U.L.Q. 279; Everett, Discovery in Criminal Cases - In Search of a Standard, 1964 Duke L.J. 477; Fletcher, Pretrial Discovery in State Criminal Cases, 12 Stan.L.Rev. 293 (1960); Goldstein, The State and the Accused: Balance of Advantage in Criminal Procedure, 69 Yale L.J. 1149, 1172-1198 (1960); Krantz, Pretrial Discovery in Criminal Cases: A Necessity for Fair and Impartial Justice, 42 Neb.L.Rev. 127 (1962); Louisell, Criminal Discovery: Dilemma Real or Apparent, 49 Calif.L.Rev. 56 (1961); Louisell, The Theory of Criminal Discovery and the Practice of Criminal Law, 14 Vand.L.Rev. 921 (1961); Moran, Federal Criminal Rules Changes: Aid or Illusion for the Indigent Defendant? 51 A.B.A.J. 64 (1965); Symposium, Discovery in Federal Criminal Cases, 33 F.R.D. 47-128 (1963); Traynor, Ground Lost and Found in Criminal Discovery, 39 N.Y.U.L.Rev. 228 (1964); Developments in the Law - Discovery, 74 Harv.L.Rev. 940, 1051-1063. Full judicial exploration of the conflicting policy considerations will be found in State v. Tune, 13 N.J. 203, 98 A.2d 881 (1953) and State v. Johnson, 28 N.J. 133, 145 A.2d 313 (1958); cf. State v. Murphy, 36 N.J. 172, 175 A.2d 622 (1961); State v. Moffa, 36 N.J. 219, 176 A.2d 1 (1961). The rule has been revised to expand the scope of pretrial discovery. At the same time provisions are made to guard against possible abuses. Subdivision (a). - The court is authorized to order the attorney for the government to permit the defendant to inspect and copy or photograph three different types of material: (1) Relevant written or recorded statements or confessions made by the defendant, or copies thereof. The defendant is not required to designate because he may not always be aware that his statements or confessions are being recorded. The government's obligation is limited to production of such statements as are within the possession, custody or control of the government, the existence of which is known, or by the exercise of due diligence may become known, to the attorney for the government. Discovery of statements and confessions is in line with what the Supreme Court has described as the 'better practice' (Cicenia v. LaGay, 357 U.S. 504, 511 (1958)), and with the law in a number of states. See e.g., Del. Rules Crim. Proc., Rule 16; Ill.Stat. Ch. 38, Sec. 729; Md. Rules Proc., Rule 728; State v. McGee, 91 Ariz. 101, 370 P.2d 261 (1962); Cash v. Superior Court, 53 Cal.2d 72, 346 P.2d 407 (1959); State v. Bickham, 239 La. 1094, 121 So.2d 207, cert. den. 364 U.S. 874 (1960); People v. Johnson, 356 Mich. 619, 97 N.W.2d 739 (1959); State v. Johnson, supra; People v. Stokes, 24 Miss.2d 755, 204 N.Y.Supp.2d 827 (Ct.Gen.Sess. 1960). The amendment also makes it clear that discovery extends to recorded as well as written statements. For state cases upholding the discovery of recordings, see, e.g., People v. Cartier, 51 Cal.2d 590, 335 P.2d 114 (1959); State v. Minor, 177 A.2d 215 (Del.Super.Ct. 1962). (2) Relevant results or reports of physical or mental examinations, and of scientific tests or experiments (including fingerprint and handwriting comparisons) made in connection with the particular case, or copies thereof. Again the defendant is not required to designate but the government's obligation is limited to production of items within the possession, custody or control of the government, the existence of which is known, or by the exercise of due diligence may become known, to the attorney for the government. With respect to results or reports of scientific tests or experiments the range of materials which must be produced by the government is further limited to those made in connection with the particular case. Cf. Fla.Stats. Sec. 909.18; State v. Superior Court, 90 Ariz. 133, 367 P.2d 6 (1961); People v. Cooper, 53 Cal.2d 755, 770, 3 Cal.Rptr. 148, 157, 349 P.2d 1964, 973 (1960); People v. Stokes, supra, at 762, 204 N.Y.Supp.2d at 835. (3) Relevant recorded testimony of a defendant before a grand jury. The policy which favors pretrial disclosure to a defendant of his statements to government agents also supports, pretrial disclosure of his testimony before a grand jury. Courts, however, have tended to require a showing of special circumstances before ordering such disclosure. See, e.g., United States v. Johnson, 215 F.Supp. 300 (D.Md. 1963). Disclosure is required only where the statement has been recorded and hence can be transcribed. Subdivision (b). - This subdivision authorizes the court to order the attorney for the government to permit the defendant to inspect the copy or photograph all other books, papers, documents, tangible objects, buildings or places, or copies or portions thereof, which are within the possession, custody or control of the government. Because of the necessarily broad and general terms in which the items to be discovered are described, several limitations are imposed: (1) While specific designation is not required of the defendant, the burden is placed on him to make a showing of materiality to the preparation of his defense and that his request is reasonable. The requirement of reasonableness will permit the court to define and limit the scope of the government's obligation to search its files while meeting the legitimate needs of the defendant. The court is also authorized to limit discovery to portions of items sought. (2) Reports, memoranda, and other internal government documents made by government agents in connection with the investigation or prosecution of the case are exempt from discovery. Cf. Palermo v. United States, 360 U.S. 343 (1959); Ogden v. United States, 303 F.2d 724 (9th Cir. 1962). (3) Except as provided for reports of examinations and tests in subdivision (a)(2), statements made by government witnesses or prospective government witnesses to agents of the government are also exempt from discovery except as provided by 18 U.S.C. Sec. 3500. Subdivision (c). - This subdivision permits the court to condition a discovery order under subdivision (a)(2) and subdivision (b) by requiring the defendant to permit the government to discover similar items which the defendant intends to produce at the trial and which are within his possession, custody or control under restrictions similar to those placed in subdivision (b) upon discovery by the defendant. While the government normally has resources adequate to secure the information necessary for trial, there are some situations in which mutual disclosure would appear necessary to prevent the defendant from obtaining an unfair advantage. For example, in cases where both prosecution and defense have employed experts to make psychiatric examinations, it seems as important for the government to study the opinions of the experts to be called by the defendant in order to prepare for trial as it does for the defendant to study those of the government's witnesses. Or in cases (such as antitrust cases) in which the defendant is well represented and well financed, mutual disclosure so far as consistent with the privilege against self-incrimination would seem as appropriate as in civil cases. State cases have indicated that a requirement that the defendant disclose in advance of trial materials which he intends to use on his own behalf at the trial is not a violation of the privilege against self-incrimination. See Jones v. Superior Court, 58 Cal.2d 56, 22 Cal.Rptr. 879, 372 P.2d 919 (1962); People v. Lopez, 60 Cal.2d 223, 32 Cal.Rptr. 424, 384 P.2d 16 (1963); Traynor, Ground Lost and Found in Criminal Discovery. 39 N.Y.U.L.Rev. 228, 246 (1964); Comment, The Self-Incrimination Privilege: Barrier to Criminal Discovery, 51 Calif.L.Rev. 135 (1963); Note, 76 Harv.L.Rev. 828 (1963). Subdivision (d). - This subdivision is substantially the same as the last sentence of the existing rule. Subdivision (e). - This subdivision gives the court authority to deny, restrict or defer discovery upon a sufficient showing. Control of the abuses of discovery is necessary if it is to be expanded in the fashion proposed in subdivisions (a) and (b). Among the considerations to be taken into account by the court will be the safety of witnesses and others, a particular danger of perjury or witness intimidation, the protection of information vital to the national security, and the protection of business enterprises from economic reprisals. For an example of a use of a protective order in state practice, see People v. Lopez, 60 Cal.2d 223, 32 Cal.Rptr. 424, 384 P.2d 16 (1963). See also Brennan, Remarks on Discovery, 33 F.R.D. 56, 65 (1963); Traynor, Ground Lost and Found in Criminal Discovery, 39 N.Y.U.L.Rev. 228, 244, 250. In some cases it would defeat the purpose of the protective order if the government were required to make its showing in open court. The problem arises in its most extreme form where matters of national security are involved. Hence a procedure is set out where upon motion by the government the court may permit the government to make its showing, in whole or in part, in a written statement to be inspected by the court in camera. If the court grants relief based on such showing, the government's statement is to be sealed and preserved in the records of the court to be made available to the appellate court in the event of an appeal by the defendant, Cf. 18 U.S.C. Sec. 3500. Subdivision (f). - This subdivision is designed to encourage promptness in making discovery motions and to give the court sufficient control to prevent unnecessary delay and court time consequent upon a multiplication of discovery motions. Normally one motion should encompass all relief sought and a subsequent motion permitted only upon a showing of cause. Where pretrial hearings are used pursuant to Rule 17.1, discovery issues may be resolved at such hearings. Subdivision (g). - The first sentence establishes a continuing obligation on a party subject to a discovery order with respect to material discovered after initial compliance. The duty provided is to notify the other party, his attorney or the court of the existence of the material. A motion can then be made by the other party for additional discovery and, where the existence of the material is disclosed shortly before or during the trial, for any necessary continuance. The second sentence gives wide discretion to the court in dealing with the failure of either party to comply with a discovery order. Such discretion will permit the court to consider the reasons why disclosure was not made, the extent of the prejudice, if any, to the opposing party, the feasibility of rectifying that prejudice by a continuance, and any other relevant circumstances. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Rule 16 is revised to give greater discovery to both the prosecution and the defense. Subdivision (a) deals with disclosure of evidence by the government. Subdivision (b) deals with disclosure of evidence by the defendant. The majority of the Advisory Committee is of the view that the two - prosecution and defense discovery - are related and that the giving of a broader right of discovery to the defense is dependent upon giving also a broader right of discovery to the prosecution. The draft provides for a right of prosecution discovery independent of any prior request for discovery by the defendant. The Advisory Committee is of the view that this is the most desirable approach to prosecution discovery. See American Bar Association, Standards Relating to Discovery and Procedure Before Trial, pp. 7, 43-46 (Approved Draft, 1970). The language of the rule is recast from 'the court may order' or 'the court shall order' to 'the government shall permit' or 'the defendant shall permit.' This is to make clear that discovery should be accomplished by the parties themselves, without the necessity of a court order unless there is dispute as to whether the matter is discoverable or a request for a protective order under subdivision (d)(1). The court, however, has the inherent right to enter an order under this rule. The rule is intended to prescribe the minimum amount of discovery to which the parties are entitled. It is not intended to limit the judge's discretion to order broader discovery in appropriate cases. For example, subdivision (a)(3) is not intended to deny a judge's discretion to order disclosure of grand jury minutes where circumstances make it appropriate to do so. Subdivision (a)(1)(A) amends the old rule to provide, upon request of the defendant, the government shall permit discovery if the conditions specified in subdivision (a)(1)(A) exist. Some courts have construed the current language as giving the court discretion as to whether to grant discovery of defendant's statements. See United States v. Kaminsky, 275 F.Supp. 365 (S.D.N.Y. 1967), denying discovery because the defendant did not demonstrate that his request for discovery was warranted; United States v. Diliberto, 264 F.Supp. 181 (S.D.N.Y. 1967), holding that there must be a showing of actual need before discovery would be granted; United States v. Louis Carreau, Inc., 42 F.R.D. 408 (S.D.N.Y. 1967), holding that in the absence of a showing of good cause the government cannot be required to disclose defendant's prior statements in advance of trial. In United States v. Louis Carreau, Inc., at p. 412, the court stated that if rule 16 meant that production of the statements was mandatory, the word 'shall' would have been used instead of 'may.' See also United States v. Wallace, 272 F.Supp. 838 (S.D.N.Y. 1967); United States v. Wood, 270 F.Supp. 963 (S.D.N.Y. 1967); United States v. Leighton, 265 F.Supp. 27 (S.D.N.Y. 1967); United States v. Longarzo, 43 F.R.D. 395 (S.D.N.Y. 1967); Loux v. United States, 389 F.2d 911 (9th Cir. 1968); and the discussion of discovery in Discovery in Criminal Cases, 44 F.R.D. 481 (1968). Other courts have held that even though the current rules make discovery discretionary, the defendant need not show cause when he seeks to discover his own statements. See United States v. Aadal, 280 F.Supp. 859 (S.D.N.Y. 1967); United States v. Federmann, 41 F.R.D. 339 (S.D.N.Y. 1967); and United States v. Projansky, 44 F.R.D. 550 (S.D.N.Y. 1968). The amendment making disclosure mandatory under the circumstances prescribed in subdivision (a)(1)(A) resolves such ambiguity as may currently exist, in the direction of more liberal discovery. See C. Wright, Federal Practice and Procedure: Criminal Sec. 253 (1969, Supp. 1971), Rezneck, The New Federal Rules of Criminal Procedure, 54 Geo.L.J. 1276 (1966); Fla.Stat.Ann. Sec. 925.05 (Supp. 1971-1972); N.J.Crim.Prac.Rule 35-11(a) (1967). This is done in the view that broad discovery contributes to the fair and efficient administration of criminal justice by providing the defendant with enough information to make an informed decision as to plea; by minimizing the undesirable effect of surprise at the trial; and by otherwise contributing to an accurate determination of the issue of guilt or innocence. This is the ground upon which the American Bar Association Standards Relating to Discovery and Procedure Before Trial (Approved Draft, 1970) has unanimously recommended broader discovery. The United States Supreme Court has said that the pretrial disclosure of a defendant's statements 'may be the 'better practice.' ' Cicenia v. La Gay, 357 U.S. 504, 511, 78 S.Ct. 1297, 2 L.Ed.2d 1523 (1958). See also Leland v. Oregon, 343 U.S. 790, 72 S.Ct. 1002, 96 L.Ed. 1302 (1952); State v. Johnson, 28 N.J. 133, 145 A.2d 313 (1958). The requirement that the statement be disclosed prior to trial, rather than waiting until the trial, also contributes to efficiency of administration. It is during the pretrial stage that the defendant usually decides whether to plead guilty. See United States v. Projansky, supra. The pretrial stage is also the time during which many objections to the admissibility of types of evidence ought to be made. Pretrial disclosure ought, therefore, to contribute both to an informed guilty plea practice and to a pretrial resolution of admissibility questions. See ABA, Standards Relating to Discovery and Procedure Before Trial Sec. 1.2 and Commentary pp. 40-43 (Approved Draft, 1970). The American Bar Association Standards mandate the prosecutor to make the required disclosure even though not requested to do so by the defendant. The proposed draft requires the defendant to request discovery, although obviously the attorney for the government may disclose without waiting for a request, and there are situations in which due process will require the prosecution, on its own, to disclose evidence 'helpful' to the defense. Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963); Giles v. Maryland, 386 U.S. 66, 87 S.Ct. 793, 17 L.Ed.2d 737 (1967). The requirement in subdivision (a)(1)(A) is that the government produce 'statements' without further discussion of what 'statement' includes. There has been some recent controversy over what 'statements' are subject to discovery under the current rule. See Discovery in Criminal Cases, 44 F.R.D. 481 (1968); C. Wright, Federal Practice and Procedure: Criminal Sec. 253, pp. 505-506 (1969, Supp. 1971). The kinds of 'statements' which have been held to be within the rule include 'substantially verbatim and contemporaneous' statements, United States v. Elife, 43 F.R.D. 23 (S.D.N.Y. 1967); statements which reproduce the defendant's 'exact words,' United States v. Armantrout, 278 F.Supp. 517 (S.D.N.Y. 1968); a memorandum which was not verbatim but included the substance of the defendant's testimony, United States v. Scharf, 267 F.Supp. 19 (S.D.N.Y. 1967); Summaries of the defendant's statements, United States v. Morrison, 43 F.R.D. 516 (N.D.Ill. 1967); and statements discovered by means of electronic surveillance, United States v. Black, 282 F.Supp. 35 (D.D.C. 1968). The court in United States v. Iovinelli, 276 F.Supp. 629, 631 (N.D.Ill. 1967), declared that 'statements' as used in old rule 16 is not restricted to the 'substantially verbatim recital of an oral statement' or to statements which are a 'recital of past occurrences.' The Jencks Act, 18 U.S.C. Sec. 3500, defines 'statements' of government witnesses discoverable for purposes of cross-examination as: (1) a 'written statement' signed or otherwise approved by a witness, (2) 'a stenographic, mechanical, electrical, or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement made by said witness to an agent of the government and recorded contemporaneously with the making of such oral statement.' 18 U.S.C. Sec. 3500(e). The language of the Jencks Act has most often led to a restrictive definition of 'statements,' confining 'statements' to the defendant's 'own words.' See Hanks v. United States, 388 F.2d 171 (10th Cir. 1968), and Augenblick v. United States, 377 F.2d 586, 180 Ct.Cl. 131 (1967). The American Bar Association's Standards Relating to Discovery and Procedure Before Trial (Approved Draft, 1970) do not attempt to define 'statements' because of a disagreement among members of the committee as to what the definition should be. The majority rejected the restrictive definition of 'statements' contained in the Jencks Act, 18 U.S.C. Sec. 3500(e), in the view that the defendant ought to be able to see his statement in whatever form it may have been preserved in fairness to the defendant and to discourage the practice, where it exists, of destroying original notes, after transforming them into secondary transcriptions, in order to avoid cross-examination based upon the original notes. See Campbell v. United States, 373 U.S. 487, 83 S.Ct. 1356, 10 L.Ed.2d 501 (1963). The minority favored a restrictive definition of 'statements' in the view that the use of other than 'verbatim' statements would subject witnesses to unfair cross-examination. See American Bar Association's Standards Relating to Discovery and Procedure Before Trial pp. 61-64 (Approved Draft, 1970). The draft of subdivision (a)(1)(A) leaves the matter of the meaning of the term unresolved and thus left for development on a case-by-case basis. Subdivision (a)(1)(A) also provides for mandatory disclosure of a summary of any oral statement made by defendant to a government agent which the attorney for the government intends to use in evidence. The reasons for permitting the defendant to discover his own statements seem obviously to apply to the substance of any oral statement which the government intends to use in evidence at the trial. See American Bar Association Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(ii) (Approved Draft, 1970). Certainly disclosure will facilitate the raising of objections to admissibility prior to trial. There have been several conflicting decisions under the current rules as to whether the government must disclose the substance of oral statements of the defendant which it has in its possession. Cf. United States v. Baker, 262 F.Supp. 657 (D.C.D.C. 1966); United States v. Curry, 278 F.Supp. 508 (N.D.Ill. 1967); United States v. Morrison, 43 F.R.D. 516 (ND.Ill. 1967); United States v. Reid, 43 F.R.D. 520 (ND.Ill. 1967); United States v. Armantrout, 278 F.Supp. 517 (S.D.N.Y. 1968); and United States v. Elife, 43 F.R.D. 23 (S.D.N.Y. 1967). There is, however, considerable support for the policy of disclosing the substance of the defendant's oral statement. Many courts have indicated that this is a 'better practice' than denying such disclosure. E.g., United States v. Curry, supra; Loux v. United States, 389 F.2d 911 (9th Cir. 1968); and United States v. Baker, supra. Subdivision (a)(1)(A) also provides for mandatory disclosure of any 'recorded testimony' which defendant gives before a grand jury if the testimony 'relates to the offense charged.' The present rule is discretionary and is applicable only to those of defendant's statements which are 'relevant.' The traditional rationale behind grand jury secrecy - protection of witnesses - does not apply when the accused seeks discovery of his own testimony. Cf. Dennis v. United States, 384 U.S. 855, 86 S.Ct. 1840, 16 L.Ed.2d 973 (1966); and Allen v. United States, 129 U.S.App.D.C. 61, 390 F.2d 476 (1968). In interpreting the rule many judges have granted defendant discovery without a showing of need or relevance. United States v. Gleason, 259 F.Supp. 282 (S.D.N.Y. 1966); United States v. Longarzo, 43 F.R.D. 395 (S.D.N.Y. 1967); and United States v. United Concrete Pipe Corp., 41 F.R.D. 538 (N.D.Tex. 1966). Making disclosure mandatory without a showing of relevance conforms to the recommendation of the American Bar Association Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(iii) and Commentary pp. 64-66 (Approved Draft, 1970). Also see Note, Discovery by a Criminal Defendant of His Own Grand-Jury Testimony, 68 Columbia L.Rev. 311 (1968). In a situation involving a corporate defendant, statements made by present and former officers and employees relating to their employment have been held discoverable as statements of the defendant. United States v. Hughes, 413 F.2d 1244 (5th Cir. 1969). The rule makes clear that such statements are discoverable if the officer or employee was 'able legally to bind the defendant in respect to the activities involved in the charges.' Subdivision (a)(1)(B) allows discovery of the defendant's prior criminal record. A defendant may be uncertain of the precise nature of his prior record and it seems therefore in the interest of efficient and fair administration to make it possible to resolve prior to trial any disputes as to the correctness of the relevant criminal record of the defendant. Subdivision (a)(1)(C) gives a right of discovery of certain tangible objects under the specified circumstances. Courts have construed the old rule as making disclosure discretionary with the judge. Cf. United States v. Kaminsky, 275 F.Supp. 365 (S.D.N.Y. 1967); Gevinson v. United States, 358 F.2d 761 (5th Cir. 1966), cert. denied, 385 U.S. 823, 87 S.Ct. 51, 17 L.Ed.2d 60 (1966); and United States v. Tanner, 279 F.Supp. 457 (N.D.Ill. 1967). The old rule requires a 'showing of materiality to the preparation of his defense and that the request is reasonable.' The new rule requires disclosure if any one of three situations exists: (a) the defendant shows that disclosure of the document or tangible object is material to the defense, (b) the government intends to use the document or tangible object in its presentation of its case in chief, or (c) the document or tangible object was obtained from or belongs to the defendant. Disclosure of documents and tangible objects which are 'material' to the preparation of the defense may be required under the rule of Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), without an additional showing that the request is 'reasonable.' In Brady the court held that 'due process' requires that the prosecution disclose evidence favorable to the accused. Although the Advisory Committee decided not to codify the Brady Rule, the requirement that the government disclose documents and tangible objects 'material to the preparation of his defense' underscores the importance of disclosure of evidence favorable to the defendant. Limiting the rule to situations in which the defendant can show that the evidence is material seems unwise. It may be difficult for a defendant to make this showing if he does not know what the evidence is. For this reason subdivision (a)(1)(C) also contains language to compel disclosure if the government intends to use the property as evidence at the trial or if the property was obtained from or belongs to the defendant. See ABA Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(v) and Commentary pp. 68-69 (Approved Draft, 1970). This is probably the result under old rule 16 since the fact that the government intends to use the physical evidence at the trial is probably sufficient proof of 'materiality.' C. Wright, Federal Practice and Procedure: Criminal Sec. 254 especially n. 70 at p. 513 (1969, Supp. 1971). But it seems desirable to make this explicit in the rule itself. Requiring disclosure of documents and tangible objects which 'were obtained from or belong to the defendant' probably is also making explicit in the rule what would otherwise be the interpretation of 'materiality.' See C. Wright, Federal Practice and Procedure: Criminal Sec. 254 at p. 510 especially n. 58 (1969, Supp. 1971). Subdivision (a)(1)(C) is also amended to add the word 'photographs' to the objects previously listed. See ABA Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(v) (Approved Draft, 1970). Subdivision (a)(1)(D) makes disclosure of the reports of examinations and tests mandatory. This is the recommendation of the ABA Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(iv) and Commentary pp. 66-68 (Approved Draft, 1970). The obligation of disclosure applies only to scientific tests or experiments 'made in connection with the particular case.' So limited, mandatory disclosure seems justified because: (1) it is difficult to test expert testimony at trial without advance notice and preparation; (2) it is not likely that such evidence will be distorted or misused if disclosed prior to trial; and (3) to the extent that a test may be favorable to the defense, its disclosure is mandated under the rule of Brady v. Maryland, supra. Subdivision (a)(1)(E) is new. It provides for discovery of the names of witnesses to be called by the government and of the prior criminal record of these witnesses. Many states have statutes or rules which require that the accused be notified prior to trial of the witnesses to be called against him. See, e.g., Alaska R.Crim.Proc. 7(c); Ariz.R.Crim.Proc. 153, 17 A.R.S. (1956); Ark.Stat.Ann. Sec. 43-1001 (1947); Cal.Pen.Code Sec. 995n (West 1957); Colo.Rev.Stat.Ann. Sec. 39-3-6, 39-4-2 (1963); Fla.Stat.Ann. Sec. 906.29 (1944); Idaho Code Ann. Sec. 19-1404 (1948); Ill.Rev.Stat. ch. 38, Sec. 114-9 (1970); Ind.Ann.Stat. Sec. 9-903 (1956), IC 1971, 35-1-16-3; Iowa Code Ann. Sec. 772.3 (1950); Kan.Stat.Ann. Sec. 62-931 (1964); Ky.R.Crim. Proc. 6.08 (1962); Mich.Stat.Ann. Sec. 28.980, M.C.L.A. Sec. 767.40 (Supp.1971); Minn.Stat.Ann. Sec. 628.08 (1947); Mo.Ann.Stat. Sec. 545.070 (1953); Mont.Rev. Codes Ann. Sec. 95-1503 (Supp. 1969); Neb.Rev.Stat. Sec. 29-1602 (1964); Nev.Rev.Stat. Sec. 173.045 (1967); Okl.Stat. tet. 22, Sec. 384 (1951); Ore.Rev.Stat. Sec. 132.580 (1969); Tenn. Code Ann. Sec. 40-1708 (1955); Utah Code Ann. Sec. 77-20-3 (1953). For examples of the ways in which these requirements are implemented, see State v. Mitchell, 181 Kan. 193, 310 P.2d 1063 (1957); State v. Parr, 129 Mont. 175, 283 P.2d 1086 (1955); Phillips v. State, 157 Neb. 419, 59 N.W. 598 (1953). Witnesses' prior statements must be made available to defense counsel after the witness testifies on direct examination for possible impeachment purposes during trial: 18 U.S.C. Sec. 3500. The American Bar Association's Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(i) (Approved Draft, 1970) require disclosure of both the names and the statements of prosecution witnesses. Subdivision (a)(1)(E) requires only disclosure, prior to trial, of names, addresses, and prior criminal record. It does not require disclosure of the witnesses' statements although the rule does not preclude the parties from agreeing to disclose statements prior to trial. This is done, for example, in courts using the so-called 'omnibus hearing.' Disclosure of the prior criminal record of witnesses places the defense in the same position as the government, which normally has knowledge of the defendant's record and the record of anticipated defense witnesses. In addition, the defendant often lacks means of procuring this information on his own. See American Bar Association Standards Relating to Discovery and Procedure Before Trial Sec. 2.1(a)(vi) (Approved Draft, 1970). A principal argument against disclosure of the identity of witnesses prior to trial has been the danger to the witness, his being subjected either to physical harm or to threats designed to make the witness unavailable or to influence him to change his testimony. Discovery in Criminal cases, 44 F.R.D. 481, 499-500 (1968); Ratnoff, The New Criminal Deposition Statute in Ohio - Help or Hindrance to Justice?, 19 Case Western Reserve L.Rev. 279, 284 (1968). See, e.g., United States v. Estep, 151 F.Supp. 668, 672-673 (N.D. Tex. 1957): Ninety percent of the convictions had in the trial court for sale and dissemination of narcotic drugs are linked to the work and the evidence obtained by an informer. If that informer is not to have his life protected there won't be many informers hereafter. See also the dissenting opinion of Mr. Justice Clark in Roviaro v. United States, 353 U.S. 53, 66-67, 77 S.Ct. 623, 1 L.Ed.2d 639 (1957). Threats of market retaliation against witnesses in criminal antitrust cases are another illustration. Bergen Drug Co. v. Parke, Davis & Company, 307 F.2d 725 (3d Cir. 1962); and House of Materials, Inc. v. Simplicity Pattern Co., 298 F.2d 867 (2d Cir. 1962). The government has two alternatives when it believes disclosure will create an undue risk of harm to the witness: It can ask for a protective order under subdivision (d)(1). See ABA Standards Relating to Discovery and Procedure Before Trial Sec. 2.5(b) (Approved Draft, 1970). It can also move the court to allow the perpetuation of a particular witness's testimony for use at trial if the witness is unavailable or later changes his testimony. The purpose of the latter alternative is to make pretrial disclosure possible and at the same time to minimize any inducement to use improper means to force the witness either to not show up or to change his testimony before a jury. See rule 15. Subdivision (a)(2) is substantially unchanged. It limits the discovery otherwise allowed by providing that the government need not disclose 'reports, memoranda, or other internal government documents made by the attorney for the government or other government agents in connection with the investigation or prosecution of the case' or 'statements made by government witnesses or prospective government witnesses.' The only proposed change is that the 'reports, memoranda, or other internal government documents made by the attorney for the government' are included to make clear that the work product of the government attorney is protected. See C. Wright, Federal Practice and Procedure: Criminal Sec. 254 n. 92 (1969, Supp. 1971); United States v. Rothman, 179 F.Supp. 935 (W.D.Pa. 1959); Note, 'Work Product' in Criminal Discovery, 1966 Wash.U.L.Q. 321; American Bar Association, Standards Relating to Discovery and Procedure Before Trial Sec. 2.6(a) (Approved Draft, 1970); cf. Hickman v. Taylor, 329 U.S. 495, 67 S.Ct. 385, 91 L.Ed. 451 (1947). Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed2d 215 (1963), requires the disclosure of evidence favorable to the defendant. This is, of course, not changed by this rule. Subdivision (a)(3) is included to make clear that recorded proceedings of a grand jury are explicitly dealt with in rule 6 and subdivision (a)(1)(A) of rule 16 and thus are not covered by other provisions such as subdivision (a)(1)(C) which deals generally with discovery of documents in the possession, custody, or control of the government. Subdivision (a)(4) is designed to insure that the government will not be penalized if it makes a full disclosure of all potential witnesses and then decides not to call one or more of the witnesses listed. This is not, however, intended to abrogate the defendant's right to comment generally upon the government's failure to call witnesses in an appropriate case. Subdivision (b) deals with the government's right to discovery of defense evidence or, put in other terms, with the extent to which a defendant is required to disclose its evidence to the prosecution prior to trial. Subdivision (b) replaces old subdivision (c). Subdivision (b) enlarges the right of government discovery in several ways: (1) it gives the government the right to discovery of lists of defense witnesses as well as physical evidence and the results of examinations and tests; (2) it requires disclosure if the defendant has the evidence under his control and intends to use it at trial in his case in chief, without the additional burden, required by the old rule, of having to show, in behalf of the government, that the evidence is material and the request reasonable; and (3) it gives the government the right to discovery without conditioning that right upon the existence of a prior request for discovery by the defendant. Although the government normally has resources adequate to secure much of the evidence for trial, there are situations in which pretrial disclosure of evidence to the government is in the interest of effective and fair criminal justice administration. For example, the experimental 'omnibus hearing' procedure (see discussion in Advisory Committee Note to rule 12) is based upon an assumption that the defendant, as well as the government, will be willing to disclose evidence prior to trial. Having reached the conclusion that it is desirable to require broader disclosure by the defendant under certain circumstances, the Advisory Committee has taken the view that it is preferable to give the right of discovery to the government independently of a prior request for discovery by the defendant. This is the recommendation of the American Bar Association Standards Relating to Discovery and Procedure Before Trial, Commentary, pp. 43-46 (Approved Draft, 1970). It is sometimes asserted that making the government's right to discovery conditional will minimize the risk that government discovery will be viewed as an infringement of the defendant's constitutional rights. See discussion in C. Wright, Federal Practice and Procedure: Criminal Sec. 256 (1969, Supp.1971); Moore, Criminal Discovery, 19 Hastings L.J. 865 (1968); Wilder, Prosecution Discovery and the Privilege Against Self-Incrimination, 6 Am.Cr.L.Q. 3 (1967). There are assertions that prosecution discovery, even if conditioned upon the defendants being granted discovery, is a violation of the privilege. See statements of Mr. Justice Black and Mr. Justice Douglas, 39 F.R.D. 69, 272, 277-278 19 (1966); C. Wright, Federal Practice and Procedure: Criminal Sec. 256 (1969, Supp. 1971). Several states require defense disclosure of an intended defense of alibi and, in some cases, a list of witnesses in support of an alibi defense, without making the requirement conditional upon prior discovery being given to the defense. E.g., Ariz.R.Crim.P. 162(B), 17 A.R.S. (1956); Ind.Ann.Stat. Sec. 9-1631 to 9-1633 (1956), IC 1971, 35-5-1-1 to 35-5-1-3; Mich.Comp. Laws Ann. Sec. 768.20, 768.21 (1968); N.Y. CPL Sec. 250.20 (McKinney's Consol.Laws, c. 11-A, 1971); and Ohio Rev.Code Ann. Sec. 2945.58 (1954). State courts have refused to hold these statutes violative of the privilege against self-incrimination. See State v. Thayer, 124 Ohio St. 1, 176 N.E. 656 (1931), and People v. Rakiec, 260 App.Div. 452, 23 N.Y.S.2d 607, aff'd, 289 N.Y. 306, 45 N.E.2d 812 (1942). See also rule 12.1 and Advisory Committee Note thereto. Some state courts have held that a defendant may be required to disclose, in advance of trial, evidence which he intends to use on his own behalf at trial without violating the privilege against self-incrimination. See Jones v. Superior Court of Nevada County, 58 Cal.2d 56, 22 Cal.Rptr. 879, 372 P.2d 919 (1962); People v. Lopez, 60 Cal.2d 223, 32 Cal.Iptr. 424, 384 P.2d 16 (1963); Comment, The Self-Incrimination Privilege: Barrier to Criminal Discovery?, 51 Calif.L.Rev. 135 (1963); Note, 76 Harv.L.Rev. 838 (1963). The courts in Jones v. Superior Court of Nevada County, supra, suggests that if mandatory disclosure applies only to those items which the accused intends to introduce in evidence at trial, neither the incriminatory nor the involuntary aspects of the privilege against self-incrimination are present. On balance the Advisory Committee is of the view that an independent right of discovery for both the defendant and the government is likely to contribute to both effective and fair administration. See Louisell, Criminal Discovery and Self-Incrimination: Roger Traynor Confronts the Dilemma, 53 Calif.L.Rev. 89 (1965), for an analysis of the difficulty of weighing the value of broad discovery against the value which inheres in not requiring the defendant to disclose anything which might work to his disadvantage. Subdivision (b)(1)(A) provides that the defendant shall disclose any documents and tangible objects which he has in his possession, custody, or control and which he intends to introduce in evidence in his case in chief. Subdivision (b)(1)(B) provides that the defendant shall disclose the results of physical or mental examinations and scientific tests or experiments if (a) they were made in connection with a particular case; (b) the defendant has them under his control; and (c) he intends to offer them in evidence in his case in chief or which were prepared by a defense witness and the results or reports relate to the witness's testimony. In cases where both prosecution and defense have employed experts to conduct tests such as psychiatric examinations, it seems as important for the government to be able to study the results reached by defense experts which are to be called by the defendant as it does for the defendant to study those of government experts. See Schultz, Criminal Discovery by the Prosecution: Frontier Developments and Some Proposals for the Future, 22 N.Y.U.Intra.L.Rev. 268 (1967); American Bar Association, Standards Relating to Discovery and Procedure Before Trial Sec. 3.2 (Supp., Approved Draft, 1970). Subdivision (b)(1)(C) provides for discovery of a list of witnesses the defendant intends to call in his case in chief. State cases have indicated that disclosure of a list of defense witnesses does not violate the defendant's privilege against self-incrimination. See Jones v. Superior Court of Nevada County, supra, and People v. Lopez, supra. The defendant has the same option as does the government if it is believed that disclosure of the identity of a witness may subject that witness to harm or a threat of harm. The defendant can ask for a protective order under subdivision (d)(1) or can take a deposition in accordance with the terms of rule 15. Subdivision (b)(2) is unchanged, appearing as the last sentence of subdivision (c) of old rule 16. Subdivision (b)(3) provides that the defendant's failure to introduce evidence or call witnesses shall not be admissible in evidence against him. In states which require pretrial disclosure of witnesses' identity, the prosecution is not allowed to comment upon the defendant's failure to call a listed witness. See O'Connor v. State, 31 Wis.2d 684, 143 N.W.2d 489 (1966); People v. Mancini, 6 N.Y.2d 853, 188 N.Y.S.2d 559, 160 N.E.2d 91 (1959); and State v. Cocco, 73 Ohio App. 182, 55 N.E.2d 430 (1943). This is not, however, intended to abrogate the government's right to comment generally upon the defendant's failure to call witnesses in an appropriate case, other than the defendant's failure to testify. Subdivision (c) is a restatement of part of old rule 16(g). Subdivision (d)(1) deals with the protective order. Although the rule does not attempt to indicate when a protective order should be entered, it is obvious that one would be appropriate where there is reason to believe that a witness would be subject to physical or economic harm if his identity is revealed. See Will v. United States, 389 U.S. 90, 88 S.Ct. 269, 19 L.Ed.2d 305 (1967). The language 'by the judge alone' is not meant to be inconsistent with Alderman v. United States, 394 U.S. 165, 89 S.Ct. 961, 22 L.Ed.2d 176 (1969). In Alderman the court points out that there may be appropriate occasions for the trial judge to decide questions relating to pretrial disclosure. See Alderman v. United States, 394 U.S. at 182 n. 14, 89 S.Ct. 961. Subdivision (d)(2) is a restatement of part of old rule 16(g) and (d). Old subdivision (f) of rule 16 dealing with time of motions is dropped because rule 12(c) provides the judge with authority to set the time for the making of pretrial motions including requests for discovery. Rule 12 also prescribes the consequences which follow from a failure to make a pretrial motion at the time fixed by the court. See rule 12(f). NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 16 of the Federal Rules of Criminal Procedure regulates discovery by the defendant of evidence in possession of the prosecution, and discovery by the prosecution of evidence in possession of the defendant. The present rule permits the defendant to move the court to discover certain material. The prosecutor's discovery is limited and is reciprocal - that is, if the defendant is granted discovery of certain items, then the prosecution may move for discovery of similar items under the defendant's control. As proposed to be amended, the rule provides that the parties themselves will accomplish discovery - no motion need be filed and no court order is necessary. The court will intervene only to resolve a dispute as to whether something is discoverable or to issue a protective order. The proposed rule enlarges the scope of the defendant's discovery to include a copy of his prior criminal record and a list of the names and addresses, plus record of prior felony convictions, of all witnesses the prosecution intends to call during its case-in-chief. It also permits the defendant to discover the substance of any oral statement of his which the prosecution intends to offer at trial, if the statement was given in response to interrogation by any person known by defendant to be a government agent. Proposed subdivision (a)(2) provides that Rule 16 does not authorize the defendant to discover 'reports, memoranda, or other internal government documents made by the attorney for the government or other government agents in connection with the investigation or prosecution of the case. . . .' The proposed rule also enlarges the scope of the government's discovery of materials in the custody of the defendant. The government is entitled to a list of the names and addresses of the witnesses the defendant intends to call during his case-in-chief. Proposed subdivision (b)(2) protects the defendant from having to disclose 'reports, memoranda, or other internal defense documents . . . made in connection with the investigation or defense of the case. . . .' Subdivision (d)(1) of the proposed rule permits the court to deny, restrict, or defer discovery by either party, or to make such other order as is appropriate. Upon request, a party may make a showing that such an order is necessary. This showing shall be made to the judge alone if the party so requests. If the court enters an order after such a showing, it must seal the record of the showing and preserve it in the event there is an appeal. B. Committee Action. The Committee agrees that the parties should, to the maximum possible extent, accomplish discovery themselves. The court should become involved only when it is necessary to resolve a dispute or to issue an order pursuant to subdivision (d). Perhaps the most controversial amendments to this rule were those dealing with witness lists. Under present law, the government must turn over a witness list only in capital cases. (Section 3432 of title 18 of the United States Code provides: A person charged with treason or other capital offense shall at least three entire days before commencement of trial be furnished with a copy of the indictment and a list of the veniremen, and of the witnesses to be produced on the trial for proving the indictment, stating the place of abode of each venireman and witness.) The defendant never needs to turn over a list of his witnesses. The proposed rule requires both the government and the defendant to turn over witness lists in every case, capital or noncapital. Moreover, the lists must be furnished to the adversary party upon that party's request. The proposed rule was sharply criticized by both prosecutors and defenders. The prosecutors feared that pretrial disclosure of prosecution witnesses would result in harm to witnesses. The defenders argued that a defendant cannot constitutionally be compelled to disclose his witnesses. The Committee believes that it is desirable to promote greater pretrial discovery. As stated in the Advisory Committee Note, broader discovery by both the defense and the prosecution will contribute to the fair and efficient administration of criminal justice by aiding in informed plea negotiations, by minimizing the undesirable effect of surprise at trial, and by otherwise contributing to an accurate determination of the issue of guilt or innocence. . . . The Committee, therefore, endorses the principle that witness lists are discoverable. However, the Committee has attempted to strike a balance between the narrow provisions of existing law and the broad provisions of the proposed rule. The Committee rule makes the procedures defendant-triggered. If the defendant asks for and receives a list of prosecution witnesses, then the prosecution may request a list of defense witnesses. The witness lists need not be turned over until 3 days before trial. The court can modify the terms of discovery upon a sufficient showing. Thus, the court can require disclosure of the witness lists earlier than 3 days before trial, or can permit a party not to disclose the identity of a witness before trial. The Committee provision promotes broader discovery and its attendant values - informed disposition of cases without trial, minimizing the undesirable effect of surprise, and helping insure that the issue of guilt or innocence is accurately determined. At the same time, it avoids the problems suggested by both the prosecutors and the defenders. The major argument advanced by prosecutors is the risk of danger to their witnesses if their identities are disclosed prior to trial. The Committee recognizes that there may be a risk but believes that the risk is not as great as some fear that it is. Numerous states require the prosecutor to provide the defendant with a list of prosecution witnesses prior to trial. (These States include Alaska, Arizona, Arkansas, California, Colorado, Florida, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, Oklahoma, Oregon, Tennessee, and Utah. See Advisory Committee Note, House Document 93-292, at 60.) The evidence before the Committee indicates that these states have not experienced unusual problems of witness intimidation. (See the comments of the Standing Committee on Criminal Law and Procedure of the State Bar of California in Hearings II, at 302.) Some federal jurisdictions have adopted an omnibus pretrial discovery procedure that calls upon the prosecutor to give the defendant its witness lists. One such jurisdiction is the Southern District of California. The evidence before the Committee indicates that there has been no unusual problems with witness intimidation in that district. Charles Sevilla, Chief Trial Attorney for the Federal Defenders of San Diego, Inc., which operates in the Southern District of California, testified as follows: The Government in one of its statements to this committee indicated that providing the defense with witness lists will cause coerced witness perjury. This does not happen. We receive Government witness lists as a matter of course in the Southern District, and it's a rare occasion when there is any overture by a defense witness or by a defendant to a Government witness. It simply doesn't happen except on the rarest of occasion. When the Government has that fear it can resort to the protective order. (Hearings II, at 42.) Mr. Sevilla's observations are corroborated by the views of the U.S. Attorney for the Southern District of California: Concerning the modifications to Rule 16, we have followed these procedures informally in this district for a number of years. We were one of the districts selected for the pilot projects of the Omnibus Hearing in 1967 or 1968. We have found that the courts in our district will not require us to disclose names of proposed witnesses when in our judgment to do so would not be advisable. Otherwise we routinely provide defense counsel with full discovery, including names and addresses of witnesses. We have not had any untoward results by following this program, having in mind that the courts will, and have, excused us from discovery where the circumstances warrant. (Hearings I, at 109.) Much of the prosecutorial criticism of requiring the prosecution to give a list of its witnesses to the defendant reflects an unwillingness to trust judges to exercise sound judgment in the public interest. Prosecutors have stated that they frequently will open their files to defendants in order to induce pleas. (See testimony of Richard L. Thornburgh, United States Attorney for the Western District of Pennsylvania, in Hearings I, at 150.) Prosecutors are willing to determine on their own when they can do this without jeopardizing the safety of witnesses. There is no reason why a judicial officer cannot exercise the same discretion in the public interest. The Committee is convinced that in the usual case there is no serious risk of danger to prosecution witnesses from pretrial disclosure of their identities. In exceptional instances, there may be a risk of danger. The Committee rule, however, is capable of dealing with those exceptional instances while still providing for disclosure of witnesses in the usual case. The Committee recognizes the force of the constitutional arguments advanced by defenders. Requiring a defendant, upon request, to give to the prosecution material which may be incriminating, certainly raises very serious constitutional problems. The Committee deals with these problems by having the defendant trigger the discovery procedures. Since the defendant has no constitutional right to discover any of the prosecution's evidence (unless it is exculpatory within the meaning of Brady v. Maryland, 373 U.S. 83 (1963)), it is permissible to condition his access to nonexculpatory evidence upon his turning over a list of defense witnesses. Rule 16 currently operates in this manner. The Committee also changed subdivisions (a)(2) and (b)(2), which set forth 'work product' exceptions to the general discovery requirements. The subsections proposed by the Supreme Court are cast in terms of the type of document involved (e. g., report), rather than in terms of the content (e. g., legal theory). The Committee recast these provisions by adopting language from Rule 26(b)(3) of the Federal Rules of Civil Procedure. The Committee notes that subdivision (a)(1)(C) permits the defendant to discover certain items that 'were obtained from or belong to the defendant.' The Committee believes that, as indicated in the Advisory Committee Note (House Document 93-292, at 59), items that 'were obtained from or belong to the defendant' are items that are material to the preparation of his defense. The Committee added language to subdivision (a)(1)(B) to conform it to provisions in subdivision (a)(1)(A). The rule as changed by the Committee requires the prosecutor to give the defendant such copy of the defendant's prior criminal record as is within the prosecutor's 'possession, custody, or control, the existence of which is known, or by the exercise of due diligence may become known' to the prosecutor. The Committee also made a similar conforming change in subdivision (a)(1)(E), dealing with the criminal records of government witnesses. The prosecutor can ordinarily discharge his obligation under these two subdivisions, (a)(1)(B) and (E), by obtaining a copy of the F.B.I. 'rap sheet.' The Committee made an additional change in subdivision (a)(1)(E). The proposed rule required the prosecutor to provide the defendant with a record of the felony convictions of government witnesses. The major purpose for letting the defendant discover information about the record of government witnesses, is to provide him with information concerning the credibility of those witnesses. Rule 609(a) of the Federal Rules of Evidence permits a party to attack the credibility of a witness with convictions other than just felony convictions. The Committee, therefore, changed subdivision (a)(1)(E) to require the prosecutor to turn over a record of all criminal convictions, not just felony convictions. The Committee changed subdivision (d)(1), which deals with protective orders. Proposed (d)(1) required the court to conduct an ex parte proceeding whenever a party so requested. The Committee changed the mandatory language to permissive language. A Court may, not must, conduct an ex parte proceeding if a party so requests. Thus, if a party requests a protective or modifying order and asks to make its showing ex parte, the court has two separate determinations to make. First, it must determine whether an ex parte proceeding is appropriate, bearing in mind that ex parte proceedings are disfavored and not to be encouraged. (An ex parte proceeding would seem to be appropriate if any adversary proceeding would defeat the purpose of the protective or modifying order. For example, the identity of a witness would be disclosed and the purpose of the protective order is to conceal that witness' identity.) Second, it must determine whether a protective or modifying order shall issue. CONFERENCE COMMITTEE NOTES, HOUSE REPORT NO. 94-414; 1975 AMENDMENT Rule 16 deals with pretrial discovery by the defendant and the government. The House and Senate versions of the bill differ on Rule 16 in several respects. A. Reciprocal vs. Independent Discovery for the Government. - The House version of the bill provides that the government's discovery is reciprocal. If the defendant requires and receives certain items from the government, then the government is entitled to get similar items from the defendant. The Senate version of the bill gives the government an independent right to discover material in the possession of the defendant. The Conference adopts the House provisions. B. Rule 16(a)(1)(A). - The House version permits an organization to discover relevant recorded grand jury testimony of any witness who was, at the time of the acts charged or of the grand jury proceedings, so situated as an officer or employee as to have been able legally to bind it in respect to the activities involved in the charges. The Senate version limits discovery of this material to testimony of a witness who was, at the time of the grand jury proceeding, so situated as an officer or employee as to have been legally to bind the defendant in respect to the activities involved in the charges. The Conferees share a concern that during investigations, ex-employees and ex-officers of potential corporate defendants are a critical source of information regarding activities of their former corporate employers. It is not unusual that, at the time of their testimony or interview, these persons may have interests which are substantially adverse to or divergent from the putative corporate defendant. It is also not unusual that such individuals, though no longer sharing a community of interest with the corporation, may nevertheless be subject to pressure from their former employers. Such pressure may derive from the fact that the ex-employees or ex-officers have remained in the same industry or related industry, are employed by competitors, suppliers, or customers of their former employers, or have pension or other deferred compensation arrangements with former employers. The Conferees also recognize that considerations of fairness require that a defendant corporation or other legal entity be entitled to the grand jury testimony of a former officer or employee if that person was personally involved in the conduct constituting the offense and was able legally to bind the defendant in respect to the conduct in which he was involved. The Conferees decided that, on balance, a defendant organization should not be entitled to the relevant grand jury testimony of a former officer or employee in every instance. However, a defendant organization should be entitled to it if the former officer or employee was personally involved in the alleged conduct constituting the offense and was so situated as to have been able legally to bind the defendant in respect to the alleged conduct. The Conferees note that, even in those situations where the rule provides for disclosure of the testimony, the Government may, upon a sufficient showing, obtain a protective or modifying order pursuant to Rule 16(d)(1). The Conference adopts a provision that permits a defendant organization to discover relevant grant jury testimony of a witness who (1) was, at the time of his testimony, so situated as an officer or employee as to have been able legally to bind the defendant in respect to conduct constituting the offense, or (2) was, at the time of the offense, personally involved in the alleged conduct constituting the offense and so situated as an officer or employee as to have been able legally to bind the defendant in respect to that alleged conduct in which he was involved. C. Rules 16(a)(1)(E) and (b)(1)(C) (witness lists). - The House version of the bill provides that each party, the government and the defendant, may discover the names and addresses of the other party's witnesses 3 days before trial. The Senate version of the bill eliminates these provisions, thereby making the names and addresses of a party's witnesses nondiscoverable. The Senate version also makes a conforming change in Rule 16(d)(1). The Conference adopts the Senate version. A majority of the Conferees believe it is not in the interest of the effective administration of criminal justice to require that the government or the defendant be forced to reveal the names and addresses of its witnesses before trial. Discouragement of witnesses and improper contact directed at influencing their testimony, were deemed paramount concerns in the formulation of this policy. D. Rules 16(a)(2) and (b)(2). - Rules 16(a)(2) and (b)(2) define certain types of materials ('work product') not to be discoverable. The House version defines work product to be 'the mental impressions, conclusions, opinions, or legal theories of the attorney for the government or other government agents.' This is parallel to the definition in the Federal Rules of Civil Procedure. The Senate version returns to the Supreme Court's language and defines work product to be 'reports, memoranda, or other internal government documents.' This is the language of the present rule. The Conference adopts the Senate provision. The Conferees note that a party may not avoid a legitimate discovery request merely because something is labelled 'report', 'memorandum', or 'internal document'. For example if a document qualifies as a statement of the defendant within the meaning of the Rule 16(a)(1)(A), then the labelling of that document as 'report', 'memorandum', or 'internal government document' will not shield that statement from discovery. Likewise, if the results of an experiment qualify as the results of a scientific test within the meaning of Rule 16(b)(1)(B), then the results of that experiment are not shielded from discovery even if they are labelled 'report', 'memorandum', or 'internal defense document'. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (a)(3). The added language is made necessary by the addition of Rule 26.2 and new subdivision (i) of Rule 12, which contemplate the production of statements, including those made to a grand jury, under specified circumstances. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENTS Subd. (a)(1). Pub. L. 94-64 amended subpars. (A), (B), and (D) generally, and struck out subpar. (E). Subd. (a)(4). Pub. L. 94-149 struck out par. (4) 'Failure to Call Witness. The fact that a witness' name is on a list furnished under this rule shall not be grounds for comment upon a failure to call the witness.' Subd. (b)(1). Pub. L. 94-64 amended subpars. (A) and (B) generally, and struck out subpar. (C). Subd. (b)(3). Pub. L. 94-149 struck out par. (3) 'Failure to Call Witness. The fact that a witness' name is on a list furnished under this rule shall not be grounds for a comment upon a failure to call a witness.' Subd. (c). Pub. L. 94-64 amended subd. (c) generally. Subd. (d)(1). Pub. L. 94-64 amended par. (1) generally. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Motion for order to inspect, copy or photograph, see rule 34, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Demands for production of statements and reports of witnesses, see section 3500 of this title. Subpoena to produce books, papers or other documents, see rule 17. ------DocID 25097 Document 1339 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 17 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 17. Subpoena -STATUTE- (a) For Attendance of Witnesses; Form; Issuance. A subpoena shall be issued by the clerk under the seal of the court. It shall state the name of the court and the title, if any, of the proceeding, and shall command each person to whom it is directed to attend and give testimony at the time and place specified therein. The clerk shall issue a subpoena, signed and sealed but otherwise in blank to a party requesting it, who shall fill in the blanks before it is served. A subpoena shall be issued by a United States magistrate in a proceeding before that magistrate, but it need not be under the seal of the court. (b) Defendants Unable to Pay. The court shall order at any time that a subpoena be issued for service on a named witness upon an ex parte application of a defendant upon a satisfactory showing that the defendant is financially unable to pay the fees of the witness and that the presence of the witness is necessary to an adequate defense. If the court orders the subpoena to be issued the costs incurred by the process and the fees of the witness so subpoenaed shall be paid in the same manner in which similar costs and fees are paid in case of a witness subpoenaed in behalf of the government. (c) For Production of Documentary Evidence and of Objects. A subpoena may also command the person to whom it is directed to produce the books, papers, documents or other objects designated therein. The court on motion made promptly may quash or modify the subpoena if compliance would be unreasonable or oppressive. The court may direct that books, papers, documents or objects designated in the subpoena be produced before the court at a time prior to the trial or prior to the time when they are to be offered in evidence and may upon their production permit the books, papers, documents or objects or portions thereof to be inspected by the parties and their attorneys. (d) Service. A subpoena may be served by the marshal, by a deputy marshal or by any other person who is not a party and who is not less than 18 years of age. Service of a subpoena shall be made by delivering a copy thereof to the person named and by tendering to that person the fee for 1 day's attendance and the mileage allowed by law. Fees and mileage need not be tendered to the witness upon service of a subpoena issued in behalf of the United States or an officer or agency thereof. (e) Place of Service. (1) In United States. A subpoena requiring the attendance of a witness at a hearing or trial may be served at any place within the United States. (2) Abroad. A subpoena directed to a witness in a foreign country shall issue under the circumstances and in the manner and be served as provided in Title 28, U.S.C., Sec. 1783. (f) For Taking Deposition; Place of Examination. (1) Issuance. An order to take a deposition authorizes the issuance by the clerk of the court for the district in which the deposition is to be taken of subpoenas for the persons named or described therein. (2) Place. The witness whose deposition is to be taken may be required by subpoena to attend at any place designated by the trial court, taking into account the convenience of the witness and the parties. (g) Contempt. Failure by any person without adequate excuse to obey a subpoena served upon that person may be deemed a contempt of the court from which the subpoena issued or of the court for the district in which it issued if it was issued by a United States magistrate. (h) Information Not Subject to Subpoena. Statements made by witnesses or prospective witnesses may not be subpoenaed from the government or the defendant under this rule, but shall be subject to production only in accordance with the provisions of Rule 26.2. -SOURCE- (As amended Dec. 27, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(29), 89 Stat. 375; Apr. 30, 1979, eff. Dec. 1, 1980; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is substantially the same as Rule 45(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (b). This rule preserves the existing right of an indigent defendant to secure attendance of witnesses at the expense of the Government, 28 U.S.C. (former) 656 (Witnesses for indigent defendants). Under existing law, however, the right is limited to witnesses who are within the district in which the court is held or within one hundred miles of the place of trial. No procedure now exists whereby an indigent defendant can procure at Government expense the attendance of witnesses found in another district and more than 100 miles of the place of trial. This limitation is abrogated by the rule so that an indigent defendant will be able to secure the attendance of witnesses at the expense of the Government no matter where they are located. The showing required by the rule to justify such relief is the same as that now exacted by 28 U.S.C. (former) 656. Note to Subdivision (c). This rule is substantially the same as Rule 45(b) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (d). This rule is substantially the same as Rule 45(c) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). The provision permitting persons other than the marshal to serve the subpoena, and requiring the payment of witness fees in Government cases is new matter. Note to Subdivision (e)(1). This rule continues existing law, 28 U.S.C. (former) 654 (Witnesses; subpoenas; may run into another district). The rule is different in civil cases in that in such cases, unless a statute otherwise provides, a subpoena may be served only within the district or within 100 miles of the place of trial, 28 U.S.C. (former) 654; Rule 45(e)(1) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (e)(2). This rule is substantially the same as Rule 45(e)(2) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). See Blackmer v. United States, 284 U.S. 421, upholding the validity of the statute referred to in the rule. Note to Subdivision (f). This rule is substantially the same as Rule 45(d) of the Federal Rules of Civil Procedure (28 U.S.C, Appendix). Note to Subdivision (g). This rule is substantially the same as Rule 45(f) of the Federal Rules of Civil Procedure (28 U.S.C, Appendix). NOTES OF ADVISORY COMMITTEE ON RULES - 1948 AMENDMENT The amendment is to substitute proper reference to Title 28 in place of the repealed act. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (b). - Criticism has been directed at the requirement that an indigent defendant disclose in advance the theory of his defense in order to obtain the issuance of a subpoena at government expense while the government and defendants able to pay may have subpoenas issued in blank without any disclosure. See Report of the Attorney General's Committee on Poverty and the Administration of Criminal Justice (1963) p. 27. The Attorney General's Committee also urged that the standard of financial inability to pay be substituted for that of indigency. Id. at 40-41. In one case it was held that the affidavit filed by an indigent defendant under this subdivision could be used by the government at his trial for purposes of impeachment. Smith v. United States, 312 F.2d 867 (D.C.Cir. 1962). There has also been doubt as to whether the defendant need make a showing beyond the face of his affidavit in order to secure issuance of a subpoena. Greenwell v. United States, 317 F.2d 108 (D.C.Cir. 1963). The amendment makes several changes. The references to a judge are deleted since applications should be made to the court. An ex parte application followed by a satisfactory showing is substituted for the requirement of a request or motion supported by affidavit. The court is required to order the issuance of a subpoena upon finding that the defendant is unable to pay the witness fees and that the presence of the witness is necessary to an adequate defense. Subdivision (d). - The subdivision is revised to bring it into conformity with 28 U.S.C. Sec. 1825. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivisions (a) and (g) are amended to reflect the existence of the 'United States magistrate,' a phrase defined in rule 54. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Subdivision (f)(2) is amended to provide that the court has discretion over the place at which the deposition is to be taken. Similar authority is conferred by Civil Rule 45(d)(2). See C. Wright, Federal Practice and Procedure: Criminal Sec. 278 (1969). Ordinarily the deposition should be taken at the place most convenient for the witness but, under certain circumstances, the parties may prefer to arrange for the presence of the witness at a place more convenient to counsel. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 17 of the Federal Rules of Criminal Procedure deals with subpoenas. Subdivision (f)(2) as proposed by the Supreme Court provides: The witness whose deposition is to be taken may be required by subpoena to attend at any place designated by the trial court. B. Committee Action. The Committee added language to the proposed amendment that directs the court to consider the convenience of the witness and the parties when compelling a witness to attend where a deposition will be taken. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Note to Subdivision (h). This addition to rule 17 is necessary in light of proposed rule 26.2, which deals with the obtaining of statements of government and defense witnesses. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENT Subd. (f)(2). Pub. L. 94-64 amended par. (2) generally. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1979 AMENDMENT Amendment of this rule by addition of subd. (h) by order of the United States Supreme Court of Apr. 30, 1979, effective Dec. 1, 1980, see section 1(1) of Pub. L. 96-42, July 31, 1979, 93 Stat. 326, set out as a note under section 3771 of this title. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. SUPERSEDURE Provision of subd. (d) of this rule that witness shall be tendered the fee for 1 day's attendance and mileage allowed by law as superseded by section 1825 of Title 28, Judiciary and Judicial Procedure, see such section and Reviser's Note thereunder. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Subpoena, see rule 45, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Demands for production of statements and reports of witnesses, see section 3500 of this title. Deposition of witnesses, see rule 15. Marshal's fee for service of subpoena, see section 1921 of Title 28, Judiciary and Judicial Procedure. Per diem and mileage of witnesses generally, see section 1821 of Title 28. ------DocID 25098 Document 1340 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 17.1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IV -HEAD- Rule 17.1. Pretrial Conference -STATUTE- At any time after the filing of the indictment or information the court upon motion of any party or upon its own motion may order one or more conferences to consider such matters as will promote a fair and expeditious trial. At the conclusion of a conference the court shall prepare and file a memorandum of the matters agreed upon. No admissions made by the defendant or the defendant's attorney at the conference shall be used against the defendant unless the admissions are reduced to writing and signed by the defendant and the defendant's attorney. This rule shall not be invoked in the case of a defendant who is not represented by counsel. -SOURCE- (Added Feb. 28, 1966, eff. July 1, 1966, and amended Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This new rule establishes a basis for pretrial conferences with counsel for the parties in criminal cases within the discretion of the court. Pretrial conferences are now being utilized to some extent even in the absence of a rule. See, generally, Brewster, Criminal Pre-Trials - Useful Techniques, 29 F.R.D. 442 (1962); Estes, Pre-Trial Conferences in Criminal Cases, 23 F.R.D. 560 (1959); Kaufman, Pre-Trial in Criminal Cases, 23 F.R.D. 551 (1959); Kaufman, Pre-Trial in Criminal Cases, 42 J.Am.Jud.Soc. 150 (1959); Kaufman, The Appalachian Trial: Further Observations on Pre-Trial in Criminal Cases, 44 J.Am.Jud.Soc. 53 (1960); West, Criminal Pre-Trials - Useful Techniques, 29 F.R.D. 436 (1962); Handbook of Recommended Procedures for the Trial of Protracted Cases, 25 F.R.D. 399-403, 468-470 (1960). Cf. Mo.Sup.Ct. Rule 25.09; Rules Governing the N.J. Courts, Sec. 3:5-3. The rule is cast in broad language so as to accommodate all types of pretrial conferences. As the third sentence suggests, in some cases it may be desirable or necessary to have the defendant present. See Committee on Pretrial Procedure of the Judicial Conference of the United States, Recommended Procedures in Criminal Pretrials, 37 F.R.D. 95 (1965). NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. ------DocID 25099 Document 1341 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE V -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS V -HEAD- V. VENUE ------DocID 24782 Document 1342 of 1438------ -CITE- 18 USC Sec. 3434 -EXPCITE- TITLE 18 PART II CHAPTER 221 -HEAD- Sec. 3434. Presence of defendant - (Rule) -STATUTE- SEE FEDERAL RULES OF CRIMINAL PROCEDURE Right of defendant to be present generally; corporation; waiver, Rule 43. -SOURCE- (June 25, 1948, ch. 645, 62 Stat. 831.) ------DocID 25101 Document 1343 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE (Rule 19 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS V -HEAD- (Rule 19. Transfer Within the District) (Rescinded Feb. 28, 1966, eff. July 1, 1966) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Rule 19 is rescinded in view of the amendments being proposed to rule 18. ------DocID 25102 Document 1344 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 20 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS V -HEAD- Rule 20. Transfer From the District for Plea and Sentence -STATUTE- (a) Indictment or Information Pending. A defendant arrested, held, or present in a district other than that in which an indictment or information is pending against that defendant may state in writing a wish to plead guilty or nolo contendere, to waive trial in the district in which the indictment or information is pending, and to consent to disposition of the case in the district in which that defendant was arrested, held, or present, subject to the approval of the United States attorney for each district. Upon receipt of the defendant's statement and of the written approval of the United States attorneys, the clerk of the court in which the indictment or information is pending shall transmit the papers in the proceeding or certified copies thereof to the clerk of the court for the district in which the defendant is arrested, held, or present, and the prosecution shall continue in that district. (b) Indictment or Information Not Pending. A defendant arrested, held, or present, in a district other than the district in which a complaint is pending against that defendant may state in writing a wish to plead guilty or nolo contendere, to waive venue and trial in the district in which the warrant was issued, and to consent to disposition of the case in the district in which that defendant was arrested, held, or present, subject to the approval of the United States attorney for each district. Upon filing the written waiver of venue in the district in which the defendant is present, the prosecution may proceed as if venue were in such district. (c) Effect of Not Guilty Plea. If after the proceeding has been transferred pursuant to subdivision (a) or (b) of this rule the defendant pleads not guilty, the clerk shall return the papers to the court in which the prosecution was commenced, and the proceeding shall be restored to the docket of that court. The defendant's statement that the defendant wishes to plead guilty or nolo contendere shall not be used against that defendant. (d) Juveniles. A juvenile (as defined in 18 U.S.C. Sec. 5031) who is arrested, held, or present in a district other than that in which the juvenile is alleged to have committed an act in violation of a law of the United States not punishable by death or life imprisonment may, after having been advised by counsel and with the approval of the court and the United States attorney for each district, consent to be proceeded against as a juvenile delinquent in the district in which the juvenile is arrested, held, or present. The consent shall be given in writing before the court but only after the court has apprised the juvenile of the juvenile's rights, including the right to be returned to the district in which the juvenile is alleged to have committed the act, and of the consequences of such consent. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(30), 89 Stat. 375; Apr. 28, 1982, eff. Aug. 1, 1982; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule introduces a new procedure in the interest of defendants who intend to plead guilty and are arrested in a district other than that in which the prosecution has been instituted. This rule would accord to a defendant in such a situation an opportunity to secure a disposition of the case in the district where the arrest takes place, thereby relieving him of whatever hardship may be involved in a removal to the place where the prosecution is pending. In order to prevent possible interference with the administration of justice, however, the consent of the United States attorneys involved is required. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Rule 20 has proved to be most useful. In some districts, however, literal compliance with the procedures spelled out by the rule has resulted in unnecessary delay in the disposition of cases. This delay has been particularly troublesome where the defendant has been arrested prior to the filing of an indictment or information against him. See e.g., the procedure described in Donovan v. United States, 205 F.2d 557 (10th Cir. 1953). Furthermore, the benefit of the rule has not been available to juveniles electing to be proceeded against under 18 U.S.C. Sec. 5031-5037. In an attempt to clarify and simplify the procedure the rule has been recast into four subdivisions. Subdivision (a). - This subdivision is intended to apply to the situation in which an indictment or information is pending at the time at which the defendant indicates his desire to have the transfer made. Two amendments are made to the present language of the rule. In the first sentence the words 'or held' and 'or is held' are added to make it clear that a person already in state or federal custody within a district may request a transfer of federal charges pending against him in another district. See 4 Barron, Federal Practice and Procedure 146 (1951). The words 'after receiving a copy of the indictment or information' are deleted. The defendant should be permitted, if he wishes, to initiate transfer proceedings under the Rule without waiting for a copy of the indictment or information to be obtained. The defendant is protected against prejudice by the fact that under subdivision (c) he can, in effect, rescind his action by pleading not guilty after the transfer has been completed. Subdivision (b). - This subdivision is intended to apply to the situation in which no indictment or information is pending but the defendant has been arrested on a warrant issued upon a complaint in another district. Under the procedure set out he may initiate the transfer proceedings without waiting for the filing of an indictment or information in the district where the complaint is pending. Also it is made clear that the defendant may validate an information previously filed by waiving indictment in open court when he is brought before the court to plead. See United States v. East, 5 F.R.D. 389. (N.D. Ind. 1946); Potter v. United States, 36 F.R.D. 394 (W.D. Mo. 1965). Here again the defendant is fully protected by the fact that at the time of pleading in the transferee court he may then refuse to waive indictment and rescind the transfer by pleading not guilty. Subdivision (c). - The last two sentences of the original rule are included here. The last sentence is amended to forbid use against the defendant of his statement that he wishes to plead guilty or nolo contendere whether or not he was represented by counsel when it was made. Since under the amended rule the defendant may make his statement prior to receiving a copy of the indictment or information, it would be unfair to permit use of that statement against him. Subdivision (d). - Under 18 U.S.C. Sec. 5033 a juvenile who has committed an act in violation of the law of the United States in one district and is apprehended in another must be returned to the district 'having cognizance of the alleged violation' before he can consent to being proceeded against as a juvenile delinquent. This subdivision will permit a juvenile after he has been advised by counsel and with the approval of the court and the United States attorney to consent to be proceeded against in the district in which he is arrested or held. Consent is required only of the United States attorney in the district of the arrest in order to permit expeditious handling of juvenile cases. If it is necessary to recognize special interests of particular districts where offenses are committed - e.g., the District of Columbia with its separate Juvenile Court (District of Columbia Code Sec. 11-1551(a)) - the Attorney General may do so through his Administrative control over United States Attorneys. Subdivision (e). - This subdivision is added to make it clear that a defendant who appears in one district in response to a summons issued in the district where the offense was committed may initiate transfer proceedings under the rule. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Rule 20 is amended to provide that a person 'present' in a district other than the district in which he is charged with a criminal offense may, subject to the other provisions of rule 20, plead guilty in the district in which he is 'present.' See rule 6(b), Rules of Procedure for the Trial of Minor Offenses Before Magistrates. Under the former rule, practice was to have the district in which the offense occurred issue a bench warrant authorizing the arrest of the defendant in the district in which he was located. This is a procedural complication which serves no interest of either the government or the defense and therefore can properly be dispensed with. Making the fact that a defendant is 'present' in the district an adequate basis for allowing him to plead guilty there makes it unnecessary to retain subdivision (e) which makes appearance in response to a summons equivalent to an arrest. Dropping (e) will eliminate some minor ambiguity created by that subdivision. See C. Wright, Federal Practice and Procedure: Criminal Sec. 322 n. 26, p. 612 (1969, Supp. 1971). There are practical advantages which will follow from the change. In practice a person may turn himself in in a district other than that in which the prosecution is pending. It may be more convenient to have him plead in the district in which he is present rather than having him or the government incur the expense of his return to the district in which the charge is pending. The danger of 'forum shopping' can be controlled by the requirement that both United States Attorneys agree to the handling of the case under provisions of this rule. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 20 of the Federal Rules of Criminal Procedure deals with transferring a defendant from one district to another for the purpose of pleading and being sentenced. It deals with the situation where a defendant is located in one district (A) and is charged with a crime in another district (B). Under the present rule, if such a defendant desires to waive trial and plead guilty or nolo contendere, a judge in district B would issue a bench warrant for the defendant, authorizing his arrest in district A and his transport to district B for the purpose of pleading and being sentenced. The Supreme Court amendments permit the defendant in the above example to plead guilty or nolo contendere in district A, if the United States Attorneys for districts A and B consent. B. Committee Action. The Committee has added a conforming amendment to subdivision (d), which establishes procedures for dealing with defendants who are juveniles. NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT This amendment to subdivision (b) is intended to expedite transfer proceedings under Rule 20. At present, considerable delay - sometimes as long as three or four weeks - occurs in subdivision (b) cases, that is, where no indictment or information is pending. This time is spent on the transmittal of defendant's statement to the district where the complaint is pending, the filing of an information or return of an indictment there, and the transmittal of papers in the case from that district to the district where the defendant is present. Under the amendment, the defendant, by also waiving venue, would make it possible for charges to be filed in the district of his arrest or presence. This would advance the interests of both the prosecution and defendant in a timely entry of a plea of guilty. No change has been made in the requirement that the transfer occur with the consent of both United States attorneys. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENT Subd. (d). Pub. L. 94-64 amended subd. (d) generally. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- CROSS REFERENCES Time of motion to transfer, see rule 22. Transfer from the district or division for trial, see rule 21. ------DocID 25103 Document 1345 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 21 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS V -HEAD- Rule 21. Transfer From the District for Trial -STATUTE- (a) For Prejudice in the District. The court upon motion of the defendant shall transfer the proceeding as to that defendant to another district whether or not such district is specified in the defendant's motion if the court is satisfied that there exists in the district where the prosecution is pending so great a prejudice against the defendant that the defendant cannot obtain a fair and impartial trial at any place fixed by law for holding court in that district. (b) Transfer in Other Cases. For the convenience of parties and witnesses, and in the interest of justice, the court upon motion of the defendant may transfer the proceeding as to that defendant or any one or more of the counts thereof to another district. (c) Proceedings on Transfer. When a transfer is ordered the clerk shall transmit to the clerk of the court to which the proceeding is transferred all papers in the proceeding or duplicates thereof and any bail taken, and the prosecution shall continue in that district. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivisions (a) and (b). 1. This rule introduces an addition to existing law. 'Lawyers not thoroughly familiar with Federal practice are somewhat astounded to learn that they may not move for a change of venue, even if they are able to demonstrate that public feeling in the vicinity of the crime may render impossible a fair and impartial trial. This seems to be a defect in the federal law, which the proposed rules would cure.' Homer Cummings, 29 A.B.A.Jour. 655; Medalie, 4 Lawyers Guild R. (3)1, 5. 2. The rule provides for two kinds of motions that may be made by the defendant for a change of venue. The first is a motion on the ground that so great a prejudice exists against the defendant that he cannot obtain a fair and impartial trial in the district or division where the case is pending. Express provisions to a similar effect are found in many State statutes. See, e.g., Ala. Code (1940), Title 15, sec. 267; Cal.Pen.Code (Deering, 1941), sec. 1033; Conn.Gen.Stat. (1930), sec. 6445; Mass.Gen.Laws (1932) c. 277, sec. 51 (in capital cases); N.Y. Code of Criminal Procedure, sec. 344. The second is a motion for a change of venue in cases involving an offense alleged to have been committed in more than one district or division. In such cases the court, on defendant's motion, will be authorized to transfer the case to another district or division in which the commission of the offense is charged, if the court is satisfied that it is in the interest of justice to do so. The effect of this provision would be to modify the existing practice under which in such cases the Government has the final choice of the jurisdiction where the prosecution should be conducted. The matter will now be left in the discretion of the court. 3. The rule provides for a change of venue only on defendant's motion and does not extend the same right to the prosecution, since the defendant has a constitutional right to a trial in the district where the offense was committed. Constitution of the United States, Article III, Sec. 2, Par. 3; Amendment VI. By making a motion for a change of venue, however, the defendant waives this constitutional right. 4. This rule is in addition to and does not supersede existing statutes enabling a party to secure a change of judge on the ground of personal bias or prejudice, 28 U.S.C. 25 (now 144); or enabling the defendant to secure a change of venue as of right in certain cases involving offenses committed in more than one district, 18 U.S.C. 338a(d) (now 876, 3239) (Mailing threatening communications); Id. sec. 403d(d) (now 875, 3239) (Threatening communications in interstate commerce). Note to Subdivision (c). Cf. 28 U.S.C. 114 (now 1393, 1441) and Rule 20, supra. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a). - All references to divisions are eliminated in accordance with the amendment to Rule 18 eliminating division venue. The defendant is given the right to a transfer only when he can show that he cannot obtain a fair and impartial trial at any place fixed by law for holding court in the district. Transfers within the district to avoid prejudice will be within the power of the judge to fix the place of trial as provided in the amendments to Rule 18. It is also made clear that on a motion to transfer under this subdivision the court may select the district to which the transfer may be made. Cf. United States v. Parr, 17 F.R.D. 512, 519 (S.D.Tex. (1955); Parr v. United States, 351 U.S. 513 (1956). Subdivision (b). - The original rule limited change of venue for reasons other than prejudice in the district to those cases where venue existed in more than one district. Upon occasion, however, convenience of the parties and witnesses and the interest of justice would best be served by trial in a district in which no part of the offense was committed. See, e.g., Travis v. United States, 364 U.S. 631 (1961), holding that the only venue of a charge of making or filing a false non-Communist affidavit required by Sec. 9(h) of the National Labor Relations Act is in Washington, D.C. even though all the relevant witnesses may be located at the place where the affidavit was executed and mailed. See also Barber, Venue in Federal Criminal Cases: A Plea for Return to Principle, 42 Tex.L.Rev. 39 (1963); Wright, Proposed Changes in Federal Civil, Criminal and Appellate Procedure, 35 F.R.D. 317, 329 (1964). The amendment permits a transfer in any case on motion of the defendant on a showing that it would be for the convenience of parties and witnesses, and in the interest of justice. Cf. 28 U.S.C. Sec. 1404(a), stating a similar standard for civil cases. See also Platt v. Minnesota Min. & Mfg. Co., 376 U.S.C. 240 (1964). Here, as in subdivision (a), the court may select the district to which the transfer is to be made. The amendment also makes it clear that the court may transfer all or part of the offenses charged in a multi-count indictment or information. Cf. United States v. Choate, 276 F.2d 724 (5th Cir. 1960). References to divisions are eliminated in accordance with the amendment to Rule 18. Subdivision (c). - The reference to division is eliminated in accordance with the amendment to Rule 18. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- CROSS REFERENCES Bias or prejudice of judge, see section 144 of Title 28, Judiciary and Judicial Procedure. Time of motion to transfer, see rule 22. ------DocID 25104 Document 1346 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 22 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS V -HEAD- Rule 22. Time of Motion To Transfer -STATUTE- A motion to transfer under these rules may be made at or before arraignment or at such other time as the court or these rules may prescribe. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Cf. Rule 12(b)(3). -CROSS- CROSS REFERENCES Time of motion raising defenses and objections before trial, see rule 12. ------DocID 25105 Document 1347 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE VI -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- VI. TRIAL ------DocID 25106 Document 1348 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 23 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 23. Trial by Jury or by the Court -STATUTE- (a) Trial by Jury. Cases required to be tried by jury shall be so tried unless the defendant waives a jury trial in writing with the approval of the court and the consent of the government. (b) Jury of Less Than Twelve. Juries shall be of 12 but at any time before verdict the parties may stipulate in writing with the approval of the court that the jury shall consist of any number less than 12 or that a valid verdict may be returned by a jury of less than 12 should the court find it necessary to excuse one or more jurors for any just cause after trial commences. Even absent such stipulation, if the court finds it necessary to excuse a juror for just cause after the jury has retired to consider its verdict, in the discretion of the court a valid verdict may be returned by the remaining 11 jurors. (c) Trial Without a Jury. In a case tried without a jury the court shall make a general finding and shall in addition, on request made before the general finding, find the facts specially. Such findings may be oral. If an opinion or memorandum of decision is filed, it will be sufficient if the findings of fact appear therein. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; July 30, 1977, Pub. L. 95-78, Sec. 2(b), 91 Stat. 320; Apr. 28, 1983, eff. Aug. 1, 1983.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. This rule is a formulation of the constitutional guaranty of trial by jury, Constitution of the United States, Article III, Sec. 2, Par. 3: 'The Trial of all Crimes, except in Cases of Impeachment, shall be by Jury * * *'; Amendment VI: 'In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury * * *.' The right to a jury trial, however, does not apply to petty offenses, District of Columbia v. Clawans, 300 U.S. 617; Schick v. United States, 195 U.S. 65; Frankfurter and Corcoran, 39 Harv.L.R. 917. Cf. Rule 38(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). 2. The provision for a waiver of jury trial by the defendant embodies existing practice, the constitutionality of which has been upheld, Patton v. United States, 281 U.S. 276; Adams v. United States ex rel. McCann, 317 U.S. 269; Cf. Rules 38 and 39 of Federal Rules of Civil Procedure (28 U.S.C., Appendix). Many States by express statutory provision permit waiver of jury trial in criminal cases. See A.L.I. Code of Criminal Procedure Commentaries, pp. 807-811. Note to Subdivision (b). This rule would permit either a stipulation before the trial that the case be tried by a jury composed of less than 12 or a stipulation during the trial consenting that the case be submitted to less than 12 jurors. The second alternative is useful in case it becomes necessary during the trial to excuse a juror owing to illness or for some other cause and no alternate juror is available. The rule is a restatement of existing practice, the constitutionality of which was approved in Patton v. United States, 281 U.S. 276. Note to Subdivision (c). This rule changes existing law in so far as it requires the court in a case tried without a jury to make special findings of fact if requested. Cf. Connecticut practice, under which a judge in a criminal case tried by the court without a jury makes findings of fact, State v. Frost, 105 Conn. 326. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT This amendment adds to the rule a provision added to Civil Rule 52(a) in 1946. NOTES OF ADVISORY COMMITTEE ON RULES - 1977 AMENDMENT The amendment to subdivision (b) makes it clear that the parties, with the approval of the court, may enter into an agreement to have the case decided by less than twelve jurors if one or more jurors are unable or disqualified to continue. For many years the Eastern District of Virginia has used a form entitled, 'Waiver of Alternate Jurors.' In a substantial percentage of cases the form is signed by the defendant, his attorney, and the Assistant United States Attorney in advance of trial, generally on the morning of trial. It is handled automatically by the courtroom deputy clerk who, after completion, exhibits it to the judge. This practice would seem to be authorized by existing rule 23(b), but there has been some doubt as to whether the pretrial stipulation is effective unless again agreed to by a defendant at the time a juror or jurors have to be excused. See 8 J. Moore, Federal Practice 23.04 (2d. ed. Cipes, 1969); C. Wright, Federal Practice and Procedure: Criminal Sec. 373 (1969). The proposed amendment is intended to make clear that the pretrial stipulation is an effective waiver, which need not be renewed at the time the incapacity or disqualification of the juror becomes known. In view of the fact that a defendant can make an effective pretrial waiver of trial by jury or by a jury of twelve, it would seem to follow that he can also effectively waive trial by a jury of twelve in situations where a juror or jurors cannot continue to serve. As has been the practice under rule 23(b), a stipulation addressed to the possibility that some jurors may later be excused need not be open-ended. That is, the stipulation may be conditioned upon the jury not being reduced below a certain size. See, e.g., Williams v. United States, 332 F.2d 36 (7th Cir. 1964) (agreement to proceed if no more than 2 jurors excused for illness); Rogers v. United States, 319 F.2d 5 (7th Cir. 1963) (same). Subdivision (c) is changed to make clear the deadline for making a request for findings of fact and to provide that findings may be oral. The oral findings, of course, become a part of the record, as findings of fact are essential to proper appellate review on a conviction resulting from a nonjury trial. United States v. Livingston, 459 F.2d 797 (3d Cir. 1972). The meaning of current subdivision (c) has been in some doubt because there is no time specified within which a defendant must make a 'request' that the court 'find the facts specially.' See, e.g., United States v. Rivera, 444 F.2d 136 (2d Cir. 1971), where the request was not made until the sentence had been imposed. In the opinion the court said: This situation might have raised the interesting and apparently undecided question of when a request for findings under Fed. R. Crim. P. 23(c) is too late, since Rivera's request was not made until the day after sentence was imposed. See generally Benchwick v. United States, 297 F.2d 330, 335 (9th Cir. 1961); United States v. Morris, 263 F.2d 594 (7th Cir. 1959). NOTES OF COMMITTEE ON THE JUDICIARY, SENATE REPORT NO. 95-354; 1977 AMENDMENTS PROPOSED BY THE SUPREME COURT Subsection (b) of section 2 of the bill simply approves the Supreme Court proposed changes in subdivisions (b) and (c) of rule 23 for the reasons given by the Advisory Committee on Rules of Practice and Procedure to the Judicial Conference. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (b). The amendment to subdivision (b) addresses a situation which does not occur with great frequency but which, when it does occur, may present a most difficult issue concerning the fair and efficient administration of justice. This situation is that in which, after the jury has retired to consider its verdict and any alternate jurors have been discharged, one of the jurors is seriously incapacitated or otherwise found to be unable to continue service upon the jury. The problem is acute when the trial has been a lengthy one and consequently the remedy of mistrial would necessitate a second expenditure of substantial prosecution, defense and court resources. See, e.g., United States v. Meinster, 484 F.Supp. 442 (S.D.Fla. 1980), aff'd sub nom. United States v. Phillips, 664 F.2d 971 (5th Cir. 1981) (juror had heart attack during deliberations after 'well over four months of trial'); United States v. Barone, 83 F.R.D. 565 (S.D. Fla. 1979) (juror removed upon recommendation of psychiatrist during deliberations after 'approximately six months of trial'). It is the judgment of the Committee that when a juror is lost during deliberations, especially in circumstances like those in Barone and Meinster, it is essential that there be available a course of action other than mistrial. Proceeding with the remaining 11 jurors, though heretofore impermissible under rule 23(b) absent stipulation by the parties and approval of the court, United States v. Taylor, 507 F.2d 166 (5th Cir. 1975), is constitutionally permissible. In Williams v. Florida, 399 U.S. 78 (1970), the Court concluded the fact that the jury at common law was composed of precisely 12 is an historical accident, unnecessary to effect the purposes of the jury system and wholly without significance 'except to mystics.' * * * To read the Sixth Amendment as forever codifying a feature so incidental to the real purpose of the Amendment is to ascribe a blind formalism to the Framers which would require considerably more evidence than we have been able to discover in the history and language of the Constitution or in the reasoning of our past decisions. * * * Our holding does no more than leave these considerations to Congress and the States, unrestrained by an interpretation of the Sixth Amendment which would forever dictate the precise number which can constitute a jury. Williams held that a six-person jury was constitutional because such a jury had the 'essential feature of a jury,' i.e., 'the interposition between the accused and his accuser of the common-sense judgment of a group of laymen, and in the community participation and shared responsibility which results from that group's determination of guilt or innocence,' necessitating only a group 'large enough to promote group deliberation, free from outside attempts at intimidation, and to provide a fair possibility for obtaining a representative cross section of the community.' This being the case, quite clearly the occasional use of a jury of slightly less than 12, as contemplated by the amendment to rule 23(b), is constitutional. Though the alignment of the Court and especially the separate opinion by Justice Powell in Apodoca v. Oregon, 406 U.S. 404 (1972), makes it at best uncertain whether less-than-unanimous verdicts would be constitutionally permissible in federal trials, it hardly follows that a requirement of unanimity of a group slightly less than 12 is similarly suspect. The Meinster case clearly reflects the need for a solution other than mistrial. There twelve defendants were named in a 36-count, 100-page indictment for RICO offenses and related violations, and the trial lasted more than four months. Before the jury retired for deliberations, the trial judge inquired of defense counsel whether they would now agree to a jury of less than 12 should a juror later be unable to continue during the deliberations which were anticipated to be lengthy. All defense counsel rejected that proposal. When one juror was excused a day later after suffering a heart attack, all defense counsel again rejected the proposal that deliberations continue with the remaining 11 jurors. Thus, the solution now provided in rule 23(b), stipulation to a jury of less than 12, was not possible in that case, just as it will not be possible in any case in which defense counsel believe some tactical advantage will be gained by retrial. Yet, to declare a mistrial at that point would have meant that over four months of trial time would have gone for naught and that a comparable period of time would have to be expended on retrial. For a variety of reasons, not the least of which is the impact such a retrial would have upon that court's ability to comply with speedy trial limits in other cases, such a result is most undesirable. That being the case, it is certainly understandable that the trial judge in Meinster (as in Barone) elected to substitute an alternate juror at that point. Given the rule 23(b) bar on a verdict of less than 12 absent stipulation, United States v. Taylor, supra, such substitution seemed the least objectionable course of action. But in terms of what change in the Federal Rules of Criminal Procedure is to be preferred in order to facilitate response to such situations in the future, the judgment of the Advisory Committee is that it is far better to permit the deliberations to continue with a jury of 11 than to make a substitution at that point. In rejecting the substitution-of-juror alternative, the Committee's judgment is in accord with that of most commentators and many courts. There have been proposals that the rule should be amended to permit an alternate to be substituted if a regular juror becomes unable to perform his duties after the case has been submitted to the jury. An early draft of the original Criminal Rules had contained such a provision, but it was withdrawn when the Supreme Court itself indicated to the Advisory Committee on Criminal Rules doubts as to the desirability and constitutionality of such a procedure. These doubts are as forceful now as they were a quarter century ago. To permit substitution of an alternate after deliberations have begun would require either that the alternate participate though he has missed part of the jury discussion, or that he sit in with the jury in every case on the chance he might be needed. Either course is subject to practical difficulty and to strong constitutional objection. Wright, Federal Practice and Procedure, Sec. 388 (1969). See also Moore, Federal Practice par. 24.05 (2d ed. Cipes 1980) ('The inherent coercive effect upon an alternate who joins a jury leaning heavily toward a guilty verdict may result in the alternate reaching a permature guilty verdict'); 3 ABA Standards for Criminal Justice Sec. 15-2.7, commentary (2d ed. 1980) ('It is not desirable to allow a juror who is unfamiliar with the prior deliberations to suddenly join the group and participate in the voting without the benefit of earlier group discussion'); United States v. Lamb, 529 F.2d 1153 (9th Cir. 1975); People v. Ryan, 19 N.Y.2d 100, 224 N.E.2d 710 (1966). Compare People v. Collins, 17 Cal.3d 687, 131 Cal.Rptr. 782, 522 P.2d 742 (1976); Johnson v. State, 267 Ind. 256, 396 N.E.2d 623 (1977). The central difficulty with substitution, whether viewed only as a practical problem or a question of constitutional dimensions (procedural due process under the Fifth Amendment or jury trial under the Sixth Amendment), is that there does not appear to be any way to nullify the impact of what has occurred without the participation of the new juror. Even were it required that the jury 'review' with the new juror their prior deliberations or that the jury upon substitution start deliberations anew, it still seems likely that the continuing jurors would be influenced by the earlier deliberations and that the new juror would be somewhat intimidated by the others by virtue of being a newcomer to the deliberations. As for the possibility of sending in the alternates at the very beginning with instructions to listen but not to participate until substituted, this scheme is likewise attended by practical difficulties and offends 'the cardinal principle that the deliberations of the jury shall remain private and secret in every case.' United States v. Virginia Erection Corp., 335 F.2d 868 (4th Cir. 1964). The amendment provides that if a juror is excused after the jury has retired to consider its verdict, it is within the discretion of the court whether to declare a mistrial or to permit deliberations to continue with 11 jurors. If the trial has been brief and not much would be lost by retrial, the court might well conclude that the unusual step of allowing a jury verdict by less than 12 jurors absent stipulation should not be taken. On the other hand, if the trial has been protracted the court is much more likely to opt for continuing with the remaining 11 jurors. CONGRESSIONAL APPROVAL OF PROPOSED 1977 AMENDMENTS Section 2(b) of Pub. L. 95-78 provided that: 'The amendments proposed by the Supreme Court (in its order of Apr. 26, 1977) to subdivisions (b) and (c) of rule 23 of such Rules of Criminal Procedure (subd. (b) and (c) of this rule) are approved.' EFFECTIVE DATE OF 1977 AMENDMENT Amendment of this rule by order of the United States Supreme Court on Apr. 26, 1976, approved by Pub. L. 95-78, effective Oct. 1, 1977, see section 4 of Pub. L. 95-78, set out as an Effective Date of Pub. L. 95-78 note under section 3771 of this title. GUAM; JURY TRIAL Jury trial, criminal prosecutions in the District Court of Guam, see section 1424 of Title 48, Territories and Insular Possessions. VIRGIN ISLANDS; JURY TRIAL Trial by jury in the Virgin Islands, see section 1616 of Title 48, Territories and Insular Possessions. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Juries of less than twelve, see rule 48, Title 28, Appendix, Judiciary and Judicial Procedure. Jury trial of right, see rule 38. Trial by court and advisory jury, see rule 39. CROSS REFERENCES Guaranty of trial by jury, see Const. Art. 3, sec. 2, cl. 3 and Amend. VI. Trial by jury, see section 1861 et seq. of Title 28, Judiciary and Judicial Procedure. ------DocID 25107 Document 1349 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 24 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 24. Trial Jurors -STATUTE- (a) Examination. The court may permit the defendant or the defendant's attorney and the attorney for the government to conduct the examination of prospective jurors or may itself conduct the examination. In the latter event the court shall permit the defendant or the defendant's attorney and the attorney for the government to supplement the examination by such further inquiry as it deems proper or shall itself submit to the prospective jurors such additional questions by the parties or their attorneys as it deems proper. (b) Peremptory Challenges. If the offense charged is punishable by death, each side is entitled to 20 peremptory challenges. If the offense charged is punishable by imprisonment for more than one year, the government is entitled to 6 peremptory challenges and the defendant or defendants jointly to 10 peremptory challenges. If the offense charged is punishable by imprisonment for not more than one year or by fine or both, each side is entitled to 3 peremptory challenges. If there is more than one defendant, the court may allow the defendants additional peremptory challenges and permit them to be exercised separately or jointly. (c) Alternate Jurors. The court may direct that not more than 6 jurors in addition to the regular jury be called and impanelled to sit as alternate jurors. Alternate jurors in the order in which they are called shall replace jurors who, prior to the time the jury retires to consider its verdict, become or are found to be unable or disqualified to perform their duties. Alternate jurors shall be drawn in the same manner, shall have the same qualifications, shall be subject to the same examination and challenges, shall take the same oath and shall have the same functions, powers, facilities and privileges as the regular jurors. An alternate juror who does not replace a regular juror shall be discharged after the jury retires to consider its verdict. Each side is entitled to 1 peremptory challenge in addition to those otherwise allowed by law if 1 or 2 alternate jurors are to be impanelled, 2 peremptory challenges if 3 or 4 alternate jurors are to be impanelled, and 3 peremptory challenges if 5 or 6 alternate jurors are to be impanelled. The additional peremptory challenges may be used against an alternate juror only, and the other peremptory challenges allowed by these rules may not be used against an alternate juror. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is similar to Rule 47(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix) and also embodies the practice now followed by many Federal courts in criminal cases. Uniform procedure in civil and criminal cases on this point seems desirable. Note to Subdivision (b). This rule embodies existing law, 28 U.S.C. 424 (now 1870) (Challenges), with the following modifications. In capital cases the number of challenges is equalized as between the defendant and the United States so that both sides have 20 challenges, which only the defendant has at present. While continuing the existing rule that multiple defendants are deemed a single party for purposes of challenges, the rule vests in the court discretion to allow additional peremptory challenges to multiple defendants and to permit such challenges to be exercised separately or jointly. Experience with cases involving numerous defendants indicates the desirability of this modification. Note to Subdivision (c). This rule embodies existing law, 28 U.S.C. (former) 417a (Alternate jurors), as well as the practice prescribed for civil cases by Rule 47(b) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix), except that the number of possible alternate jurors that may be impaneled is increased from two to four, with a corresponding adjustment of challenges. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Experience has demonstrated that four alternate jurors may not be enough for some lengthy criminal trials. See e.g., United States v. Bentvena, 288 F.2d 442 (2d Cir. 1961); Reports of the Proceedings of the Judicial Conference of the United States, 1961, p. 104. The amendment to the first sentence increases the number authorized from four to six. The fourth sentence is amended to provide an additional peremptory challenge where a fifth or sixth alternate juror is used. The words 'or are found to be' are added to the second sentence to make clear that an alternate juror may be called in the situation where it is first discovered during the trial that a juror was unable or disqualified to perform his duties at the time he was sworn. See United States v. Goldberg, 330 F.2d 30 (3rd Cir. 1964), cert. den. 377 U.S. 953 (1964). NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. CONGRESSIONAL DISAPPROVAL OF PROPOSED AMENDMENT Section 2(c) of Pub. L. 95-78, July 30, 1977, 91 Stat. 320, effective Oct. 1, 1977, provided that: 'The amendment proposed by the Supreme Court (in its order of Apr. 26, 1977) to rule 24 of such Rules of Criminal Procedure is disapproved and shall not take effect.' -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Alternate jurors, see rule 47, Title 28, Appendix, Judiciary and Judicial Procedure. Examination of jurors, see rule 47. CROSS REFERENCES Challenges of jurors, see section 1870 of Title 28, Judiciary and Judicial Procedure. ------DocID 25108 Document 1350 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 25 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 25. Judge; Disability -STATUTE- (a) During Trial. If by reason of death, sickness or other disability the judge before whom a jury trial has commenced is unable to proceed with the trial, any other judge regularly sitting in or assigned to the court, upon certifying familiarity with the record of the trial, may proceed with and finish the trial. (b) After Verdict or Finding of Guilt. If by reason of absence, death, sickness or other disability the judge before whom the defendant has been tried is unable to perform the duties to be performed by the court after a verdict or finding of guilt, any other judge regularly sitting in or assigned to the court may perform those duties; but if that judge is satisfied that a judge who did not preside at the trial cannot perform those duties or that it is appropriate for any other reason, that judge may grant a new trial. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is similar to Rule 63 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). See also, 28 U.S.C. (former) 776 (Bill of exceptions; authentication; signing of by judge). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT In September, 1963, the Judicial Conference of the United States approved a recommendation of its Committee on Court Administration that provision be made for substitution of a judge who becomes disabled during trial. The problem has become serious because of the increase in the number of long criminal trials. See 1963 Annual Report of the Director of the Administrative Office of the United States Courts, p. 114, reporting a 25% increase in criminal trials lasting more than one week in fiscal year 1963 over 1962. Subdivision (a). - The amendment casts the rule into two subdivisions and in subdivision (a) provides for substitution of a judge during a jury trial upon his certification that he has familiarized himself with the record of the trial. For similar provisions see Alaska Rules of Crim. Proc., Rule 25; California Penal Code, Sec. 1053. Subdivision (b). - The words 'from the district' are deleted to permit the local judge to act in those situations where a judge who has been assigned from within the district to try the case is, at the time for sentence, etc., back at his regular place of holding court which may be several hundred miles from the place of trial. It is not intended, of course, that substitutions shall be made where the judge who tried the case is available within a reasonable distance from the place of trial. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Disability of judge, see rule 63, Title 28, Appendix, Judiciary and Judicial Procedure. ------DocID 25109 Document 1351 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 26 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 26. Taking of Testimony -STATUTE- In all trials the testimony of witnesses shall be taken orally in open court, unless otherwise provided by an Act of Congress or by these rules, the Federal Rules of Evidence, or other rules adopted by the Supreme Court. -SOURCE- (As amended Nov. 20, 1972, eff. July 1, 1975.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. This rule contemplates the development of a uniform body of rules of evidence to be applicable in trials of criminal cases in the Federal courts. It is based on Funk v. United States, 290 U.S. 371, and Wolfle v. United States, 291 U.S. 7, which indicated that in the absence of statute the Federal courts in criminal cases are not bound by the State law of evidence, but are guided by common law principles as interpreted by the Federal courts 'in the light of reason and experience.' The rule does not fetter the applicable law of evidence to that originally existing at common law. It is contemplated that the law may be modified and adjusted from time to time by judicial decisions. See Homer Cummings, 29 A.B.A.Jour. 655; Vanderbilt, 29 A.B.A.Jour. 377; Holtzoff, 12 George Washington L.R. 119, 131-132; Holtzoff, 3 F.R.D. 445, 453; Howard, 51 Yale L.Jour. 763; Medalie, 4 Lawyers Guild R. (3)1, 5-6. 2. This rule differs from the corresponding rule for civil cases (Federal Rules of Civil Procedure, Rule 43(a) (28 U.S.C., Appendix)), in that this rule contemplates a uniform body of rules of evidence to govern in criminal trials in the Federal courts, while the rule for civil cases prescribes partial conformity to State law and, therefore, results in a divergence as between various districts. Since in civil actions in which Federal jurisdiction is based on diversity of citizenship, the State substantive law governs the rights of the parties, uniformity of rules of evidence among different districts does not appear necessary. On the other hand, since all Federal crimes are statutory and all criminal prosecutions in the Federal courts are based on acts of Congress, uniform rules of evidence appear desirable if not essential in criminal cases, as otherwise the same facts under differing rules of evidence may lead to a conviction in one district and to an acquittal in another. 3. This rule expressly continues existing statutes governing the admissibility of evidence and the competency and privileges of witnesses. Among such statutes are the following: U.S.C., Title 8: Section 138 (see 1326, 1328, 1329) (Importation of aliens for immoral purposes; attempt to re-enter after deportation; penalty) U.S.C., Title 28: Section 632 (now 18 U.S.C. 3481) (Competency of witnesses governed by State laws; defendants in criminal cases) Section 633 (former) (Competency of witnesses governed by State laws; husband or wife of defendant in prosecution for bigamy) Section 634 (now 18 U.S.C. 3486) (Testimony of witnesses before Congress) Section 638 (now 1731) (Comparison of handwriting to determine genuineness) Section 695 (now 1732) (Admissibility) Section 695a (now 18 U.S.C. 3491) (Foreign documents) U.S.C., Title 46: Section 193 (Bills of lading to be issued; contents) NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT The first sentence is retained, with appropriate narrowing of the title, since its subject is not covered in the Rules of Evidence. The second sentence is deleted because the Rules of Evidence govern admissibility of evidence, competency of witnesses, and privilege. The language is broadened, however, to take account of the Rules of Evidence and any other rules adopted by the Supreme Court. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Evidence, referred to in text, are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -MISC2- EFFECTIVE DATE OF AMENDMENT PROPOSED NOVEMBER 20, 1972 Amendment of this rule embraced by the order entered by the Supreme Court of the United States on November 20, 1972, effective on the 180th day beginning after January 2, 1975, see section 3 of Pub. L. 93-595, Jan. 2, 1975, 88 Stat. 1959, set out as a note under section 3771 of this title. -CROSS- CROSS REFERENCES Depositions, objections to admissibility, see rule 15. Expert witnesses, see rule 28. Foreign documents, see sections 3491 to 3496 of this title. Informing defendant he is not required to make statement and of use against him, see rules 5 and 40. Mental competency of accused, determination of, see section 4241 et seq. of this title. Motions - New trial for newly discovered evidence, see rule 33. Return of property unlawfully seized, see rule 41. Suppression of evidence, see rule 41 and form 16. Offer of evidence after refusal of motion for acquittal, see rule 29. Official record, proof, see rule 27. Shop book rule, records made in regular course of business, see sections 3491 and 3492 of this title. Subpoenas, see rule 17 and form 21. Witnesses - Absence, use of depositions, see rule 15. Accused, competency, see section 3481 of this title. ------DocID 25110 Document 1352 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 26.1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 26.1. Determination of Foreign Law -STATUTE- A party who intends to raise an issue concerning the law of a foreign country shall give reasonable written notice. The court, in determining foreign law, may consider any relevant material or source, including testimony, whether or not submitted by a party or admissible under the Federal Rules of Evidence. The court's determination shall be treated as a ruling on a question of law. -SOURCE- (Added Feb. 28, 1966, eff. July 1, 1966, and amended Nov. 20, 1972, eff. July 1, 1975.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The original Federal Rules of Criminal Procedure did not contain a provision explicitly regulating the determination of foreign law. The resolution of issues of foreign law, when relevant in federal criminal proceedings, falls within the general compass of Rule 26 which provides for application of 'the (evidentiary) principles of the common law as they may be interpreted by the courts of the United States in the light of reason and experience.' See Green, Preliminary Report on the Advisability and Feasibility of Developing Uniform Rules of Evidence for the United States District Courts 6-7, 17-18 (1962). Although traditional 'commonlaw' methods for determining foreign-country law have proved inadequate, the courts have not developed more appropriate practices on the basis of this flexible rule. Cf. Green, op. cit. supra at 26-28. On the inadequacy of common-law procedures for determining foreign law, see, e.g., Nussbaum, Proving the Law of Foreign Countries, 3 Am.J.Comp.L. 60 (1954). Problems of foreign law that must be resolved in accordance with the Federal Rules of Criminal Procedure are most likely to arise in places such as Washington, D.C., the Canal Zone, Guam, and the Virgin Islands, where the federal courts have general criminal jurisdiction. However, issues of foreign law may also arise in criminal proceedings commenced in other federal districts. For example, in an extradition proceeding, reasonable ground to believe that the person sought to be extradited is charged with, or was convicted of, a crime under the laws of the demanding state must generally be shown. See Factor v. Laubenheimer, 290 U.S. 276 (1933); Fernandez v. Phillips, 268 U.S. 311 (1925); Bishop International Law: Cases and Materials (2d ed. 1962). Further, foreign law may be invoked to justify non-compliance with a subpoena duces tecum, Application of Chase Manhattan Bank, 297 F.2d 611 (2d Cir. 1962), and under certain circumstances, as a defense to prosecution. Cf. American Banana Co. v. United Fruit Co., 213 U.S. 347 (1909). The content of foreign law may also be relevant in proceedings arising under 18 U.S.C. Sec. 1201, 2312-2317. Rule 26.1 is substantially the same as Civil Rule 44.1. A full explanation of the merits and practicability of the rule appear in the Advisory Committee's Note to Civil Rule 44.1. It is necessary here to add only one comment to the explanations there made. The second sentence of the rule frees the court from the restraints of the ordinary rules of evidence in determining foreign law. This freedom, made necessary by the peculiar nature of the issue of foreign law, should not constitute an unconstitutional deprivation of the defendant's rights to confrontation of witnesses. The issue is essentially one of law rather than of fact. Furthermore, the cases have held that the Sixth Amendment does not serve as a rigid barrier against the development of reasonable and necessary exceptions to the hearsay rule. See Kay v. United States, 255 F.2d 476, 480 (4th Cir. 1958), cert. den., 358 U.S. 825 (1958); Matthews v. United States, 217 F.2d 409, 418 (5th Cir. 1954); United States v. Leathers, 135 F.2d 507 (2d Cir. 1943); and cf., Painter v. Texas, 85 S.Ct. 1065 (1965); Douglas v. Alabama, 85 S.Ct. 1074 (1965). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Since the purpose is to free the judge, in determining foreign law, from restrictive evidentiary rules, the reference is made to the Rules of Evidence generally. EFFECTIVE DATE OF AMENDMENT PROPOSED NOVEMBER 20, 1972 Amendment of this rule embraced by the order entered by the Supreme Court of the United States on November 20, 1972, effective on the 180th day beginning after January 2, 1975, see section 3 of Pub. L. 93-595, Jan. 2, 1975, 88 Stat. 1959, set out as a note under section 3771 of this title. ------DocID 25111 Document 1353 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 26.2 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 26.2. Production of Statements of Witnesses -STATUTE- (a) Motion for Production. After a witness other than the defendant has testified on direct examination, the court, on motion of a party who did not call the witness, shall order the attorney for the government or the defendant and the defendant's attorney, as the case may be, to produce, for the examination and use of the moving party, any statement of the witness that is in their possession and that relates to the subject matter concerning which the witness has testified. (b) Production of Entire Statement. If the entire contents of the statement relate to the subject matter concerning which the witness has testified, the court shall order that the statement be delivered to the moving party. (c) Production of Excised Statement. If the other party claims that the statement contains matter that does not relate to the subject matter concerning which the witness has testified, the court shall order that it be delivered to the court in camera. Upon inspection, the court shall excise the portions of the statement that do not relate to the subject matter concerning which the witness has testified, and shall order that the statement, with such material excised, be delivered to the moving party. Any portion of the statement that is withheld from the defendant over the defendant's objection shall be preserved by the attorney for the government, and, in the event of a conviction and an appeal by the defendant, shall be made available to the appellate court for the purpose of determining the correctness of the decision to excise the portion of the statement. (d) Recess for Examination of Statement. Upon delivery of the statement to the moving party, the court, upon application of that party, may recess proceedings in the trial for the examination of such statement and for preparation for its use in the trial. (e) Sanction for Failure to Produce Statement. If the other party elects not to comply with an order to deliver a statement to the moving party, the court shall order that the testimony of the witness be stricken from the record and that the trial proceed, or, if it is the attorney for the government who elects not to comply, shall declare a mistrial if required by the interest of justice. (f) Definition. As used in this rule, a 'statement' of a witness means: (1) a written statement made by the witness that is signed or otherwise adopted or approved by the witness; (2) a substantially verbatim recital of an oral statement made by the witness that is recorded contemporaneously with the making of the oral statement and that is contained in a stenographic, mechanical, electrical, or other recording or a transcription thereof; or (3) a statement, however taken or recorded, or a transcription thereof, made by the witness to a grand jury. -SOURCE- (Added Apr. 30, 1979, eff. Dec. 1, 1980, and amended Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES S. 1437, 95th Cong., 1st Sess. (1977), would place in the criminal rules the substance of what is now 18 U.S.C. Sec. 3500 (the Jencks Act). Underlying this and certain other additions to the rules contemplated by S. 1437 is the notion that provisions which are purely procedural in nature should appear in the Federal Rules of Criminal Procedure rather than in Title 18. See Reform of the Federal Criminal Laws, Part VI: Hearings on S. 1, S. 716, and S. 1400, Subcomm. on Criminal Laws and Procedures, Senate Judiciary Comm., 93rd Cong., 1st Sess. (statement of Judge Albert B. Maris, at page 5503). Rule 26.2 is identical to the S.1437 rule except as indicated by the marked additions and deletions. As those changes show, rule 26.2 provides for production of the statements of defense witnesses at trial in essentially the same manner as is now provided for with respect to the statements of government witnesses. Thus, the proposed rule reflects these two judgments: (i) that the subject matter - production of the statements of witnesses - is more appropriately dealt with in the criminal rules; and (ii) that in light of United States v. Nobles, 422 U.S. 225 (1975), it is important to establish procedures for the production of defense witnesses' statements as well. The rule is not intended to discourage the practice of voluntary disclosure at an earlier time so as to avoid delays at trial. In Nobles, defense counsel sought to introduce the testimony of a defense investigator who prior to trial had interviewed prospective prosecution witnesses and had prepared a report embodying the essence of their conversation. When the defendant called the investigator to impeach eyewitness testimony identifying the defendant as the robber, the trial judge granted the prosecutor the right to inspect those portions of the investigator's report relating to the witnesses' statements, as a potential basis for cross-examination of the investigator. When the defense declined to produce the report, the trail judge refused to permit the investigator to testify. The Supreme Court unanimously upheld the trail court's actions, finding that neither the Fifth nor Sixth Amendments nor the attorney work product doctrine prevented disclosure of such a document at trial. Noting 'the federal judiciary's inherent power to require the prosecution to produce the previously recorded statements of its witnesses so that the defense may get the full benefit of cross-examinations and the truth-finding process may be enhanced,' the Court rejected the notion 'that the Fifth amendment renders criminal discovery 'basically a one-way street,' ' and thus concluded that 'in a proper case, the prosecution can call upon that same power for production of witness statements that facilitate 'full disclosure of all the (relevant) facts.' ' The rule, consistent with the reasoning in Nobles, is designed to place the disclosure of prior relevant statements of a defense witness in the possession of the defense on the same legal footing as is the disclosure of prior statements of prosecution witnesses in the hands of the government under the Jencks Act, 18 U.S.C. Sec. 3500 (which S. 1437 would replace with the rule set out therein). See United States v. Pulvirenti, 408 F.Supp. 12 (E.D.Mich. 1976), holding that under Nobles '(t)he obligation (of disclosure) placed on the defendant should be the reciprocal of that placed upon the government * * * (as) defined by the Jencks Act.' Several state courts have likewise concluded that witness statements in the hands of the defense at trial should be disclosed on the same basis that prosecution witness statements are disclosed, in order to promote the concept of the trail as a search for truth. See, e.g., People v. Sanders, 110 Ill.App.2d 85, 249 N.E.2d 124 (1969); State v. Montague, 55 N.J. 371, 262 A.2d 398 (1970); People v. Damon, 24 N.Y.2d 256, 299 N.Y.S.2d 830, 247 N.E.2d 651 (1959). The rule, with minor exceptions, makes the procedure identical for both prosecution and defense witnesses, including the provision directing the court, whenever a claim is made that disclosure would be improper because the statement contains irrelevant matter, to examine the statements in camera and excise such matter as should not be disclosed. This provision acts as a safeguard against abuse and will enable a defendant who believes that a demand is being improperly made to secure a swift and just resolution of the issue. The treatment as to defense witnesses of necessity differs slightly from the treatment as to prosecution witnesses in terms of the sanction for a refusal to comply with the court's disclosure order. Under the Jencks Act and the rule proposed in S. 1437, if the prosecution refuses to abide by the court's order, the court is required to strike the witness's testimony unless in its discretion it determines that the more serious sanction of a mistrial in favor of the accused is warranted. Under this rule, if a defendant refuses to comply with the court's disclosure order, the court's only alternative is to enter an order striking or precluding the testimony of the witness, as was done in Nobles. Under subdivision (a) of the rule, the motion for production may be made by 'a party who did not call the witness.' Thus, it also requires disclosure of statements in the possession of either party when the witness is called neither by the prosecution nor the defense but by the court pursuant to the Federal Rules of Evidence. Present law does not deal with this situation, which consistency requires be treated in an identical manner as the disclosure of statements of witnesses called by a party to the case. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. EFFECTIVE DATE OF RULE This rule added by order of the United States Supreme Court of Apr. 30, 1979, effective Dec. 1, 1980, see section 1(1) of Pub. L. 96-42, July 31, 1979, 93 Stat. 326, set out as a note under section 3771 of this title. ------DocID 25112 Document 1354 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 27 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 27. Proof of Official Record -STATUTE- An official record or an entry therein or the lack of such a record or entry may be proved in the same manner as in civil actions. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule incorporates by reference Rule 44 of the Federal Rules of Civil Procedure, 28 U.S.C., Appendix, which provided a simple and uniform method of proving public records and entry or lack of entry therein. The rule does not supersede statutes regulating modes of proof in respect to specific official records. In such cases parties have the option of following the general rule or the pertinent statute. Among the many statutes are: U.S.C., Title 28: Section 661 (now 1733) (Copies of department or corporation records and papers; admissibility; seal) Section 662 (now 1733) (Same; in office of General Counsel of the Treasury) Section 663 (now 1733) (Instruments and papers of Comptroller of Currency; admissibility) Section 664 (now 1733) (Organization certificates of national banks; admissibility) Section 665 (now 1733) (Transcripts from books of Treasury in suits against delinquents; admissibility) Section 666 (now 1733) (Same; certificate by Secretary or Assistant Secretary) Section 668 (now 18 U.S.C. 3497) (Same; indictments for embezzlement of public moneys) Section 669 (former) (Copies of returns in returns office admissible) Section 670 (now 1743) (Admissibility of copies of statements of demands by Post Office Department) Section 671 (now 1733) (Admissibility of copies of post office records and statement of accounts) Section 672 (see 1733) (Admissibility of copies of records in General Land Office) Section 673 (now 1744) (Admissibility of copies of records, and so forth, of Patent Office) Section 674 (now 1745) (Copies of foreign letters patent as prima facie evidence) Section 675 (former) (Copies of specifications and drawings of patents admissible) Section 676 (now 1736) (Extracts from Journals of Congress admissible when injunction of secrecy removed) Section 677 (now 1740) (Copies of records in offices of United States consuls admissible) Section 678 (former) (Books and papers in certain district courts) Section 679 (former) (Records in clerks' offices, western district of North Carolina) Section 680 (former) (Records in clerks' offices of former district of California) Section 681 (now 1734) (Original records lost or destroyed; certified copy admissible) Section 682 (now 1734) (Same; when certified copy not obtainable) Section 685 (now 1735) (Same; certified copy of official papers) Section 687 (now 1738) (Authentication of legislative acts; proof of judicial proceedings of State) Section 688 (now 1739) (Proofs of records in offices not pertaining to courts) Section 689 (now 1742) (Copies of foreign records relating to land titles) Section 695a-695h (now 18 U.S.C. 3491-3496; 22 U.S.C. 1204; 1741) (Foreign documents) U.S.C., Title 1: Section 30 (now 112) (Statutes at Large; contents; admissibility in evidence) Section 30a (now 113) ('Little and Brown's' edition of laws and treaties competent evidence of Acts of Congress) Section 54 (now 204) (Codes and Supplements as establishing prima facie the Laws of United States and District of Columbia, citation of Codes and Supplements) Section 55 (now 209) (Copies of Supplements to Code of Laws of United States and of District of Columbia Code and Supplements; conclusive evidence of original) U.S.C., Title 5: Section 490 (see 28 U.S.C. 1733) (Records of Department of Interior; authenticated copies as evidence) U.S.C., Title 8: Section 717(b) (see 1435, 1482) (Former citizens of United States excepted from certain requirements; citizenship lost by spouse's alienage or loss of United States citizenship, or by entering armed forces of foreign state or acquiring its nationality) Section 727(g) (see 1443) (Administration of naturalization laws; rules and regulations; instruction in citizenship; forms; oaths; depositions; documents in evidence; photographic studio) U.S.C., Title 15: Section 127 (see 1057(e)) (Trade-marks; copies of records as evidence) U.S.C., Title 20: Section 52 (Smithsonian Institution; evidence of title to site and buildings) U.S.C., Title 25: Section 6 (Bureau of Indian Affairs; seal; authenticated and certified documents; evidence) U.S.C., Title 31: Section 46 (see 704) (Laws governing General Accounting Office; copies of books, records, etc., thereof as evidence) U.S.C., Title 38: Section 11g (now 202) (Seal of Veterans' Administration; authentication of copies of records) U.S.C., Title 43: Section 57 (Authenticated copies or extracts from records as evidence) Section 58 (Transcripts from records of Louisiana) Section 59 (Official papers in office of surveyor general in California; papers; copies) Section 83 (Transcripts of records as evidence) U.S.C., Title 44: Section 300h (now 2112) (National Archives; seal; reproduction of archives; fee; admissibility in evidence of reproductions) Section 307 (now 1507) (Filing document as constructive notice; publication in Register as presumption of validity; judicial notice; citation) U.S.C., Title 47: Section 412 (Documents filed with Federal Communications Commission as public records; prima facie evidence; confidential records) U.S.C., Title 49: Section 16 (now 10303) (Orders of Commission and enforcement thereof; forfeitures - (13) copies of schedules, tariffs, contracts, etc., kept as public records; evidence) -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Proof of official record, see rule 44, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Commission to consular offices to authenticate foreign documents, see section 3492 of this title. Foreign documents, see sections 3491 to 3496 of this title. ------DocID 25113 Document 1355 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 28 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 28. Interpreters -STATUTE- The court may appoint an interpreter of its own selection and may fix the reasonable compensation of such interpreter. Such compensation shall be paid out of funds provided by law or by the government, as the court may direct. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Nov. 20, 1972, eff. July 1, 1975.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The power of the court to call its own witnesses, though rarely invoked, is recognized in the Federal courts, Young v. United States, 107 F.2d 490 (C.C.A. 5th); Litsinger v. United States, 44 F.2d 45 (C.C.A. 7th). This rule provides a procedure whereby the court may, if it chooses, exercise this power in connection with expert witnesses. The rule is based, in part, on the Uniform Expert Testimony Act, drafted by the Commissioners on Uniform State Laws, Hand Book of the National Conference of Commissioners on Uniform State Laws (1937), 337; see, also, Wigmore - Evidence, 3d Ed., sec. 563; A.L.I. Code of Criminal Procedure, secs. 307-309; National Commission on Law of Observance and Enforcement - Report on Criminal Procedure, 37. Similar provisions are found in the statutes of a number of States: Wisconsin - Wis.Stat. (1941), sec. 357.12; Indiana - Ind.Stat.Ann. (Burns, 1933), sec. 9-1702; California - Cal.Pen.Code (Deering, 1941), sec. 1027. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a). - The original rule is made a separate subdivision. The amendment permits the court to inform the witness of his duties in writing since it often constitutes an unnecessary inconvenience and expense to require the witness to appear in court for such purpose. Subdivision (b). - This new subdivision authorizes the court to appoint and provide for the compensation of interpreters. General language is used to give discretion to the court to appoint interpreters in all appropriate situations. Interpreters may be needed to interpret the testimony of non-English speaking witnesses or to assist non-English speaking defendants in understanding the proceedings or in communicating with assigned counsel. Interpreters may also be needed where a witness or a defendant is deaf. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (a). This subdivision is stricken, since the subject of court-appointed expert witnesses is covered in Evidence Rule 706 in detail. Subdivision (b). The provisions of subdivision (b) are retained. Although Evidence Rule 703 specifies the qualifications of interpreters and the form of oath to be administered to them, it does not cover their appointment or compensation. EFFECTIVE DATE OF AMENDMENT PROPOSED NOVEMBER 20, 1972 Amendment of this rule embraced by the order entered by the Supreme Court of the United States on November 20, 1972, effective on the 180th day beginning after January 2, 1975, see section 3 of Pub. L. 93-595, Jan. 2, 1975, 88 Stat. 1959, set out as a note under section 3771 of this title. ------DocID 25114 Document 1356 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 29 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 29. Motion for Judgment of Acquittal -STATUTE- (a) Motion Before Submission to Jury. Motions for directed verdict are abolished and motions for judgment of acquittal shall be used in their place. The court on motion of a defendant or of its own motion shall order the entry of judgment of acquittal of one or more offenses charged in the indictment or information after the evidence on either side is closed if the evidence is insufficient to sustain a conviction of such offense or offenses. If a defendant's motion for judgment of acquittal at the close of the evidence offered by the government is not granted, the defendant may offer evidence without having reserved the right. (b) Reservation of Decision on Motion. If a motion for judgment of acquittal is made at the close of all the evidence, the court may reserve decision on the motion, submit the case to the jury and decide the motion either before the jury returns a verdict or after it returns a verdict of guilty or is discharged without having returned a verdict. (c) Motion After Discharge of Jury. If the jury returns a verdict of guilty or is discharged without having returned a verdict, a motion for judgment of acquittal may be made or renewed within 7 days after the jury is discharged or within such further time as the court may fix during the 7-day period. If a verdict of guilty is returned the court may on such motion set aside the verdict and enter judgment of acquittal. If no verdict is returned the court may enter judgment of acquittal. It shall not be necessary to the making of such a motion that a similar motion has been made prior to the submission of the case to the jury. (d) Same: Conditional Ruling on Grant of Motion. If a motion for judgment of acquittal after verdict of guilty under this Rule is granted, the court shall also determine whether any motion for a new trial should be granted if the judgment of acquittal is thereafter vacated or reversed, specifying the grounds for such determination. If the motion for a new trial is granted conditionally, the order thereon does not affect the finality of the judgment. If the motion for a new trial has been granted conditionally and the judgment is reversed on appeal, the new trial shall proceed unless the appellate court has otherwise ordered. If such motion has been denied conditionally, the appellee on appeal may assert error in that denial, and if the judgment is reversed on appeal, subsequent proceedings shall be in accordance with the order of the appellate court. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Nov. 10, 1986, Pub. L. 99-646, Sec. 54(a), 100 Stat. 3607.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. The purpose of changing the name of a motion for a directed verdict to a motion for judgment of acquittal is to make the nomenclature accord with the realities. The change of nomenclature, however, does not modify the nature of the motion or enlarge the scope of matters that may be considered. 2. The second sentence is patterned on New York Code of Criminal Procedure, sec. 410. 3. The purpose of the third sentence is to remove the doubt existing in a few jurisdictions on the question whether the defendant is deemed to have rested his case if he moves for a directed verdict at the close of the prosecution's case. The purpose of the rule is expressly to preserve the right of the defendant to offer evidence in his own behalf, if such motion is denied. This is a restatement of the prevailing practice, and is also in accord with the practice prescribed for civil cases by Rule 50(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (b). This rule is in substance similar to Rule 50(b) of the Federal Rules of Civil Procedure, 28 U.S.C., Appendix, and permits the court to render judgment for the defendant notwithstanding a verdict of guilty. Some Federal courts have recognized and approved the use of a judgment non obstante veredicto for the defendant in a criminal case, Ex parte United States, 101 F.2d 870 (C.C.A. 7th), affirmed by an equally divided court, United States v. Stone, 308 U.S. 519. The rule sanctions this practice. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a). - A minor change has been made in the caption. Subdivision (b). - The last three sentences are deleted with the matters formerly covered by them transferred to the new subdivision (c). Subdivision (c). - The new subdivision makes several changes in the former procedure. A motion for judgment of acquittal may be made after discharge of the jury whether or not a motion was made before submission to the jury. No legitimate interest of the government is intended to be prejudiced by permitting the court to direct an acquittal on a post-verdict motion. The constitutional requirement of a jury trial in criminal cases is primarily a right accorded to the defendant. Cf. Adams v. United States, ex rel. McCann, 317 U.S. 269 (1942); Singer v. United States, 380 U.S. 24 (1965); Note, 65 Yale L.J. 1032 (1956). The time in which the motion may be made has been changed to 7 days in accordance with the amendment to Rule 45(a) which by excluding Saturday from the days to be counted when the period of time is less than 7 days would make 7 days the normal time for a motion required to be made in 5 days. Also the court is authorized to extend the time as is provided for motions for new trial (Rule 33) and in arrest of judgment (Rule 34). References in the original rule to the motion for a new trial as an alternate to the motion for judgment of acquittal and to the power of the court to order a new trial have been eliminated. Motions for new trial are adequately covered in Rule 33. Also the original wording is subject to the interpretation that a motion for judgment of acquittal gives the court power to order a new trial even though the defendant does not wish a new trial and has not asked for one. 1986 AMENDMENT Subd. (d). Pub. L. 99-646 added subd. (d). EFFECTIVE DATE OF 1986 AMENDMENT Section 54(b) of Pub. L. 99-646 provided that: 'The amendments made by this section (amending this rule) shall take effect 30 days after the date of the enactment of this Act (Nov. 10, 1986).' ------DocID 25115 Document 1357 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 29.1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 29.1. Closing Argument -STATUTE- After the closing of evidence the prosecution shall open the argument. The defense shall be permitted to reply. The prosecution shall then be permitted to reply in rebuttal. -SOURCE- (Added Apr. 22, 1974, eff. Dec. 1, 1975.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is designed to control the order of closing argument. It reflects the Advisory Committee's view that it is desirable to have a uniform federal practice. The rule is drafted in the view that fair and effective administration of justice is best served if the defendant knows the arguments actually made by the prosecution in behalf of conviction before the defendant is faced with the decision whether to reply and what to reply. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court, Rule 29.1 is a new rule that was added to regulate closing arguments. It prescribes that the government shall make its closing argument and then the defendant shall make his. After the defendant has argued, the government is entitled to reply in rebuttal. B. Committee Action. The Committee endorses and adopts this proposed rule in its entirety. The Committee believes that as the Advisory Committee Note has stated, fair and effective administration of justice is best served if the defendant knows the arguments actually made by the prosecution in behalf of conviction before the defendant is faced with the decision whether to reply and what to reply. Rule 29.1 does not specifically address itself to what happens if the prosecution waives its initial closing argument. The Committee is of the view that the prosecutor, when he waives his initial closing argument, also waives his rebuttal. (See the remarks of Senior United States Circuit Judge J. Edward Lumbard in Hearings II, at 207.) EFFECTIVE DATE This rule effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. ------DocID 25116 Document 1358 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 30 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 30. Instructions -STATUTE- At the close of the evidence or at such earlier time during the trial as the court reasonably directs, any party may file written requests that the court instruct the jury on the law as set forth in the requests. At the same time copies of such requests shall be furnished to all parties. The court shall inform counsel of its proposed action upon the requests prior to their arguments to the jury. The court may instruct the jury before or after the arguments are completed or at both times. No party may assign as error any portion of the charge or omission therefrom unless that party objects thereto before the jury retires to consider its verdict, stating distinctly the matter to which that party objects and the grounds of the objection. Opportunity shall be given to make the objection out of the hearing of the jury and, on request of any party, out of the presence of the jury. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1988, eff. Aug. 1, 1988.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule corresponds to Rule 51 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix), the second sentence alone being new. It seemed appropriate that on a point such as instructions to juries there should be no difference in procedure between civil and criminal cases. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The amendment requires the court, on request of any party, to require the jury to withdraw in order to permit full argument of objections to instructions. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT In its current form, Rule 30 requires that the court instruct the jury after the arguments of counsel. In some districts, usually where the state practice is otherwise, the parties prefer to stipulate to instruction before closing arguments. The purpose of the amendment is to give the court discretion to instruct the jury before or after closing arguments, or at both times. The amendment will permit courts to continue instructing the jury after arguments as Rule 30 had previously required. It will also permit courts to instruct before arguments in order to give the parties an opportunity to argue to the jury in light of the exact language used by the court. See generally Raymond, Merits and Demerits of the Missouri System in Instructing Juries, 5 St. Louis U.L.J. 317 (1959). Finally, the amendment plainly indicates that the court may instruct both before and after arguments, which assures that the court retains power to remedy omissions in pre-argument instructions or to add instructions necessitated by the arguments. NOTES OF ADVISORY COMMITTEE ON RULES - 1988 AMENDMENT The amendment is technical. No substantive change is intended. -CROSS- CROSS REFERENCES Harmless error, and plain error, generally, see rule 52. ------DocID 25117 Document 1359 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 31 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VI -HEAD- Rule 31. Verdict -STATUTE- (a) Return. The verdict shall be unanimous. It shall be returned by the jury to the judge in open court. (b) Several Defendants. If there are two or more defendants, the jury at any time during its deliberations may return a verdict or verdicts with respect to a defendant or defendants as to whom it has agreed; if the jury cannot agree with respect to all, the defendant or defendants as to whom it does not agree may be tried again. (c) Conviction of Less Offense. The defendant may be found guilty of an offense necessarily included in the offense charged or of an attempt to commit either the offense charged or an offense necessarily included therein if the attempt is an offense. (d) Poll of Jury. When a verdict is returned and before it is recorded the jury shall be polled at the request of any party or upon the court's own motion. If upon the poll there is not unanimous concurrence, the jury may be directed to retire for further deliberations or may be discharged. (e) Criminal Forfeiture. If the indictment or the information alleges that an interest or property is subject to criminal forfeiture, a special verdict shall be returned as to the extent of the interest or property subject to forfeiture, if any. -SOURCE- (As amended Apr. 24, 1972, eff. Oct. 1, 1972.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is a restatement of existing law and practice. It does not embody any regulation of sealed verdicts, it being contemplated that this matter would be governed by local practice in the various district courts. The rule does not affect the existing statutes relating to qualified verdicts in cases in which capital punishment may be imposed, 18 U.S.C. 408a (now 1201) (Kidnapped persons); sec. 412a (now 1992) (Wrecking trains); sec. 567 (now 1111) (Verdicts; qualified verdicts). Note to Subdivision (b). This rule is a restatement of existing law, 18 U.S.C. (former) 566 (Verdicts; several joint defendants). Note to Subdivision (c). This rule is a restatement of existing law, 18 U.S.C. (former) 565 (Verdicts; less offense than charged). Note to Subdivision (d). This rule is a restatement of existing law and practice, Mackett v. United States, 90 F.2d 462, 465 (C.C.A. 7th); Bruce v. Chestnut Farms Chevy Chase Dairy, 126 F.2d 224, App.D.C. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (e) is new. It is intended to provide procedural implementation of the recently enacted criminal forfeiture provision of the Organized Crime Control Act of 1970, Title IX, Sec. 1963, and the Comprehensive Drug Abuse Prevention and Control Act of 1970, Title II, Sec. 408(a)(2). The assumption of the draft is that the amount of the interest or property subject to criminal forfeiture is an element of the offense to be alleged and proved. See Advisory Committee Note to rule 7(c)(2). Although special verdict provisions are rare in criminal cases, they are not unknown. See United States v. Spock, 416 F. 2d 165 (1st Cir. 1969), especially footnote 41 where authorities are listed. -CROSS- CROSS REFERENCES Amendment of information before verdict, see rule 7. Canal Zone, application of rules governing proceedings after verdict of guilty, see rule 54. Criminal contempt, verdict of guilty, see rule 42. Directed verdict, motion for abolished, see rule 29. Disability of judge after verdict, see rule 25. Judgment, setting forth verdict, see rule 32. Judgment of acquittal, before or after verdict, see rule 29. Jurors, stipulation for number less than twelve before verdict, see rule 23. New trial - No verdict returned, see rule 29. Time for motion, see rule 33. Objections to instructions, before retirement of jury to consider verdict, see rule 30. Presence of defendant, return of verdict, see rule 43. Rules of Procedure - Power of Supreme Court to prescribe, see section 2072 of Title 28, Judiciary and Judicial Procedure. Setting aside verdict of guilty, new trial or entry of judgment of acquittal, see rule 29. ------DocID 25118 Document 1360 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE VII -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- VII. JUDGMENT ------DocID 25119 Document 1361 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 32 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- Rule 32. Sentence and Judgment -STATUTE- (a) Sentence. (1) Imposition of Sentence. Sentence shall be imposed without unnecessary delay, but the court may, when there is a factor important to the sentencing determination that is not then capable of being resolved, postpone the imposition of sentence for a reasonable time until the factor is capable of being resolved. Prior to the sentencing hearing, the court shall provide the counsel for the defendant and the attorney for the Government with notice of the probation officer's determination, pursuant to the provisions of subdivision (c)(2)(B), of the sentencing classifications and sentencing guideline range believed to be applicable to the case. At the sentencing hearing, the court shall afford the counsel for the defendant and the attorney for the Government an opportunity to comment upon the probation officer's determination and on other matters relating to the appropriate sentence. Before imposing sentence, the court shall also - (A) determine that the defendant and defendant's counsel have had the opportunity to read and discuss the presentence investigation report made available pursuant to subdivision (c)(3)(A) or summary thereof made available pursuant to subdivision (c)(3)(B); (B) afford counsel for the defendant an opportunity to speak on behalf of the defendant; and (C) address the defendant personally and determine if the defendant wishes to make a statement and to present any information in mitigation of the sentence. The attorney for the Government shall have an equivalent opportunity to speak to the court. Upon a motion that is jointly filed by the defendant and by the attorney for the Government, the court may hear in camera such a statement by the defendant, counsel for the defendant, or the attorney for the Government. (2) Notification of Right To Appeal. After imposing sentence in a case which has gone to trial on a plea of not guilty, the court shall advise the defendant of the defendant's right to appeal, including any right to appeal the sentence, and of the right of a person who is unable to pay the cost of an appeal to apply for leave to appeal in forma pauperis. There shall be no duty on the court to advise the defendant of any right of appeal after sentence is imposed following a plea of guilty or nolo contendere, except that the court shall advise the defendant of any right to appeal the sentence. If the defendant so requests, the clerk of the court shall prepare and file forthwith a notice of appeal on behalf of the defendant. (b) Judgment. (1) In General. A judgment of conviction shall set forth the plea, the verdict or findings, and the adjudication and sentence. If the defendant is found not guilty or for any other reason is entitled to be discharged, judgment shall be entered accordingly. The judgment shall be signed by the judge and entered by the clerk. (2) Criminal Forfeiture. When a verdict contains a finding of property subject to a criminal forfeiture, the judgment of criminal forfeiture shall authorize the Attorney General to seize the interest or property subject to forfeiture, fixing such terms and conditions as the court shall deem proper. (c) Presentence Investigation. (1) When Made. A probation officer shall make a presentence investigation and report to the court before the imposition of sentence unless the court finds that there is in the record information sufficient to enable the meaningful exercise of sentencing authority pursuant to 18 U.S.C. 3553, and the court explains this finding on the record. Except with the written consent of the defendant, the report shall not be submitted to the court or its contents disclosed to anyone unless the defendant has pleaded guilty or nolo contendere or has been found guilty. (2) Report. The report of the presentence investigation shall contain - (A) information about the history and characteristics of the defendant, including prior criminal record, if any, financial condition, and any circumstances affecting the defendant's behavior that may be helpful in imposing sentence or in the correctional treatment of the defendant. (FOOTNOTE 1) (FOOTNOTE 1) So in original. The period probably should be a semicolon. (B) the classification of the offense and of the defendant under the categories established by the Sentencing Commission pursuant to section 994(a) of title 28, that the probation officer believes to be applicable to the defendant's case; the kinds of sentence and the sentencing range suggested for such a category of offense committed by such a category of defendant as set forth in the guidelines issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(1); and an explanation by the probation officer of any factors that may indicate that a sentence of a different kind or of a different length from one within the applicable guideline would be more appropriate under all the circumstances; (C) any pertinent policy statement issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)(2); (D) verified information stated in a nonargumentative style containing an assessment of the financial, social, psychological, and medical impact upon, and cost to, any individual against whom the offense has been committed; (E) unless the court orders otherwise, information concerning the nature and extent of nonprison programs and resources available for the defendant; and (F) such other information as may be required by the court. (3) Disclosure. (A) At least 10 days before imposing sentence, unless this minimum period is waived by the defendant, the court shall provide the defendant and the defendant's counsel with a copy of the report of the presentence investigation, including the information required by subdivision (c)(2) but not including any final recommendation as to sentence, and not to the extent that in the opinion of the court the report contains diagnostic opinions, (FOOTNOTE 2) which if disclosed, might seriously disrupt a program of rehabilitation; or sources of information obtained upon a promise of confidentiality; or any other information which, if disclosed, might result in harm, physical or otherwise, to the defendant or other persons. The court shall afford the defendant and the defendant's counsel an opportunity to comment on the report and, in the discretion of the court, to introduce testimony or other information relating to any alleged factual inaccuracy contained in it. (FOOTNOTE 2) So in original. The comma probably should follow the word 'which'. (B) If the court is of the view that there is information in the presentence report which should not be disclosed under subdivision (c)(3)(A) of this rule, the court in lieu of making the report or part thereof available shall state orally or in writing a summary of the factual information contained therein to be relied on in determining sentence, and shall give the defendant and the defendant's counsel an opportunity to comment thereon. The statement may be made to the parties in camera. (C) Any material which may be disclosed to the defendant and the defendant's counsel shall be disclosed to the attorney for the government. (D) If the comments of the defendant and the defendant's counsel or testimony or other information introduced by them allege any factual inaccuracy in the presentence investigation report or the summary of the report or part thereof, the court shall, as to each matter controverted, make (i) a finding as to the allegation, or (ii) a determination that no such finding is necessary because the matter controverted will not be taken into account in sentencing. A written record of such findings and determinations shall be appended to and accompany any copy of the presentence investigation report thereafter made available to the Bureau of Prisons. (E) The reports of studies and recommendations contained therein made by the Director of the Bureau of Prisons pursuant to 18 U.S.C. Sec. 3552(b) shall be considered a presentence investigation within the meaning of subdivision (c)(3) of this rule. (d) Plea Withdrawal. If a motion for withdrawal of a plea of guilty or nolo contendere is made before sentence is imposed, the court may permit withdrawal of the plea upon a showing by the defendant of any fair and just reason. At any later time, a plea may be set aside only on direct appeal or by motion under 28 U.S.C. Sec. 2255. (e) Probation. After conviction of an offense not punishable by death or by life imprisonment, the defendant may be placed on probation if permitted by law. ((f) Revocation of Probation.) (Abrogated Apr. 30, 1979, eff. Dec. 1, 1980) -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(31)-(34), 89 Stat. 376; Apr. 30, 1979, eff. Aug. 1, 1979, and Dec. 1, 1980; Oct. 12, 1982, Pub. L. 97-291, Sec. 3, 96 Stat. 1249; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 215(a), 98 Stat. 2014; Nov. 10, 1986, Pub. L. 99-646, Sec. 25(a), 100 Stat. 3597; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is substantially a restatement of existing procedure. Rule I of the Criminal Appeals Rules of 1933, 292 U.S. 661. See Rule 43 relating to the presence of the defendant. Note to Subdivision (b). This rule is substantially a restatement of existing procedure. Rule I of the Criminal Appeals Rules of 1933, 292 U.S. 661. Note to Subdivision (c). The purpose of this provision is to encourage and broaden the use of presentence investigations, which are now being utilized to good advantage in many cases. See, 'The Presentence Investigation' published by Administrative Office of the United States Courts, Division of Probation. Note to Subdivision (d). This rule modifies existing practice by abrogating the ten-day limitation on a motion for leave to withdraw a plea of guilty. See Rule II (4) of the Criminal Appeals Rules of 1933, 292 U.S. 661. Note to Subdivision (e). See 18 U.S.C. 724 et seq. (now 3651 et seq.). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a)(1). - The amendment writes into the rule the holding of the Supreme Court that the court before imposing sentence must afford an opportunity to the defendant personally to speak in his own behalf. See Green v. United States, 365 U.S. 301 (1961); Hill v. United States, 368 U.S. 424 (1962). The amendment also provides an opportunity for counsel to speak on behalf of the defendant. Subdivision (a)(2). - This amendment is a substantial revision and a relocation of the provision originally found in Rule 37(a)(2): 'When a court after trial imposes sentence upon a defendant not represented by counsel, the defendant shall be advised of his right to appeal and if he so requests, the clerk shall prepare and file forthwith a notice of appeal on behalf of the defendant.' The court is required to advise the defendant of his right to appeal in all cases which have gone to trial after plea of not guilty because situations arise in which a defendant represented by counsel at the trial is not adequately advised by such counsel of his right to appeal. Trial counsel may not regard his responsibility as extending beyond the time of imposition of sentence. The defendant may be removed from the courtroom immediately upon sentence and held in custody under circumstances which make it difficult for counsel to advise him. See, e.g., Hodges v. United States, 368 U.S. 139 (1961). Because indigent defendants are most likely to be without effective assistance of counsel at this point in the proceedings, it is also provided that defendants be notified of the right of a person without funds to apply for leave to appeal in forma pauperis. The provision is added here because this rule seems the most appropriate place to set forth a procedure to be followed by the court at the time of sentencing. Subdivision (c)(2). - It is not a denial of due process of law for a court in sentencing to rely on a report of a presentence investigation without disclosing such report to the defendant or giving him an opportunity to rebut it. Williams v. New York, 337 U.S. 241 (1949); Williams v. Oklahoma, 358 U.S. 576 (1959). However, the question whether as a matter of policy the defendant should be accorded some opportunity to see and refute allegations made in such reports has been the subject of heated controversy. For arguments favoring disclosure, see Tappan. Crime, Justice, and Correction, 558 (1960); Model Penal Code, 54-55 (Tent. Draft No. 2, 1954); Thomsen, Confidentiality of the Presentence Report: A Middle Position, 28 Fed.Prob., March 1964, p. 8; Wyzanski, A Trial Judge's Freedom and Responsibility, 65 Harv.L.Rev. 1281, 1291-2 (1952); Note, Employment of Social Investigation Reports in Criminal and Juvenile Proceedings, 58 Colum.L.Rev. 702 (1958); cf. Kadish, The Advocate and the Expert: Counsel in the Peno-Correctional Process, 45 Minn.L.Rev. 803, 806, (1961). For arguments opposing disclosure, see Barnett and Gronewold, Confidentiality of the Presentence Report, 26 Fed.Prob. March 1962, p. 26; Judicial Conference Committee on Administration of the Probation System, Judicial Opinion on Proposed Change in Rule 32(c) of the Federal Rules of Criminal Procedure - a Survey (1964); Keve, The Probation Officer Investigates, 6-15 (1960); Parsons, The Presentence Investigation Report Must be Preserved as a Confidential Document, 28 Fed.Prob. March 1964, p. 3; Sharp, The Confidential Nature of Presentence Reports, 5 Cath.U.L.Rev. 127 (1955); Wilson, A New Arena is Emerging to Test the Confidentiality of Presentence Reports, 25 Fed.Prob. Dec. 1961, p. 6; Federal Judge's Views on Probation Practices, 24 Fed.Prob. March 1960, p. 10. In a few jurisdictions the defendant is given a right of access to the presentence report. In England and California a copy of the report is given to the defendant in every case. English Criminal Justice Act of 1948, 11 & 12 Geo. 6, c. 58, Sec. 43; Cal.Pen.C. Sec. 1203. In Alabama the defendant has a right to inspect the report. Ala. Code, Title 42, Sec. 23. In Ohio and Virginia the probation officer reports in open court and the defendant is given the right to examine him on his report. Ohio Rev. Code, Sec. 2947.06; Va. Code, Sec. 53-278.1. The Minnesota Criminal Code of 1963, Sec. 609.115(4), provides that any presentence report 'shall be open for inspection by the prosecuting attorney and the defendant's attorney prior to sentence and on the request of either of them a summary hearing in chambers shall be held on any matter brought in issue, but confidential sources of information shall not be disclosed unless the court otherwise directs.' Cf. Model Penal Code Sec. 7.07(5) (P.O.D. 1962): 'Before imposing sentence, the Court shall advise the defendant or his counsel of the factual contents and the conclusions of any presentence investigation or psychiatric examination and afford fair opportunity, if the defendant so requests, to controvert them. The sources of confidential information need not, however, be disclosed.' Practice in the federal courts is mixed, with a substantial minority of judges permitting disclosure while most deny it. See the recent survey prepared for the Judicial Conference of the District of Columbia by the Junior Bar Section of the Bar Association of the District of Columbia, reported in Conference Papers on Discovery in Federal Criminal Cases, 33 F.R.D. 101, 125-127 (1963). See also Gronewold, Presentence Investigation Practices in the Federal Probation System, Fed.Prob. Sept. 1958, pp. 27, 31. For divergent judicial opinions see Smith v. United States, 223 F.2d 750, 754 (5th Cir. 1955) (supporting disclosure); United States v. Durham, 181 F.Supp. 503 (D.D.C. 1960) (supporting secrecy). Substantial objections to compelling disclosure in every case have been advanced by federal judges, including many who in practice often disclose all or parts of presentence reports. See Judicial Conference Committee on the Administration of the Probation System, Judicial Opinion on Proposed Change in Rule 32(c) of the Federal Rules of Criminal Procedure - A Survey (1964). Hence, the amendment goes no further than to make it clear that courts may disclose all or part of the presentence report to the defendant or to his counsel. It is hoped that courts will make increasing use of their discretion to disclose so that defendants generally may be given full opportunity to rebut or explain facts in presentence reports which will be material factors in determining sentences. For a description of such a practice in one district, see Thomsen, Confidentiality of the Presentence Report: A Middle Position, 28 Fed.Prob., March 1964, p. 8. It is also provided that any material disclosed to the defendant or his counsel shall be disclosed to the attorney for the government. Such disclosure will permit the government to participate in the resolution of any factual questions raised by the defendant. Subdivision (f). - This new subdivision writes into the rule the procedure which the cases have derived from the provision in 18 U.S.C. Sec. 3653 that a person arrested for violation of probation 'shall be taken before the court' and that thereupon the court may revoke the probation. See Escoe v. Zerbst, 295 U.S. 490 (1935); Brown v. United States, 236 F.2d 253 (9th Cir. 1956) certiorari denied 356 U.S. 922 (1958). Compare Model Penal Code Sec. 301.4 (P.O.D. 1962); Hink, The Application of Constitutional Standards of Protection to Probation, 29 U.Chi.L.Rev. 483 (1962). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (b)(2) is new. It is intended to provide procedural implementation of the recently enacted criminal forfeiture provisions of the Organized Crime Control Act of 1970, Title IX, Sec. 1963, and the Comprehensive Drug Abuse Prevention and Control Act of 1970, Title II, Sec. 408(a)(2). 18 U.S.C. Sec. 1963(c) provides for property seizure and disposition. In part it states: (c) Upon conviction of a person under this section, the court shall authorize the Attorney General to seize all property or other interest declared forfeited under this section upon such terms and conditions as the court shall deem proper. Although not specifically provided for in the Comprehensive Drug Abuse Prevention and Control Act of 1970, the provision of Title II, Sec. 408(a)(2) forfeiting 'profits' or 'interest' will need to be implemented procedurally, and therefore new rule 32(b)(2) will be applicable also to that legislation. For a brief discussion of the procedural implications of a criminal forfeiture, see Advisory Committee Note to rule 7(c)(2). NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT Subdivision (a)(1) is amended by deleting the reference to commitment or release pending sentencing. This issue is dealt with explicitly in the proposed revision of rule 46(c). Subdivision (a)(2) is amended to make clear that there is no duty on the court to advise the defendant of the right to appeal after sentence is imposed following a plea of guilty or nolo contendere. To require the court to advise the defendant of a right to appeal after a plea of guilty, accepted pursuant to the increasingly stringent requirements of rule 11, is likely to be confusing to the defendant. See American Bar Association Standards Relating to Criminal Appeals Sec. 2.1(b) (Approved Draft, 1970), limiting the court's duty to advice to 'contested cases.' The Advisory Committee is of the opinion that such advice, following a sentence imposed after a plea of guilty, will merely tend to build false hopes and encourage frivolous appeals, with the attendant expense to the defendant or the taxpayers. Former rule 32(a)(2) imposes a duty only upon conviction after 'trial on a plea of not guilty.' The few federal cases dealing with the question have interpreted rule 32(a)(2) to say that the court has no duty to advise defendant of his right to appeal after conviction following a guilty plea. Burton v. United States, 307 F.Supp. 448, 450 (D.Ariz. 1970); Alaway v. United States, 280 F.Supp. 326, 336 (C.D.Calif. 1968); Crow v. United States, 397 F.2d 284, 285 (10th Cir. 1968). Prior to the 1966 amendment of rule 32, the court's duty was even more limited. At that time (rule 37(a)(2)) the court's duty to advise was limited to those situations in which sentence was imposed after trial upon a not guilty plea of a defendant not represented by counsel. 8A J. Moore, Federal Practice 32.01(3) (2d ed. Cipes 1969); C. Wright, Federal Practice and Procedure: Criminal Sec. 528 (1969); 5 L. Orfield, Criminal Procedure Under the Federal Rules Sec. 32:11 (1967). With respect to appeals in forma pauperis, see appellate rule 24. Subdivision (c)(1) makes clear that a presentence report is required except when the court otherwise directs for reasons stated of record. The requirement of reasons on the record for not having a presentence report is intended to make clear that such a report ought to be routinely required except in cases where there is a reason for not doing so. The presentence report is of great value for correctional purposes and will serve as a valuable aid in reviewing sentences to the extent that sentence review may be authorized by future rule change. For an analysis of the current rule as it relates to the situation in which a presentence investigation is required, see C. Wright, Federal Practice and Procedure: Criminal Sec. 522 (1969); 8A J. Moore, Federal Practice 32.03(1) (2d ed. Cipes 1969). Subdivision (c)(1) is also changed to permit the judge, after obtaining defendant's consent, to see the presentence report in order to decide whether to accept a plea agreement, and also to expedite the imposition of sentence in a case in which the defendant has indicated that he may plead guilty or nolo contendere. Former subdivision (c)(1) provides that 'The report shall not be submitted to the court * * * unless the defendant has pleaded guilty * * *.' This precludes a judge from seeing a presentence report prior to the acceptance of the plea of guilty. L. Orfield, Criminal Procedure Under the Federal Rules Sec. 32:35 (1967); 8A J. Moore, Federal Practice 32.03(2), p. 32-22 (2d ed. Cipes 1969); C. Wright, Federal Practice and Procedure: Criminal Sec. 523, p. 392 (1969); Gregg v. United States, 394 U.S. 489, 89 S.Ct. 1134, 22 L.Ed.2d 442 (1969). Because many plea agreements will deal with the sentence to be imposed, it will be important, under rule 11, for the judge to have access to sentencing information as a basis for deciding whether the plea agreement is an appropriate one. It has been suggested that the problem be dealt with by allowing the judge to indicate approval of the plea agreement subject to the condition that the information in the presentence report is consistent with what he has been told about the case by counsel. See American Bar Association, Standards Relating to Pleas of Guilty Sec. 3.3 (Approved Draft, 1963); President's Commission on Law Enforcement and Administration of Justice. The Challenge of Crime in a Free Society 136 (1967). Allowing the judge to see the presentence report prior to his decision as to whether to accept the plea agreement is, in the view of the Advisory Committee, preferable to a conditional acceptance of the plea. See Enker, Perspectives on Plea Bargaining, Appendix A of President's Commission on Law Enforcement and Administration of Justice, Task Force Report: The Courts at 117 (1967). It enables the judge to have all of the information available to him at the time he is called upon to decide whether or not to accept the plea of guilty and thus avoids the necessity of a subsequent appearance whenever the information is such that the judge decides to reject the plea agreement. There is presently authority to have a presentence report prepared prior to the acceptance of the plea of guilty. In Gregg v. United States, 394 U.S. 489, 491, 89 S.Ct. 1134 22 L.Ed.2d 442 (1969), the court said that the 'language (of rule 32) clearly permits the preparation of a presentence report before guilty plea or conviction * * *.' In footnote 3 the court said: The history of the rule confirms this interpretation. The first Preliminary Draft of the rule would have required the consent of the defendant or his attorney to commence the investigation before the determination of guilt. Advisory Committee on Rules of Criminal Procedure, Fed.Rules Crim.Proc., Preliminary Draft 130, 133 (1943). The Second Preliminary Draft omitted this requirement and imposed no limitation on the time when the report could be made and submitted to the court. Advisory Committee on Rules of Criminal Procedure, Fed.Rules Crim.Proc. Second Preliminary Draft 126-128 (1944). The third and final draft, which was adopted as Rule 32, was evidently a compromise between those who opposed any time limitation, and those who preferred that the entire investigation be conducted after determination of guilt. See 5 L. Orfield, Criminal Procedure Under the Federal Rules Sec. 32.2 (1967). Where the judge rejects the plea agreement after seeing the presentence report, he should be free to recuse himself from later presiding over the trial of the case. This is left to the discretion of the judge. There are instances involving prior convictions where a judge may have seen a presentence report, yet can properly try a case on a plea of not guilty. Webster v. United States, 330 F.Supp. 1080 (D.C., 1971). Unlike the situation in Gregg v. United States, subdivision (e)(3) provides for disclosure of the presentence report to the defendant, and this will enable counsel to know whether the information thus made available to the judge is likely to be prejudicial. Presently trial judges who decide pretrial motions to suppress illegally obtained evidence are not, for that reason alone, precluded from presiding at a later trial. Subdivision (c)(3)(A) requires disclosure of presentence information to the defense, exclusive of any recommendation of sentence. The court is required to disclose the report to defendant or his counsel unless the court is of the opinion that disclosure would seriously interfere with rehabilitation, compromise confidentiality, or create risk of harm to the defendant or others. Any recommendation as to sentence should not be disclosed as it may impair the effectiveness of the probation officer if the defendant is under supervision on probation or parole. The issue of disclosure of presentence information to the defense has been the subject of recommendations from the Advisory Committee in 1944, 1962, 1964, and 1966. The history is dealt with in considerable detail in C. Wright, Federal Practice and Procedure: Criminal Sec. 524 (1969), and 8A J. Moore, Federal Practice 32.03(4) (2d ed. Cipes 1969). In recent years, three prestigious organizations have recommended that the report be disclosed to the defense. See American Bar Association, Standards Relating to Sentencing Alternatives and Procedures Sec. 4.4 (Approved Draft, 1968); American Law Institute Model Penal Code Sec. 7.07(5) (P.O.D. 1962); National Council on Crime and Delinquency, Model Sentencing Act Sec. 4 (1963). This is also the recommendation of the President's Commission on Law Enforcement and Administration of Justice. The Challenge of Crime in a Free Society (1967) at p. 145. In the absence of compelling reasons for nondisclosure of special information, the defendant and his counsel should be permitted to examine the entire presentence report. The arguments for and against disclosure are well known and are effectively set forth in American Bar Association Standards Relating to Sentencing Alternatives and Procedures, Sec. 4.4 Commentary at pp. 214-225 (Approved Draft, 1968). See also Lehrich, The Use and Disclosure of Presentence Reports in the United States, 47 F.R.D. 225 (1969). A careful account of existing practices in Detroit, Michigan and Milwaukee, Wisconsin is found in R. Dawson, Sentencing (1969). Most members of the federal judiciary have, in the past, opposed compulsory disclosure. See the view of District Judge Edwin M. Stanley, American Bar Association Standards Relating to Sentencing Alternatives and Procedures. Appendix A. (Appendix A also contains the results of a survey of all federal judges showing that the clear majority opposed disclosure.) The Advisory Committee is of the view that accuracy of sentencing information is important not only to the defendant but also to effective correctional treatment of a convicted offender. The best way of insuring accuracy is disclosure with an opportunity for the defendant and counsel to point out to the court information thought by the defense to be inaccurate, incomplete, or otherwise misleading. Experience in jurisdictions which require disclosure does not lend support to the argument that disclosure will result in less complete presentence reports or the argument that sentencing procedures will become unnecessarily protracted. It is not intended that the probation officer would be subjected to any rigorous examination by defense counsel, or that he will even be sworn to testify. The proceedings may be very informal in nature unless the court orders a full hearing. Subdivision (c)(3)(B) provides for situations in which the sentencing judge believes that disclosure should not be made under the criteria set forth in subdivision (c)(3)(A). He may disclose only a summary of that factual information 'to be relied on in determining sentence.' This is similar to the proposal of the American Bar Association Standards Relating to Sentencing Alternatives and Procedures Sec. 4.4(b) and Commentary at pp. 216-224. Subdivision (c)(3)(D) provides for the return of disclosed presentence reports to insure that they do not become available to unauthorized persons. See National Council on Crime and Delinquency, Model Sentencing Act Sec. 4 (1963): 'Such reports shall be part of the record but shall be sealed and opened only on order of the court.' Subdivision (c)(3)(E) makes clear that diagnostic studies under 18 U.S.C. Sec. 4208(b), 5010(c), or 5034 are covered by this rule and also that 18 U.S.C. Sec. 4252 is included within the disclosure provisions of subdivision (c). Section 4252 provides for the presentence examination of an 'eligible offender' who is believed to be an addict to determine whether 'he is an addict and is likely to be rehabilitated through treatment.' Both the Organized Crime Control Act of 1970 (Sec. 3775(b)) and the Comprehensive Drug Abuse Prevention and Control Act of 1970 (Sec. 409(b)) have special provisions for presentence investigation in the implementation of the dangerous special offender provision. It is however, unnecessary to incorporate them by reference in rule 32 because each contains a specific provision requiring disclosure of the presentence report. The judge does have authority to withhold some information 'in extraordinary cases' provided notice is given the parties and the court's reasons for withholding information are made part of the record. Subdivision (e) is amended to clarify the meaning. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court Rule 32 of the Federal Rules of Criminal Procedure deals with sentencing matters. Proposed subdivision (a)(2) provides that the court is not dutybound to advise the defendant of a right to appeal when the sentence is imposed following a plea of guilty or nolo contendere. Proposed subdivision (e) provides that the probation service must make a presentence investigation and report unless the court orders otherwise 'for reasons stated on the record.' The presentence report will not be submitted to the court until after the defendant pleads nolo contendere or guilty, or is found guilty, unless the defendant consents in writing. Upon the defendant's request, the court must permit the defendant to read the presentence report, except for the recommendation as to sentence. However, the court may decline to let the defendant read the report if it contains (a) diagnostic opinion that might seriously disrupt a rehabilitation program, (b) sources of information obtained upon a promise of confidentiality, or (c) any other information that, if disclosed, might result in harm to the defendant or other persons. The court must give the defendant an opportunity to comment upon the presentence report. If the court decides that the defendant should not see the report, then it must provide the defendant, orally or in writing, a summary of the factual information in the report upon which it is relying in determining sentence. No party may keep the report or make copies of it. B. Committee Action. The Committee added language to subdivision (a)(1) to provide that the attorney for the government may speak to the court at the time of sentencing. The language does not require that the attorney for the government speak but permits him to do so if he wishes. The Committee recast the language of subdivision (c)(1), which defines when presentence reports must be obtained. The Committee's provision makes it more difficult to dispense with a presentence report. It requires that a presentence report be made unless (a) the defendant waives it, or (b) the court finds that the record contains sufficient information to enable the meaningful exercise of sentencing discretion and explains this finding on the record. The Committee believes that presentence reports are important aids to sentencing and should not be dispensed with easily. The Committee added language to subdivision (c)(3)(A) that permits a defendant to offer testimony or information to rebut alleged factual inaccuracies in the presentence report. Since the presentence report is to be used by the court in imposing sentence and since the consequence of any significant inaccuracy can be very serious to the defendant, the Committee believes that it is essential that the presentence report be completely accurate in every material respect. The Committee's addition to subdivision (c)(3)(A) will help insure the accuracy of the presentence report. The Committee added language to subdivision (c)(3)(D) that gives the court the discretion to permit either the prosecutor or the defense counsel to retain a copy of the presentence report. There may be situations when it would be appropriate for either or both of the parties to retain the presentence report. The Committee believes that the rule should give the court the discretion in such situations to permit the parties to retain their copies. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Note to Subdivision (c)(3)(E). The amendment to rule 32(c)(3)(E) is necessary in light of recent changes in the applicable statutes. Note to Subdivision (f). This subdivision is abrogated. The subject matter is now dealt with in greater detail in proposed new rule 32.1. NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (a)(1). Subdivision (a)(1) has been amended so as to impose upon the sentencing court the additional obligation of determining that the defendant and his counsel have had an opportunity to read the presentence investigation report or summary thereof. This change is consistent with the amendment of subdivision (c)(3), discussed below, providing for disclosure of the report (or, in the circumstances indicated, a summary thereof) to both defendant and his counsel without request. This amendment is also consistent with the findings of a recent empirical study that under present rule 32 meaningful disclosure is often lacking and 'that some form of judicial prodding is necessary to achieve full disclosure.' Fennell & Hall, Due Process at Sentencing: An Empirical and Legal Analysis of the Disclosure of Presentence Reports in Federal Courts, 93 Harv.L.Rev. 1613, 1651 (1980): The defendant's interest in an accurate and reliable presentence report does not cease with the imposition of sentence. Rather, these interests are implicated at later stages in the correctional process by the continued use of the presentence report as a basic source of information in the handling of the defendant. If the defendant is incarcerated, the presentence report accompanies him to the correctional institution and provides background information for the Bureau of Prisons' classification summary, which, in turn, determines the defendant's classification within the facility, his ability to obtain furloughs, and the choice of treatment programs. The presentence report also plays a crucial role during parole determination. Section 4207 of the Parole Commission and Reorganization Act directs the parole hearing examiner to consider, if available, the presentence report as well as other records concerning the prisoner. In addition to its general use as background at the parole hearing, the presentence report serves as the primary source of information for calculating the inmate's parole guideline score. Though it is thus important that the defendant be aware now of all these potential uses, the Advisory Committee has considered but not adopted a requirement that the trial judge specifically advise the defendant of these matters. The Committee believes that this additional burden should not be placed upon the trial judge, and that the problem is best dealt with by a form attached to the presentence report, to be signed by the defendant, advising of these potential uses of the report. This suggestion has been forwarded to the Probation Committee of the Judicial Conference. Note to Subdivision (c)(3)(A), (B) & (C). Three important changes are made in subdivision (c)(3): disclosure of the presentence report is no longer limited to those situations in which a request is made; disclosure is now provided to both defendant and his counsel; and disclosure is now required a reasonable time before sentencing. These changes have been prompted by findings in a recent empirical study that the extent and nature of disclosure of the presentence investigation report in federal courts under current rule 32 is insufficient to ensure accuracy of sentencing information. In 14 districts, disclosure is made only on request, and such requests are received in fewer than 50% of the cases. Forty-two of 92 probation offices do not provide automatic notice to defendant or counsel of the availability of the report; in 18 districts, a majority of the judges do not provide any notice of the availability of the report, and in 20 districts such notice is given only on the day of sentencing. In 28 districts, the report itself is not disclosed until the day of sentencing in a majority of cases. Thirty-one courts generally disclose the report only to counsel and not to the defendant, unless the defendant makes a specific request. Only 13 districts disclose the presentence report to both defendant and counsel prior to the day of sentencing in 90% or more of the cases. Fennell & Hall, supra, at 1640-49. These findings make it clear that rule 32 in its present form is failing to fulfill its purpose. Unless disclosure is made sufficiently in advance of sentencing to permit the assertion and resolution of claims of inaccuracy prior to the sentencing hearing, the submission of additional information by the defendant when appropriate, and informed comment on the presentence report, the purpose of promoting accuracy by permitting the defendant to contest erroneous information is defeated. Similarly, if the report is not made available to the defendant and his counsel in a timely fashion, and if disclosure is only made on request, their opportunity to review the report may be inadequate. Finally, the failure to disclose the report to the defendant, or to require counsel to review the report with the defendant, significantly reduces the likelihood that false statements will be discovered, as much of the content of the presentence report will ordinarily be outside the knowledge of counsel. The additional change to subdivision (c)(3)(C) is intended to make it clear that the government's right to disclosure does not depend upon whether the defendant elects to exercise his right to disclosure. Note to Subdivision (c)(3)(D). Subdivision (c)(3)(D) is entirely new. It requires the sentencing court, as to each matter controverted, either to make a finding as to the accuracy of the challanged factual proposition or to determine that no reliance will be placed on that proposition at the time of sentencing. This new provision also requires that a record of this action accompany any copy of the report later made available to the Bureau of Prisons or Parole Commission. As noted above, the Bureau of Prisons and the Parole Commission make substantial use of the presentence investigation report. Under current practice, this can result in reliance upon assertions of fact in the report in the making of critical determinations relating to custody or parole. For example, it is possible that the Bureau or Commission, in the course of reaching a decision on such matters as institution assignment, eligibility for programs, or computation of salient factors, will place great reliance upon factual assertions in the report which are in fact untrue and which remained unchallenged at the time of the sentencing because defendant or his counsel deemed the error unimportant in the sentencing context (e.g., where the sentence was expected to conform to an earlier plea agreement, or where the judge said he would disregard certain controverted matter in setting the sentence). The first sentence of new subdivision (c)(3)(D) is intended to ensure that a record is made as to exactly what resolution occurred as to controverted matter. The second sentence is intended to ensure that this record comes to the attention of the Bureau or Commission when these agencies utilize the presentence investigation report. In current practice, 'less than one-fourth of the district courts (twenty of ninety-two) communicate to the correctional agencies the defendant's challenges to information in the presentence report and the resolution of these challenges.' Fennell & Hall, supra, at 1680. New subdivision (c)(3)(D) does not impose an onerous burden. It does not even require the preparation of a transcript. As is now the practice in some courts, these findings and determinations can be simply entered onto a form which is then appended to the report. Note to Subdivision (c)(3)(E) & (F). Former subdivisions (c)(3)(D) and (E) have been renumbered as (c)(3)(E) and (F). The only change is in the former, necessitated because disclosure is now to defendant and his counsel. The issue of access to the presentence report at the institution was discussed by the Advisory Committee, but no action was taken on that matter because it was believed to be beyond the scope of the rule-making power. Rule 32 in its present form does not speak to this issue, and thus the Bureau of Prisons and the Parole Commission are free to make provision for disclosure to inmates and their counsel. Note to Subdivision (d). The amendment to Rule 32(d) is intended to clarify (i) the standard applicable to plea withdrawal under this rule, and (ii) the circumstances under which the appropriate avenue of relief is other than a withdrawal motion under this rule. Both of these matters have been the source of considerable confusion under the present rule. In its present form, the rule declares that a motion to withdraw a plea of guilty or nolo contendere may be made only before sentence is imposed, but then states the standard for permitting withdrawal after sentence. In fact, 'there is no limitation upon the time within which relief thereunder may, after sentencing, be sought.' United States v. Watson, 548 F.2d 1058 (D.C.Cir. 1977). It has been critically stated that 'the Rule offers little guidance as to the applicable standard for a pre-sentence withdrawal of plea,' United States v. Michaelson, 552 F.2d 472 (2d Cir. 1977), and that as a result 'the contours of (the presentence) standard are not easily defined.' Bruce v. United States, 379 F.2d 113 (D.C.Cir. 1967). By replacing the 'manifest injustice' standard with a requirement that, in cases to which it applied, the defendant must (unless taking a direct appeal) proceed under 28 U.S.C. Sec. 2255, the amendment avoids language which has been a cause of unnecessary confusion. Under the amendment, a defendant who proceeds too late to come under the more generous 'fair and just reason' standard must seek relief under Sec. 2255, meaning the applicable standard is that stated in Hill v. United States, 368 U.S. 424 (1962): 'a fundamental defect which inherently results in a complete miscarriage of justice' or 'an omission inconsistent with the rudimentary demands of fair procedure.' Some authority is to be found to the effect that the rule 32(d) 'manifest injustice' standard is indistinguishable from the Sec. 2255 standard. In United States v. Hamilton, 553 F.2d 63 (10th Cir. 1977), for example, the court, after first concluding defendant was not entitled to relief under the Sec. 2255 'miscarriage of justice' test, then held that '(n)othing is to be gained by the invocation of Rule 32(d)' and its manifest injustice' standard. Some courts, however, have indicated that the rule 32(d) standard provides a somewhat broader basis for relief than Sec. 2255. United States v. Dabdoub-Diaz, 599 F.2d 96 (5th Cir. 1979); United States v. Watson, 548 F.2d 1058 (D.C.Cir. 1977): Meyer v. United States, 424 F.2d 1181 (8th Cir.1970); United States v. Kent, 397 F.2d 446 (7th Cir. 1968). It is noteworthy, however, that in Dabdoub-Diaz, Meyer and Kent the defendant did not prevail under either Sec. 2255 or Rule 32(d), and that in Watson, though the Sec. 2255 case was remanded for consideration as a 32(d) motion, defendant's complaint (that he was not advised of the special parole term, though the sentence he received did not exceed that he was warned about by the court) was one as to which relief had been denied even upon direct appeal from the conviction. United States v. Peters, No. 77-1700 (4th Cir. Dec. 22, 1978). Indeed, it may more generally be said that the results in Sec. 2255 and 32(d) guilty plea cases have been for the most part the same. Relief has often been granted or recognized as available via either of these routes for essentially the same reasons: that there exists a complete constitutional bar to conviction on the offense charged, Brooks v. United States, 424 F.2d 425 (5th Cir. 1970) (Sec. 2255), United States v. Bluso, 519 F.2d 473 (4th Cir. 1975) (Rule 32); that the defendant was incompetent at the time of his plea, United States v. Masthers, 539 F.2d 721 (D.C.Cir. 1976) (Sec. 2255), Kienlen v. United States, 379 F.2d 20 (10th Cir. 1967) (Rule 32); and that the bargain the prosecutor made with defendant was not kept, Walters v. Harris, 460 F.2d 988 (4th Cir. 1972) (Sec. 2255), United States v. Hawthorne, 502 F.2d 1183 (3rd Cir. 1974) (Rule 32). Perhaps even more significant is the fact that relief has often been denied under like circumstances whichever of the two procedures was used: a mere technical violation of Rule 11, United States v. Timmreck, 441 U.S. 780 (1979) (Sec. 2255), United States v. Saft, 558 F.2d 1073 (2d Cir. 1977) (Rule 32); the mere fact defendants expected a lower sentence, United States v. White, 572 F.2d 1007 (4th Cir. 1978) (Sec. 2255), Masciola v. United States, 469 F.2d 1057 (3rd Cir. 1972) (Rule 32); or mere familial coercion, Wojtowicz v. United States, 550 F.2d 786 (2d Cir. 1977) (Sec. 2255), United States v. Bartoli, 572 F.2d 188 (8th Cir. 1978) (Rule 32). The one clear instance in which a Rule 32(d) attack might prevail when a Sec. 2255 challenge would not is present in those circuits which have reached the questionable result that post-sentence relief under 32(d) is available not merely upon a showing of a 'manifest injustice' but also for any deviation from literal compliance with Rule 11. United States v. Cantor, 469 F.2d 435 (3d Cir. 1972). See Advisory Committee Note to Rule 11(h), noting the unsoundness of that position. The change in Rule 32(d), therefore, is at best a minor one in terms of how post-sentence motions to withdraw pleas will be decided. It avoids the confusion which now obtains as to whether a Sec. 2255 petition must be assumed to also be a 32(d) motion and, if so, whether this bears significantly upon how the matter should be decided. See, e.g., United States v. Watson, supra. It also avoids the present undesirable situation in which the mere selection of one of two highly similar avenues of relief, rule 32(d) or Sec. 2255, may have significant procedural consequences, such as whether the government can take an appeal from the district court's adverse ruling (possible under Sec. 2255 only). Moreover, because Sec. 2255 and Rule 32(d) are properly characterized as the 'two principal procedures for collateral attack of a federal plea conviction,' Borman, The Hidden Right to Direct Appeal From a Federal Conviction, 64 Cornell L.Rev. 319, 327 (1979), this amendment is also in keeping with the proposition underlying the Supreme Court's decision in United States v. Timmreck, supra, namely, that 'the concern with finality served by the limitation on collateral attack has special force with respect to convictions based on guilty pleas.' The amendment is likewise consistent with ALI Code of Pre-Arraignment Procedure Sec. 350.9 (1975) ('Allegations of noncompliance with the procedures provided in Article 350 shall not be a basis for review of a conviction after the appeal period for such conviction has expired, unless such review is required by the Constitution of the United States or of this State or otherwise by the law of this State other than Article 350'); ABA Standards Relating to the Administration of Criminal Justice Sec. 14-2.1 (2d ed. 1978) (using 'manifest injustice' standard, but listing six specific illustrations each of which would be basis for relief under Sec. 2255); Unif.R.Crim.P. 444(e) (Approved Draft, 1974) (using 'interest of justice' test, but listing five specific illustrations each of which would be basis for relief under Sec. 2255). The first sentence of the amended rule incorporates the 'fair and just' standard which the federal courts, relying upon dictum in Kercheval v. United States, 274 U.S. 220 (1927), have consistently applied to presentence motions. See, e.g., United States v. Strauss, 563 F.2d 127 (4th Cir. 1977); United States v. Bradin, 535 F.2d 1039 (8th Cir. 1976); United States v. Barker, 514 F.2d 208 (D.C.Cir. 1975). Under the rule as amended, it is made clear that the defendant has the burden of showing a 'fair and just' reason for withdrawal of the plea. This is consistent with the prevailing view, which is that 'the defendant has the burden of satisfying the trial judge that there are valid grounds for withdrawal,' see United States v. Michaelson, supra, and cases cited therein. (Illustrative of a reason which would meet this test but would likely fall short of the Sec. 2255 test is where the defendant now wants to pursue a certain defense which he for good reason did not put forward earlier, United States v. Barker, supra.) Although 'the terms 'fair and just' lack any pretense of scientific exactness,' United States v. Barker, supra, guidelines have emerged in the appellate cases for applying this standard. Whether the movant has asserted his legal innocence is an important factor to be weighed, United States v. Joslin, 434 F.2d 526 (D.C.Cir. 1970), as is the reason why the defenses were not put forward at the time of original pleading. United Statess v. Needles, 472 F.2d 652 (2d Cir. 1973). The amount of time which has passed between the plea and the motion must also be taken into account. A swift change of heart is itself strong indication that the plea was entered in haste and confusion * * *. By contrast, if the defendant has long delayed his withdrawal motion, and has had the full benefit of competent counsel at all times, the reasons given to support withdrawal must have considerably more force. United States v. Barker, supra. If the defendant establishes such a reason, it is then appropriate to consider whether the government would be prejudiced by withdrawal of the plea. Substantial prejudice may be present for a variety of reasons. See United States v. Jerry, 487 F.2d 600 (3d Cir. 1973) (physical evidence had been discarded); United States v. Vasquez-Velasco, 471 F.2d 294 (9th Cir. 1973) (death of chief government witness); United States v. Lombardozzi, 436 F.2d 878 (2d Cir. 1971) (other defendants with whom defendant had been joined for trial had already been tried in a lengthy trial); Farnsworth v. Sanfor, 115 F.2d 375 (5th Cir. 1940) (prosecution had dismissed 52 witnesses who had come from all over the country and from overseas bases). There is currently some disparity in the manner in which presentence motions to withdraw a guilty plea are dealt with. Some courts proceed as if any desire to withdraw the plea before sentence is 'fair and just' so long as the government fails to establish that it would be prejudiced by the withdrawal. Illustrative is United States v. Savage, 561 F.2d 554 (4th Cir. 1977), where the defendant pleaded guilty pursuant to a plea agreement that the government would recommend a sentence of 5 years. At the sentencing hearing, the trial judge indicated his unwillingness to follow the government's recommendation, so the defendant moved to withdraw his plea. That motion was denied. On appeal, the court held that there had been no violation of Rule 11, in that refusal to accept the government's recommendation does not constitute a rejection of the plea agreement. But the court then proceeded to hold that absent any showing of prejudice by the government, 'the defendant should be allowed to withdraw his plea'; only upon such a showing by the government must the court 'weigh the defendant's reasons for seeking to withdraw his plea against the prejudice which the government will suffer.' The other view is that there is no occasion to inquire into the matter of prejudice unless the defendant first shows a good reason for being allowed to withdraw his plea. As stated in United States v. Saft, 558 F.2d 1073 (2d Cir. 1977): 'The Government is not required to show prejudice when a defendant has shown no sufficient grounds for permitting withdrawal of a guilty plea, although such prejudice may be considered by the district court in exercising its discretion.' The second sentence of the amended rule, by requiring that the defendant show a 'fair and just' reason, adopts the Saft position and rejects that taken in Savage. The Savage position, as later articulated in United States v. Strauss, supra, is that the 'sounder view, supported by both the language of the rule and by the reasons for it, would be to allow withdrawal of the plea prior to sentencing unless the prosecution has been substantially prejudiced by reliance upon the defendant's plea.' (Quoting 2 C. Wright, Federal Practice and Procedure Sec. 538, at 474-75 (1969). Although that position may once have been sound, this is no longer the case in light of the recent revisions of Rule 11. Rule 11 now provides for the placing of plea agreements on the record, for full inquiry into the voluntariness of the plea, for detailed advice to the defendant concerning his rights and the consequences of his plea and a determination that the defendant understands these matters, and for a determination of the accuracy of the plea. Given the great care with which pleas are taken under this revised Rule 11, there is no reason to view pleas so taken as merely 'tentative,' subject to withdrawal before sentence whenever the government cannot establish prejudice. Were withdrawal automatic in every case where the defendant decided to alter his tactics and present his theory of the case to the jury, the guilty plea would become a mere gesture, a temporary and meaningless formality reversible at the defendant's whim. In fact, however, a guilty plea is no such trifle, but 'a grave and solemn act,' which is 'accepted only with care and discernment.' United States v. Barker, supra, quoting from Brady v. United States, 397 U.S. 742 (1970). The facts of the Savage case reflect the wisdom of this position. In Savage, the defendant had entered into a plea agreement whereby he agreed to plead guilty in exchange for the government's promise to recommend a sentence of 5 years, which the defendant knew was not binding on the court. Yet, under the approach taken in Savage, the defendant remains free to renege on his plea bargain, notwithstanding full compliance therewith by the attorney for the government, if it later appears to him from the presentence report or the comments of the trial judge or any other source that the court will not follow the government's recommendation. Having bargained for a recommendation pursuant to Rule 11(e)(1)(B), the defendant should not be entitled, in effect, to unilaterally convert the plea agreement into a Rule 11(e)(1)(C) type of agreement (i.e., one with a guarantee of a specific sentence which, if not given, permits withdrawal of the plea). The first sentence of subdivision (d) provides that the motion, to be judged under the more liberal 'fair and just reason' test, must have been made before sentence is imposed, imposition of sentence is suspended, or disposition is had under 18 U.S.C. Sec. 4205(c). The latter of these has been added to the rule to make it clear that the lesser standard also governs prior to the second stage of sentencing when the judge, pursuant to that statute, has committed the defendant to the custody of the Attorney General for study pending final disposition. Several circuits have left this issue open, e.g., United States v. McCoy, 477 F.2d 550 (5th Cir. 1973); Callaway v. United States, 367 F.2d 140 (10th Cir. 1966); while some have held that a withdrawal motion filed between tentative and final sentencing should be judged against the presentence standard, United States v. Barker, 514 F.2d 208 (D.C.Cir. 1975); United States v. Thomas, 415 F.2d 1216 (9th Cir. 1969). Inclusion of the Sec. 4205(c) situation under the presentence standard is appropriate. As explained in Barker: Two reasons of policy have been advanced to explain the near-presumption which Rule 32(d) erects against post-sentence withdrawal motions. The first is that post-sentence withdrawal subverts the 'stability' of 'final judgments.' * * * The second reason is that the post-sentence withdrawal motion often constitutes a veiled attack on the judge's sentencing decision; to grant such motions in lenient fashion might undermine respect for the courts and fritter away the time and painstaking effort devoted to the sentence process. * * * Concern for the 'stability of final judgments' has little application to withdrawal motions filed between tentative and final sentencing under Section 4208(b) (now 4205(c)). The point at which a defendant's judgment of conviction becomes 'final' for purposes of appeal - whether at tentative or at final sentencing - is wholly within the defendant's discretion. * * * Concern for the integrity of the sentencing process is, however, another matter. The major point, in our view, is that tentative sentencing under Section 4208(b) (now 4205(c)) leaves the defendant ignorant of his final sentence. He will therefore be unlikely to use a withdrawal motion as an oblique attack on the judge's sentencing policy. The relative leniency of the 'fair and just' standard is consequently not out of place. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. NOTES OF ADVISORY COMMITTEE ON RULES - 1989 AMENDMENT The amendment to subdivision (a)(1) is intended to clarify that the court is expected to proceed without unnecessary delay, and that it may be necessary to delay sentencing when an applicable sentencing factor cannot be resolved at the time set for sentencing. Often, the factor will relate to a defendant's agreement to cooperate with the government. But, other factors may be capable of resolution if the court delays sentencing while additional information is generated. As currently written, the rule might imply that a delay requested by one party or suggested by the court sua sponte might be unreasonable. The amendment rids the rule of any such implication and provides the sentencing court with desirable discretion to assure that relevant factors are considered and accurately resolved. In exercising this discretion, the court retains under the amendment the authority to refuse to delay sentencing when a delay is inappropriate under the circumstances. In amending subdivision (c)(1), the Committee conformed the rule to the current practice in some courts: i.e., to permit the defendant and the prosecutor to see a presentence report prior to a plea of guilty if the court, with the written consent of the defendant, receives the report at that time. The amendment permits, but does not require, disclosure of the report with the written consent of the defendant. The amendment to change the 'reasonable time' language in subdivision (c)(3)(A) to at least 10 days prior to sentencing, unless the defendant waives the minimum period, conforms the rule to 18 U.S.C. 3552(d). Nothing in the statue (sic) or the rule prohibits a court from requiring disclosure at an earlier time before sentencing. The inclusion of a specific waiver provision is intended to conform the rule to the statute and is not intended to suggest that waiver of other rights is precluded when no specific waiver provision is set forth in a rule or portion thereof. The language requiring the court to provide the defendant and defense counsel with a copy of the presentence report complements the abrogation of subdivision (E), which had required the defense to return the probation report. Because a defendant or the government may seek to appeal a sentence, an option that is permitted under some circumstances, there will be cases in which the defendant has a need for the presentence report during the preparation of, or the response to, an appeal. This is one reason why the Committee decided that the defendant should not be required to return the nonconfidential portions of the presentence report that have been disclosed. Another reason is that district courts may find it desirable to adopt portions of the presentence report when making findings of fact under the guidelines. They would be inhibited unnecessarily from relying on careful, accurate presentence reports if such reports could not be retained by defendants. A third reason why defendant should be able to retain the reports disclosed to them is that the Supreme Court's decision in United States Department of Justice v. Julian, 486 U.S. 1 (1988), 108 S.Ct. 1606 (1988), suggests that defendants will routinely be able to secure their reports through Freedom of Information Act suits. No public interest is served by continuing to require the return of reports, and unnecessary FOIA litigation should be avoided as a result of the amendment to Rule 32. The amended rule does not direct whether the defendant or the defendant's lawyer should retain the presentence report. In exceptional cases where retention of a report in a local detention facility might pose a danger to persons housed there, the district judge may direct that the defendant not personally retain a copy of the report until the defendant has been transferred to the facility where the sentence will be served. Because the parties need not return the presentence report to the probation officer, the Solicitor General should be able to review the report in deciding whether to permit the United States to appeal a sentence under the Sentencing Reform Act of 1984, 18 U.S.C. Sec. 3551 et seq. Although the Committee was concerned about the potential unfairness of having confidential or diagnostic material included in presentence reports but not disclosed to a defendant who might be adversely affected by such material, it decided not to recommend at this time a change in the rule which would require complete disclosure. Some diagnostic material might be particularly useful when a court imposes probation, and might well be harmful to the defendant if disclosed. Moreover, some of this material might assist correctional officials in prescribing treatment programs for an incarcerated defendant. Information provided by confidential sources and information posing a possible threat of harm to third parties was particularly troubling to the Committee, since this information is often extremely negative and thus potentially harmful to a defendant. The Committee concluded, however, that it was preferable to permit the probation officer to include this information in a report so that the sentencing court may determine whether is (it) ought to be disclosed to the defendant. If the court determines that it should not be disclosed, it will have to decide whether to summarize the contents of the information or to hold that no finding as to the undisclosed information will be made because such information will not be taken into account in sentencing. Substantial due process problems may arise if a court attempts to summarize information in a presentence report, the defendant challenges the information, and the court attempts to make a finding as to the accuracy of the information without disclosing to the defendant the source of the information or the details placed before the court. In deciding not to require disclosure of everything in a presentence report, the Committee made no judgment that findings could validly be made based upon nondisclosed information. Finally, portions of the rule were gender-neutralized. 1986 AMENDMENT Subd. (c)(2)(B). Pub. L. 99-646 substituted 'from' for 'than'. 1984 AMENDMENT Subd. (a)(1). Pub. L. 98-473, Sec. 215(a)(1), substituted new subd. (a)(1) for former subd. (a)(1) which read as follows: '(a) Sentence. '(1) Imposition of Sentence. Sentence shall be imposed without unreasonable delay. Before imposing sentence the court shall '(A) determine that the defendant and the defendant's counsel have had the opportunity to read and discuss the presentence investigation report made available pursuant to subdivision (c)(3)(A) or summary thereof made available pursuant to subdivision (c)(3)(B); '(B) afford counsel an opportunity to speak on behalf of the defendant; and '(C) address the defendant personally and ask the defendant if the defendant wishes to make a statement in the defendant's own behalf and to present any information in mitigation of punishment. The attorney for the government shall have an equivalent opportunity to speak to the court.' Subd. (a)(2). Pub. L. 98-473, Sec. 215(a)(2), inserted ', including any right to appeal the sentence,' after 'right to appeal' in first sentence. Pub. L. 98-473, Sec. 215(a)(3), inserted ', except that the court shall advise the defendant of any right to appeal his sentence' after 'nolo contendere' in second sentence. Subd. (c)(1). Pub. L. 98-473, Sec. 215(a)(4), amended first sentence generally. Prior to amendment, first sentence read as follows: 'The probation service of the court shall make a presentence investigation and report to the court before the imposition of sentence or the granting of probation unless, with the permission of the court, the defendant waives a presentence investigation and report, or the court finds that there is in the record information sufficient to enable the meaningful exercise of sentencing discretion, and the court explains this finding on the record.' Subd. (c)(2). Pub. L. 98-473, Sec. 215(a)(5), amended subd. (c)(2) generally. Prior to amendment, subd. (c)(2) read as follows: '(2) Report. The presentence report shall contain - '(A) any prior criminal record of the defendant; '(B) a statement of the circumstances of the commission of the offense and circumstances affecting the defendant's behavior; '(C) information concerning any harm, including financial, social, psychological, and physical harm, done to or loss suffered by any victim of the offense; and '(D) any other information that may aid the court in sentencing, including the restitution needs of any victim of the offense.' Subd. (c)(3)(A). Pub. L. 98-473, Sec. 215(a)(6), which directed the substitution of ', including the information required by subdivision (c)(2) but not including any final recommendation as to sentence,' for 'exclusive of any recommendations as to sentence', was executed by substituting the quotation for 'exclusive of any recommendation as to sentence' to reflect the probable intent of Congress. Subd. (c)(3)(D). Pub. L. 98-473, Sec. 215(a)(7), struck out 'or the Parole Commission' before period at end. Subd. (c)(3)(F). Pub. L. 98-473, Sec. 215(a)(8), substituted 'pursuant to 18 U.S.C. Sec. 3552(b)' for 'or the Parole Commission pursuant to 18 U.S.C. Sec. 4205(c), 4252, 5010(e), or 5037(c)'. Subd. (d). Pub. L. 98-473, Sec. 215(a)(9), struck out 'imposition of sentence is suspended, or disposition is had under 18 U.S.C. Sec. 4205(c),' after 'is imposed,'. 1982 AMENDMENT Subdiv. (c)(2). Pub. L. 97-291 substituted provision directing that the presentence report contain any prior criminal record of the defendant, a statement of the circumstances of the commission of the offense and circumstances affecting the defendant's behavior, information concerning any harm, including financial, social, psychological, and physical harm, done to or loss suffered by any victim of the offense, and any other information that may aid the court in sentencing, including the restitution need of any victim of the offense, for provision requiring that the report of the presentence investigation shall contain any prior criminal record of the defendant and such information about his characteristics, his financial condition and the circumstances affecting his behavior as might be helpful in imposing sentence or in granting probation or in the correctional treatment of the defendant, and such other information as might be required by the court. 1975 AMENDMENT Pub. L. 94-64 amended subds. (a)(1) and (c)(1), (3)(A), (D) generally. -CHANGE- CHANGE OF NAME Section 12 of Pub. L. 94-233, Mar. 15, 1976, 90 Stat. 233, provided that references to the United States Parole Board be deemed to refer to the United States Parole Commission. -MISC4- EFFECTIVE DATE OF 1986 AMENDMENT Section 25(b) of Pub. L. 99-646 provided that: 'The amendment made by subsection (a) shall take effect on the taking effect of the amendment made by section 215(a)(5) of the Comprehensive Crime Control Act of 1984 (Sec. 215(a)(5) of Pub. L. 98-473, effective Nov. 1, 1987).' EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1982 AMENDMENT Amendment by Pub. L. 97-291 effective Oct. 14, 1982, see section 9(a) of Pub. L. 97-291 set out as an Effective Date note under section 1512 of this title. EFFECTIVE DATE OF 1979 AMENDMENT Amendment of this rule by abrogation of subd. (f) by order of the United States Supreme Court of Apr. 30, 1979, effective Dec. 1, 1980, see section 1(1) of Pub. L. 96-42, July 31, 1979, 93 Stat. 326, set out as a note under section 3771 of this title. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974, and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- CROSS REFERENCES Appeal as stay of sentence, see rule 38. Correction of sentence, see rule 35. Criminal contempt, punishment for, see rule 42. Expenses of execution of sentence, payments, see section 4007 of this title. Motions attacking sentence, vacating, setting aside or correcting, see section 2255 of Title 28, Judiciary and Judicial Procedure. Presence of defendant, imposition of sentence, see rule 43. Reduction of sentence, generally, see rule 35. Sentences, see section 3551 et seq. of this title. ------DocID 25120 Document 1362 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 32.1 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- Rule 32.1. Revocation or Modification of Probation or Supervised Release -STATUTE- (a) Revocation of Probation or Supervised Release. (1) Preliminary Hearing. Whenever a person is held in custody on the grounds that the person has violated a condition of probation or supervised release, the person shall be afforded a prompt hearing before any judge, or a United States magistrate who has been given authority pursuant to 28 U.S.C. Sec. 636 to conduct such hearings, in order to determine whether there is probable cause to hold the person for a revocation hearing. The person shall be given (A) notice of the preliminary hearing and its purpose and of the alleged violation; (B) an opportunity to appear at the hearing and present evidence in the person's own behalf; (C) upon request, the opportunity to question witnesses against the person unless, for good cause, the federal magistrate decides that justice does not require the appearance of the witness; and (D) notice of the person's right to be represented by counsel. The proceedings shall be recorded stenographically or by an electronic recording device. If probable cause is found to exist, the person shall be held for a revocation hearing. The person may be released pursuant to Rule 46(c) pending the revocation hearing. If probable cause is not found to exist, the proceeding shall be dismissed. (2) Revocation Hearing. The revocation hearing, unless waived by the person, shall be held within a reasonable time in the district of jurisdiction. The person shall be given (A) written notice of the alleged violation; (B) disclosure of the evidence against the person; (C) an opportunity to appear and to present evidence in the person's own behalf; (D) the opportunity to question adverse witnesses; and (E) notice of the person's right to be represented by counsel. (b) Modification of Probation or Supervised Release. A hearing and assistance of counsel are required before the terms or conditions of probation or supervised release can be modified, unless the relief to be granted to the person on probation or supervised release upon the person's request or the court's own motion is favorable to the person, and the attorney for the government, after having been given notice of the proposed relief and a reasonable opportunity to object, has not objected. An extension of the term of probation or supervised release is not favorable to the person for the purposes of this rule. -SOURCE- (Added Apr. 30, 1979, eff. Dec. 1, 1980, and amended Nov. 10, 1986, Pub. L. 99-646, Sec. 12(b), 100 Stat. 3594; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a)(1). Since Morrissey v. Brewer, 408 U.S. 471 (1972), and Gagnon v. Scarpelli, 411 U.S. 778 (1973), it is clear that a probationer can no longer be denied due process in reliance on the dictum in Escoe v. Zerbst, 295 U.S. 490, 492 (1935), that probation is an 'act of grace.' See Van Alstyne, The Demise of the Right-Privilege Distinction in Constitutional Law, 81 Harv.L.Rev. 1439 (1968); President's Commission on Law Enforcement and Administration of Justice. Task Force Report: Corrections 86 (1967). Subdivision (a)(1) requires, consistent with the holding in Scarpelli, that a prompt preliminary hearing must be held whenever 'a probationer is held in custody on the ground that he has violated a condition of his probation.' See 18 U.S.C. Sec. 3653 regarding arrest of the probationer with or without a warrant. If there is to be a revocation hearing but there has not been a holding in custody for a probation violation, there need not be a preliminary hearing. It was the fact of such a holding in custody 'which prompted the Court to determine that a preliminary as well as a final revocation hearing was required to afford the petitioner due process of law.' United States v. Tucker, 524 F.2d 77 (5th Cir. 1975). Consequently, a preliminary hearing need not be held if the probationer was at large and was not arrested but was allowed to appear voluntarily, United States v. Strada, 503 F.2d 1081 (8th Cir. 1974), or in response to a show cause order which 'merely requires his appearance in court,' United States v. Langford, 369 F.Supp. 1107 (N.D.Ill. 1973); if the probationer was in custody pursuant to a new charge, Thomas v. United States, 391 F.Supp. 202 (W.D.Pa. 1975), or pursuant to a final conviction of a subsequent offense, United States v. Tucker, supra; or if he was arrested but obtained his release. Subdivision (a)(1)(A), (B) and (C) list the requirements for the preliminary hearing, as developed in Morrissey and made applicable to probation revocation cases in Scarpelli. Under (A), the probationer is to be given notice of the hearing and its purpose and of the alleged violation of probation. 'Although the allegations in a motion to revoke probation need not be as specific as an indictment, they must be sufficient to apprise the probationer of the conditions of his probation which he is alleged to have violated, as well as the dates and events which support the charge.' Kartman v. Parratt, 397 F.Supp. 531 (D.Nebr. 1975). Under (B), the probationer is permitted to appear and present evidence in his own behalf. And under (C), upon request by the probationer, adverse witnesses shall be made available for questioning unless the magistrate determines that the informant would be subjected to risk or harm if his identity were disclosed. Subdivision (a)(1)(D) provides for notice to the probationer of his right to be represented by counsel at the preliminary hearing. Although Scarpelli did not impose as a constitutional requirement a right to counsel in all instances, under 18 U.S.C. Sec. 3006A(b) a defendant is entitled to be represented by counsel whenever charged 'with a violation of probation.' The federal magistrate (see definition in rule 54(c)) is to keep a record of what transpires at the hearing and, if he finds probable cause of a violation, hold the probationer for a revocation hearing. The probationer may be released pursuant to rule 46(c) pending the revocation hearing. Note to Subdivision (a)(2). Subdivision (a)(2) mandates a final revocation hearing within a reasonable time to determine whether the probationer has, in fact, violated the conditions of his probation and whether his probation should be revoked. Ordinarily this time will be measured from the time of the probable cause finding (if a preliminary hearing was held) or of the issuance of an order to show cause. However, what constitutes a reasonable time must be determined on the facts of the particular case, such as whether the probationer is available or could readily be made available. If the probationer has been convicted of and is incarcerated for a new crime, and that conviction is the basis of the pending revocation proceedings, it would be relevant whether the probationer waived appearance at the revocation hearing. The hearing required by rule 32.1(a)(2) is not a formal trial; the usual rules of evidence need not be applied. See Morrissey v. Brewer, supra ('the process should be flexible enough to consider evidence including letters, affidavits, and other material that would not be admissible in an adversary criminal trial'); Rule 1101(d)(e) of the Federal Rules of Evidence (rules not applicable to proceedings 'granting or revoking probation'). Evidence that would establish guilt beyond a reasonable doubt is not required to support an order revoking probation. United States v. Francischine, 512 F.2d 827 (5th Cir. 1975). This hearing may be waived by the probationer. Subdivisions (a)(2)(A)-(E) list the rights to which a probationer is entitled at the final revocation hearing. The final hearing is less a summary one because the decision under consideration is the ultimate decision to revoke rather than a mere determination of probable cause. Thus, the probationer has certain rights not granted at the preliminary hearing: (i) the notice under (A) must by written; (ii) under (B) disclosure of all the evidence against the probationer is required; and (iii) under (D) the probationer does not have to specifically request the right to confront adverse witnesses, and the court may not limit the opportunity to question the witnesses against him. Under subdivision (a)(2)(E) the probationer must be given notice of his right to be represented by counsel. Although Scarpelli holds that the Constitution does not compel counsel in all probation revocation hearings, under 18 U.S.C. Sec. 3006A(b) a defendant is entitled to be represented by counsel whenever charged 'with a violation of probation.' Revocation of probation is proper if the court finds a violation of the conditions of probation and that such violation warrants revocation. Revocation followed by imprisonment is an appropriate disposition if the court finds on the basis of the original offense and the intervening conduct of the probationer that: (i) confinement is necessary to protect the public from further criminal activity by the offender; or (ii) the offender is in need of correctional treatment which can most effectively be provided if he is confined; or (iii) it would unduly depreciate the seriousness of the violation if probation were not revoked. See American Bar Association, Standards Relating to Probation Sec. 5.1 (Approved Draft, 1970). If probation is revoked, the probationer may be required to serve the sentence originally imposed, or any lesser sentence, and if imposition of sentence was suspended he may receive any sentence which might have been imposed. 18 U.S.C. Sec. 3653. When a split sentence is imposed under 18 U.S.C. Sec. 3651 and probation is subsequently revoked, the probationer is entitled to credit for the time served in jail but not for the time he was on probation. Thomas v. United States, 327 F.2d 795 (10th Cir.), cert, denied 377 U.S. 1000 (1964); Schley v. Peyton, 280 F.Supp. 307 (W.D.Va. 1968). Note to Subdivision (b). Subdivision (b) concerns proceedings on modification of probation (as provided for in 18 U.S.C. Sec. 3651). The probationer should have the right to apply to the sentencing court for a clarification or change of conditions. American Bar Association, Standards Relating to Probation Sec. 3.1(c) (Approved Draft, 1970). This avenue is important for two reasons: (1) the probationer should be able to obtain resolution of a dispute over an ambiguous term or the meaning of a condition without first having to violate it; and (2) in cases of neglect, overwork, or simply unreasonableness on the part of the probation officer, the probationer should have recourse to the sentencing court when a condition needs clarification or modification. Probation conditions should be subject to modification, for the sentencing court must be able to respond to changes in the probationer's circumstances as well as new ideas and methods of rehabilitation. See generally ABA Standards, supra, Sec. 3.3. The Sentencing court is given the authority to shorten the term or end probation early upon its own motion without a hearing. And while the modification of probation is a part of the sentencing procedure, so that the probationer is ordinarily entitled to a hearing and presence of counsel, a modification favorable to the probationer may be accomplished without a hearing in the presence of defendant and counsel. United States v. Bailey, 343 F.Supp. 76 (W.D.Mo. 1971). NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. NOTES OF ADVISORY COMMITTEE ON RULES - 1989 AMENDMENT The amendments recognize that convicted defendants may be on supervised release as well as on probation. See 18 U.S.C. Sec. 3583, and 3624(e). 1986 AMENDMENT Subd. (b). Pub. L. 99-646 inserted 'to be' after 'relief' and inserted provision relating to objection from the attorney for the government after notice of the proposed relief and extension of the term of probation as not favorable to the probationer for the purposes of this rule. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1986 AMENDMENT Section 12(c)(2) of Pub. L. 99-646 provided that: 'The amendments made by subsection (b) (amending this rule) shall take effect 30 days after the date of enactment of this Act (Nov. 10, 1986).' EFFECTIVE DATE OF RULE This rule added by order of the United States Supreme Court of Apr. 30, 1979, effective Dec. 1, 1980, see section 1(1) of Pub. L. 96-42, July 31, 1979, 93 Stat. 326, set out as a note under section 3771 of this title. ------DocID 25121 Document 1363 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 33 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- Rule 33. New Trial -STATUTE- The court on motion of a defendant may grant a new trial to that defendant if required in the interest of justice. If trial was by the court without a jury the court on motion of a defendant for a new trial may vacate the judgment if entered, take additional testimony and direct the entry of a new judgment. A motion for a new trial based on the ground of newly discovered evidence may be made only before or within two years after final judgment, but if an appeal is pending the court may grant the motion only on remand of the case. A motion for a new trial based on any other grounds shall be made within 7 days after verdict or finding of guilty or within such further time as the court may fix during the 7-day period. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule enlarges the time limit for motions for new trial on the ground of newly discovered evidence, from 60 days to two years; and for motions for new trial on other grounds from three to five days. Otherwise, it substantially continues existing practice. See Rule II of the Criminal Appeals Rules of 1933, 292 U.S. 661. Cf. Rule 59(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The amendments to the first two sentences make it clear that a judge has no power to order a new trial on his own motion, that he can act only in response to a motion timely made by a defendant. Problems of double jeopardy arise when the court acts on its own motion. See United States v. Smith, 331 U.S. 469 (1947). These amendments do not, of course, change the power which the court has in certain circumstances, prior to verdict or finding of guilty, to declare a mistrial and order a new trial on its own motion. See e.g., Gori v. United States, 367 U.S. 364 (1961); Downum v. United States, 372 U.S. 734 (1963); United States v. Tateo, 377 U.S. 463 (1964). The amendment to the last sentence changes the time in which the motion may be made to 7 days. See the Advisory Committee's Note to Rule 29. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- CROSS REFERENCES Acquittal, alternative on renewal of motion for, see rule 29. Enlargement of time for action not permitted, see rule 45. Judges, disability after verdict or finding of guilt, see rule 25. Remedies on motion attacking sentence of prisoner in Federal custody, see section 2255 of Title 28, Judiciary and Judicial Procedure. Several defendants, inability of jury to agree as to verdict, see rule 31. ------DocID 25122 Document 1364 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 34 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- Rule 34. Arrest of Judgment -STATUTE- The court on motion of a defendant shall arrest judgment if the indictment or information does not charge an offense or if the court was without jurisdiction of the offense charged. The motion in arrest of judgment shall be made within 7 days after verdict or finding of guilty, or after plea of guilty or nolo contendere, or within such further time as the court may fix during the 7-day period. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule continues existing law except that it enlarges the time for making motions in arrest of judgment from 3 days to 5 days. See Rule II (2) of Criminal Appeals Rules of 1933, 292 U.S.C. 661. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The words 'on motion of a defendant' are added to make clear here, as in Rule 33, that the court may act only pursuant to a timely motion by the defendant. The amendment to the second sentence is designed to clarify an ambiguity in the rule as originally drafted. In Lott v. United States, 367 U.S. 421 (1961) the Supreme Court held that when a defendant pleaded nolo contendere the time in which a motion could be made under this rule did not begin to run until entry of the judgment. The Court held that such a plea was not a 'determination of guilty.' No reason of policy appears to justify having the time for making this motion commence with the verdict or finding of guilt but not with the acceptance of the plea of nolo contendere or the plea of guilty. The amendment changes the result in the Lott case and makes the periods uniform. The amendment also changes the time in which the motion may be made to 7 days. See the Advisory Committee's Note to Rule 29. -CROSS- CROSS REFERENCES Enlargement of time not permitted for motion under this rule, see rule 45. ------DocID 25123 Document 1365 of 1438------ -CITE- 18 USC APPENDIX - RULES OF CRIMINAL PROCEDURE Rule 35 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- Rule 35. Correction of Sentence -STATUTE- (a) Correction of a Sentence on Remand. The court shall correct a sentence that is determined on appeal under 18 U.S.C. 3742 to have been imposed in violation of law, to have been imposed as a result of an incorrect application of the sentencing guidelines, or to be unreasonable, upon remand of the case to the court - (1) for imposition of a sentence in accord with the findings of the court of appeals; or (2) for further sentencing proceedings if, after such proceedings, the court determines that the original sentence was incorrect. (b) Correction of Sentence for Changed Circumstances. The court, on motion of the Government, may within one year after the imposition of a sentence, lower a sentence to reflect a defendant's subsequent, substantial assistance in the investigation or prosecution of another person who has committed an offense, in accordance with the guidelines and policy statements issued by the Sentencing Commission pursuant to section 994 of title 28, United States Code. The court's authority to lower a sentence under this subdivision includes the authority to lower such sentence to a level below that established by statute as a minimum sentence. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 30, 1979, eff. Aug. 1, 1979; Apr. 28, 1983, eff. Aug. 1, 1983; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 215(b), 98 Stat. 2015; Apr. 29, 1985, eff. Aug. 1, 1985; Oct. 27, 1986, Pub. L. 99-570, title I, Sec. 1009(a), 100 Stat. 3207-8.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The first sentence of the rule continues existing law. The second sentence introduces a flexible time limitation on the power of the court to reduce a sentence, in lieu of the present limitation of the term of court. Rule 45(c) abolishes the expiration of a term of court as a time limitation, thereby necessitating the introduction of a specific time limitation as to all proceedings now governed by the term of court as a limitation. The Federal Rules of Civil Procedure (Rule 6(c)) (28 U.S.C., Appendix), abolishes the term of court as a time limitation in respect to civil actions. The two rules together thus do away with the significance of the expiration of a term of court which has largely become an anachronism. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The amendment to the first sentence gives the court power to correct a sentence imposed in an illegal manner within the same time limits as those provided for reducing a sentence. In Hill v. United States, 368 U.S. 424 (1962) the court held that a motion to correct an illegal sentence was not an appropriate way for a defendant to raise the question whether when he appeared for sentencing the court had afforded him an opportunity to make a statement in his own behalf as required by Rule 32(a). The amendment recognizes the distinction between an illegal sentence, which may be corrected at any time, and a sentence imposed in an illegal manner, and provides a limited time for correcting the latter. The second sentence has been amended to increase the time within which the court may act from 60 days to 120 days. The 60-day period is frequently too short to enable the defendant to obtain and file the evidence, information and argument to support a reduction in sentence. Especially where a defendant has been committed to an institution at a distance from the sentencing court, the delays involved in institutional mail inspection procedures and the time required to contact relatives, friends and counsel may result in the 60-day period passing before the court is able to consider the case. The other amendments to the second sentence clarify ambiguities in the timing provisions. In those cases in which the mandate of the court of appeals is issued prior to action by the Supreme Court on the defendant's petition for certiorari, the rule created problems in three situations: (1) If the writ were denied, the last phrase of the rule left obscure the point at which the period began to run because orders of the Supreme Court denying applications for writs are not sent to the district courts. See Johnson v. United States, 235 F.2d 459 (5th Cir. 1956). (2) If the writ were granted but later dismissed as improvidently granted, the rule did not provide any time period for reduction of sentence. (3) If the writ were granted and later the Court affirmed a judgment of the court of appeals which had affirmed the conviction, the rule did not provide any time period for reduction of sentence. The amendment makes it clear that in each of these three situations the 120-period commences to run with the entry of the order or judgment of the Supreme Court. The third sentence has been added to make it clear that the time limitation imposed by Rule 35 upon the reduction of a sentence does not apply to such reduction upon the revocation of probation as authorized by 18 U.S.C. Sec. 3653. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Rule 35 is amended in order to make it clear that a judge may, in his discretion, reduce a sentence of incarceration to probation. To the extent that this permits the judge to grant probation to a defendant who has already commenced service of a term of imprisonment, it represents a change in the law. See United States v. Murray, 275 U.S. 347 (1928) (Probation Act construed not to give power to district court to grant probation to convict after beginning of service of sentence, even in the same term of court); Affronti v. United States, 350 U.S. 79 (1955) (Probation Act construed to mean that after a sentence of consecutive terms on multiple counts of an indictment has been imposed and service of sentence for the first such term has commenced, the district court may not suspend sentence and grant probation as to the remaining term or terms). In construing the statute in Murray and Affronti, the Court concluded Congress could not have intended to make the probation provisions applicable during the entire period of incarceration (the only other conceivable interpretation of the statute), for this would result in undue duplication of the three methods of mitigating a sentence - probation, pardon and parole - and would impose upon district judges the added burden of responding to probation applications from prisoners throughout the service of their terms of imprisonment. Those concerns do not apply to the instant provisions, for the reduction may occur only within the time specified in subdivison (b). This change gives 'meaningful effect' to the motion-to-reduce remedy by allowing the court 'to consider all alternatives that were available at the time of imposition of the original sentence.' United States v. Golphin, 362 F.Supp. 698 (W.D.Pa. 1973). Should the reduction to a sentence of probation occur after the defendant has been incarcerated more than six months, this would put into issue the applicability of 18 U.S.C. Sec. 3651, which provides that initially the court 'may impose a sentence in excess of six months and provide that the defendant be confined in a jail-type institution for a period not exceeding six months and that the execution of the remainder of the sentence be suspended and the defendant placed on probation for such period and upon such terms and conditions as the court deems best.' NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT Note to Subdivision (b). There is currently a split of authority on the question of whether a court may reduce a sentence within 120 days after revocation of probation when the sentence was imposed earlier but execution of the sentence had in the interim been suspended in part or in its entirety. Compare United States v. Colvin, 644 F.2d 703 (8th Cir. 1981) (yes); United States v. Johnson, 634 F.2d 94 (3d Cir. 1980) (yes); with United States v. Rice, 671 F.2d 455 (11th Cir. 1982) (no); United States v. Kahane, 527 F.2d 491 (2d Cir. 1975) (no). The Advisory Committee believes that the rule should be clarified in light of this split, and has concluded that as a policy matter the result reached in Johnson is preferable. The Supreme Court declared in Korematsu v. United States, 319 U.S. 432, 435 (1943), that 'the difference to the probationer between imposition of sentence followed by probation . . . and suspension of the imposition of sentence (followed by probation)' is not a meaningful one. When imposition of sentence is suspended entirely at the time a defendant is placed on probation, that defendant has 120 days after revocation of probation and imposition of sentence to petition for leniency. The amendment to subdivision (b) makes it clear that similar treatment is to be afforded probationers for whom execution, rather than imposition, of sentence was originally suspended. The change facilitates the underlying objective of rule 35, which is to 'give every convicted defendant a second round before the sentencing judge, and (afford) the judge an opportunity to reconsider the sentence in the light of any further information about the defendant or the case which may have been presented to him in the interim.' United States v. Ellenbogan, 390 F.2d 537, 543 (2d Cir. 1968). It is only technically correct that a reduction may be sought when a suspended sentence is imposed. As noted in Johnson, supra, at 96: It frequently will be unrealistic for a defendant whose sentence has just been suspended to petition the court for the further relief of a reduction of that suspended sentence. Just as significant, we doubt that sentencing judges would be very receptive to Rule 35 motions proffered at the time the execution of a term of imprisonment is suspended in whole or in part and the defendant given a term of probation. Moreover, the sentencing judge cannot know of events that might occur later and that might bear on what would constitute an appropriate term of imprisonment should the defendant violate his probation. . . . In particular, it is only with the revocation hearing that the judge is in a position to consider whether a sentence originally suspended pending probation should be reduced. The revocation hearing is thus the first point at which an offender can be afforded a realistic opportunity to plead for a light sentence. If the offender is to be provided two chances with the sentencing judge, to be meaningful this second sentence must occur subsequent to the revocation hearing. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT Note to Subdivision (b). This amendment to Rule 35(b) conforms its language to the nonliteral interpretation which most courts have already placed upon the rule, namely, that it suffices that the defendant's motion was made within the 120 days and that the court determines the motion within a reasonable time thereafter. United States v. DeMier, 671 F.2d 1200 (8th Cir. 1982); United States v. Smith, 650 F.2d 206 (9th Cir. 1981); United States v. Johnson, 634 F.2d 94 (3d Cir. 1980); United States v. Mendoza, 581 F.2d 89 (5th Cir. 1978); United States V. Stollings, 516 F.2d 1287 (4th Cir. 1975). Despite these decisions, a change in the language is deemed desirable to remove any doubt which might arise from dictum in some cases, e.g., United States v. Addonizio, 442 U.S. 178, 189 (1979), that Rule 35 only 'authorizes District Courts to reduce a sentence within 120 days' and that this time period 'is jurisdictional, and may not be extended.' See United States v. Kajevic, 711 F.2d 767 (7th Cir. 1983), following the Addonizio dictum. As for the 'reasonable time' limitation, reasonableness in this context 'must be evaluated in light of the policies supporting the time limitations and the reasons for the delay in each case.' United States v. Smith, supra, at 209. The time runs 'at least for so long as the judge reasonably needs time to consider and act upon the motion.' United States v. Stollings, supra, at 1288. In some instances the court may decide to reduce a sentence even though no motion seeking such action is before the court. When that is the case, the amendment makes clear, the reduction must actually occur within the time specified. This amendment does not preclude the filing of a motion by a defendant for further reduction of sentence after the court has reduced a sentence on its own motion, if filed within the 120 days specified in this rule. 1986 AMENDMENT Subd. (b). Pub. L. 99-570 substituted 'in accordance with the guidelines and policy statements issued by the Sentencing Commission pursuant to section 994 of title 28, United States Code. The court's authority to lower a sentence under this subdivision includes the authority to lower such sentence to a level below that established by statute as a minimum sentence' for 'to the extent that such assistance is a factor in applicable guidelines or policy statements issued by the Sentencing Commission pursuant to 28 U.S.C. 994(a)'. 1984 AMENDMENT Pub. L. 98-473 amended Rule 35 generally. Prior to amendment, rule read as follows: 'Rule 35. Correction or Reduction of Sentence '(a) Correction of Sentence. The court may correct an illegal sentence at any time and may correct a sentence imposed in an illegal manner within the time provided herein for the reduction of sentence. '(b) Reduction of Sentence. A motion to reduce a sentence may be made, or the court may reduce a sentence without motion, within 120 days after the sentence is imposed or probation is revoked, or within 120 days after receipt by the court of a mandate issued upon affirmance of the judgment or dismissal of the appeal, or within 120 days after entry of any order or judgment of the Supreme Court denying review of, or having the effect of upholding, a judgment of conviction or probation revocation. The court shall determine the motion within a reasonable time. Changing a sentence from a sentence of incarceration to a grant of probation shall constitute a permissible reduction of sentence under this subdivision.' EFFECTIVE DATE OF 1986 AMENDMENT Section 1009(b) of Pub. L. 99-570 provided that: 'The amendment made by this section (amending this rule) shall take effect on the date of the taking effect of rule 35(b) of the Federal Rules of Criminal Procedure, as amended by section 215(b) of the Comprehensive Crime Control Act of 1984 (section 215(b) of Pub. L. 98-473, effective Nov. 1, 1987).' EFFECTIVE AND TERMINATION DATES OF 1985 AMENDMENTS Section 2 of the Order of the Supreme Court dated Apr. 29, 1985, provided: 'That the foregoing amendments to the Federal Rules of Criminal Procedure (amending Rules 6, 11, 12.1, 12.2, 35, 45, 49, and 57) shall take effect on August 1, 1985 and shall govern all proceedings in criminal cases thereafter commenced and, insofar as just and practicable, all proceedings in criminal cases then pending. The amendment to Rule 35(b) shall be effective until November 1, 1986, when Section 215(b) of the Comprehensive Crime Control Act of 1984, Pub. L. 98-473, approved October 12, 1984, 98 Stat. 2015, goes into effect.' See section 22 of Pub. L. 100-182, set out below, for application of Rule 35(b) to conduct occurring before effective date of sentencing guidelines. Section 235(a)(1) of Pub. L. 98-473, which originally provided for an effective date of Nov. 1, 1986 for the amendment to Rule 35 by section 215(b) of Pub. L. 98-473, was later amended to provide for an effective date of Nov. 1, 1987, with applicability only to offenses committed after the taking effect of such amendment. See Effective Date note set out under section 3551 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. APPLICATION OF RULE 35(B) TO CONDUCT OCCURRING BEFORE EFFECTIVE DATE OF SENTENCING GUIDELINES Pub. L. 100-182, Sec. 22, Dec. 7, 1987, 101 Stat. 1271, provided that: 'The amendment to rule 35(b) of the Federal Rules of Criminal Procedure made by the order of the Supreme Court on April 29, 1985, shall apply with respect to all offenses committed before the taking effect of section 215(b) of the Comprehensive Crime Control Act of 1984 (section 215(b) of Pub. L. 98-473, effective Nov. 1, 1987).' AUTHORITY TO LOWER A SENTENCE BELOW STATUTORY MINIMUM FOR OLD OFFENSES Subd. (b) of this rule as amended by section 215(b) of Pub. L. 98-473 and subd. (b) of this rule as in effect before the taking effect of the initial set of guidelines promulgated by the United States Sentencing Commission pursuant to chapter 58 (Sec. 991 et seq.) of Title 28, Judiciary and Judicial Procedure, applicable in the case of an offense committed before the taking effect of such guidelines notwithstanding section 235 of Pub. L. 98-473, see section 24 of Pub. L. 100-182, set out as a note under section 3553 of this title. -CROSS- CROSS REFERENCES Enlargement of time not permitted for motion under this rule, see rule 45. Expiration of term of court affecting power to act, see rule 45. Presence of defendant, necessity of, see rule 43. Remedies on motion attacking sentence while in Federal custody, see section 2255 of Title 28, Judiciary and Judicial Procedure. ------DocID 25124 Document 1366 of 1438------ -CITE- 18 USC Rule 36 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS VII -HEAD- Rule 36. Clerical Mistakes -STATUTE- Clerical mistakes in judgments, orders or other parts of the record and errors in the record arising from oversight or omission may be corrected by the court at any time and after such notice, if any, as the court orders. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule continues existing law. Rupinski v. United States, 4 F.2d 17 (C.C.A. 6th). The rule is similar to Rule 60(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Correction of clerical mistakes, see rule 60, Title 28. Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Remedies on motion attacking sentence while in Federal custody, see section 2255 of Title 28, Judiciary and Judicial Procedure. ------DocID 25125 Document 1367 of 1438------ -CITE- 18 USC (VIII -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS (VIII -HEAD- (VIII. APPEAL) (Abrogated Dec. 4, 1967, eff. July 1, 1968) ------DocID 25126 Document 1368 of 1438------ -CITE- 18 USC Rule 37 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS (VIII -HEAD- (Rule 37. Taking Appeal; and Petition for Writ of Certiorari) (Abrogated Dec. 4, 1967, eff. July 1, 1968) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES These are the criminal rules (Rules 37, 38(b), (c), 39) relating to appeals, the provisions of which are transferred to and covered by the Federal Rules of Appellate Procedure and (in the case of Rule 37(b) and (c)) by the Rules of the Supreme Court. ------DocID 25127 Document 1369 of 1438------ -CITE- 18 USC Rule 38 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS (VIII -HEAD- Rule 38. Stay of Execution -STATUTE- (a) Death. A sentence of death shall be stayed if an appeal is taken from the conviction or sentence. (b) Imprisonment. A sentence of imprisonment shall be stayed if an appeal is taken from the conviction or sentence and the defendant is released pending disposition of the appeal pursuant to Rule 9(b) of the Federal Rules of Appellate Procedure. If not stayed, the court may recommend to the Attorney General that the defendant be retained at, or transferred to, a place of confinement near the place of trial or the place where an appeal is to be heard, for a period reasonably necessary to permit the defendant to assist in the preparation of an appeal to the court of appeals. (c) Fine. A sentence to pay a fine or a fine and costs, if an appeal is taken, may be stayed by the district court or by the court of appeals upon such terms as the court deems proper. The court may require the defendant pending appeal to deposit the whole or any part of the fine and costs in the registry of the district court, or to give bond for the payment thereof, or to submit to an examination of assets, and it may make any appropriate order to restrain the defendant from dissipating such defendant's assets. (d) Probation. A sentence of probation may be stayed if an appeal from the conviction or sentence is taken. If the sentence is stayed, the court shall fix the terms of the stay. (e) Criminal Forfeiture, Notice to Victims, and Restitution. A sanction imposed as part of the sentence pursuant to 18 U.S.C. 3554, 3555, or 3556 may, if an appeal of the conviction or sentence is taken, be stayed by the district court or by the court of appeals upon such terms as the court finds appropriate. The court may issue such orders as may be reasonably necessary to ensure compliance with the sanction upon disposition of the appeal, including the entering of a restraining order or an injunction or requiring a deposit in whole or in part of the monetary amount involved into the registry of the district court or execution of a performance bond. (f) Disabilities. A civil or employment disability arising under a Federal statute by reason of the defendant's conviction or sentence, may, if an appeal is taken, be stayed by the district court or by the court of appeals upon such terms as the court finds appropriate. The court may enter a restraining order or an injunction, or take any other action that may be reasonably necessary to protect the interest represented by the disability pending disposition of the appeal. -SOURCE- (As amended Dec. 27, 1948, eff. Jan. 1, 1949; Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 1968; Apr. 24, 1972, eff. Oct. 1, 1972; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 215(c), 98 Stat. 2016; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule substantially continues existing law except that it provides that in case an appeal is taken from a judgment imposing a sentence of imprisonment, a stay shall be granted only if the defendant so elects, or is admitted to bail. Under the present rule the sentence is automatically stayed unless the defendant elects to commence service of the sentence pending appeal. The new rule merely changes the burden of making the election. See Rule V of the Criminal Appeals Rules, 1933, 292 U.S. 661. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT A defendant sentenced to a term of imprisonment is committed to the custody of the Attorney General who is empowered by statute to designate the place of his confinement. 18 U.S.C. Sec. 4082. The sentencing court has no authority to designate the place of imprisonment. See, e.g., Hogue v. United States, 287 F.2d 99 (5th Cir. 1961), cert. den., 368 U.S. 932 (1961). When the place of imprisonment has been designated, and notwithstanding the pendency of an appeal, the defendant is usually transferred from the place of his temporary detention within the district of his conviction unless he has elected 'not to commence service of the sentence.' This transfer can be avoided only if the defendant makes the election, a course sometimes advised by counsel who may deem it necessary to consult with the defendant from time to time before the appeal is finally perfected. However, the election deprives the defendant of a right to claim credit for the time spent in jail pending the disposition of the appeal because 18 U.S.C. Sec. 3568 provides that the sentence of imprisonment commences, to run only from 'the date on which such person is received at the penitentiary, reformatory, or jail for service of said sentence.' See, e.g., Shelton v. United States, 234 F.2d 132 (5th Cir. 1956). The amendment eliminates the procedure for election not to commence service of sentence. In lieu thereof it is provided that the court may recommend to the Attorney General that the defendant be retained at or transferred to a place of confinement near the place of trial or the place where the appeal is to be heard for the period reasonably necessary to permit the defendant to assist in the preparation of his appeal to the court of appeals. Under this procedure the defendant would no longer be required to serve dead time in a local jail in order to assist in preparation of his appeal. NOTES OF ADVISORY COMMITTEE ON RULES - 1968 AMENDMENT Subdivisions (b) and (c) of this rule relate to appeals, the provisions of which are transferred to and covered by the Federal Rules of Appellate Procedure. See Advisory Committee Note under rule 37. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Rule 38(a)(2) is amended to reflect rule 9(b), Federal Rules of Appellate Procedure. The criteria for the stay of a sentence of imprisonment pending disposition of an appeal are those specified in rule 9(c) which incorporates 18 U.S.C. Sec. 3148 by reference. The last sentence of subdivision (a)(2) is retained although easy access to the defendant has become less important with the passage of the Criminal Justice Act which provides for compensation to the attorney to travel to the place at which the defendant is confined. Whether the court will recommend confinement near the place of trial or place where the appeal is to be heard will depend upon a balancing of convenience against the possible advantage of confinement at a more remote correctional institution where facilities and program may be more adequate. The amendment to subdivision (a)(4) gives the court discretion in deciding whether to stay the order placing the defendant on probation. It also makes mandatory the fixing of conditions for the stay if a stay is granted. The court cannot release the defendant pending appeal without either placing him on probation or fixing the conditions for the stay under the Bail Reform Act, 18 U.S.C. Sec. 3148. Former rule 38(a)(4) makes mandatory a stay of an order placing the defendant on probation whenever an appeal is noted. The court may or may not impose conditions upon the stay. See rule 46, Federal Rules of Criminal Procedure; and the Bail Reform Act, 18 U.S.C. Sec. 3148. Having the defendant on probation during the period of appeal may serve the objectives of both community protection and defendant rehabilitation. In current practice, the order of probation is sometimes stayed for an appeal period as long as two years. In a situation where the appeal is unsuccessful, the defendant must start under probation supervision after so long a time that the conditions of probation imposed at the time of initial sentencing may no longer appropriately relate either to the defendant's need for rehabilitation or to the community's need for protection. The purposes of probation are more likely to be served if the judge can exercise discretion, in appropriate cases, to require the defendant to be under probation during the period of appeal. The American Bar Association Project on Standards for Criminal Justice takes the position that prompt imposition of sentence aids in the rehabilitation of defendants, ABA Standards Relating to Pleas of Guilty Sec. 1.8(a)(i), Commentary p. 40 (Approved Draft, 1968). See also Sutherland and Cressey, Principles of Criminology 336 (1966). Under 18 U.S.C. Sec. 3148 the court now has discretion to impose conditions of release which are necessary to protect the community against danger from the defendant. This is in contrast to release prior to conviction, where the only appropriate criterion is insuring the appearance of the defendant. 18 U.S.C. Sec. 3146. Because the court may impose conditions of release to insure community protection, it seems appropriate to enable the court to do so by ordering the defendant to submit to probation supervision during the period of appeal, thus giving the probation service responsibility for supervision. A major difference between probation and release under 18 U.S.C. Sec. 3148 exists if the defendant violates the conditions imposed upon his release. In the event that release is under 18 U.S.C. Sec. 3148, the violation of the condition may result in his being placed in custody pending the decision on appeal. If the appeal were unsuccessful, the order placing him on probation presumably would become effective at that time, and he would then be released under probation supervision. If the defendant were placed on probation, his violation of a condition could result in the imposition of a jail or prison sentence. If the appeal were unsuccessful, the jail or prison sentence would continue to be served. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Appellate Procedure, referred to in subd. (b), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. 1984 AMENDMENT Pub. L. 98-473, Sec. 215(c)(1), substituted 'Stay of Execution' for 'Stay of Execution, and Relief Pending Review' in rule catchline. Subd. (a). Pub. L. 98-473, Sec. 215(c)(1), struck out subd. heading '(a) Stay of Execution'. Pub. L. 98-473, Sec. 215(c)(3), (4), redesignated subd. (a)(1) as (a), and inserted 'from the conviction or sentence' after 'is taken'. Subd. (b). Pub. L. 98-473, Sec. 215(c)(3), (5), redesignated subd. (a)(2) as (b), and inserted 'from the conviction or sentence' after 'is taken'. Pub. L. 98-473, Sec. 215(c)(2), struck out subd. (b) relating to bail, which had been abrogated Dec. 4, 1967, eff. July 1, 1968. Subd. (c). Pub. L. 98-473, Sec. 215(c)(3), redesignated subd. (a)(3) as (c). Pub. L. 98-473, Sec. 215(c)(2), struck out subd. (c) relating to application for relief pending review, which had been abrogated Dec. 4, 1967, eff. July 1, 1968. Subd. (d). Pub. L. 98-473, Sec. 215(c)(3), (6), redesignated subd. (a)(4) as (d) and amended it generally. Prior to amendment, subd. (a)(4) read as follows: 'An order placing the defendant on probation may be stayed if an appeal is taken. If not stayed, the court shall specify when the term of probation shall commence. If the order is stayed the court shall fix the terms of the stay.' Subds. (e), (f). Pub. L. 98-473, Sec. 215(c)(7), added subds. (e) and (f). -MISC2- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -CROSS- CROSS REFERENCES Bail, generally, see rule 46. ------DocID 25128 Document 1370 of 1438------ -CITE- 18 USC Rule 39 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS (VIII -HEAD- (Rule 39. Supervision of Appeal) (Abrogated Dec. 4, 1967, eff. July 1, 1968) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule relating to appeals is abrogated since the provisions of the rule are transferred to and covered by the Federal Rules of Appellate Procedure. See Advisory Committee Note under rule 37. ------DocID 25129 Document 1371 of 1438------ -CITE- 18 USC IX -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IX -HEAD- IX. SUPPLEMENTARY AND SPECIAL PROCEEDINGS ------DocID 25130 Document 1372 of 1438------ -CITE- 18 USC Rule 40 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IX -HEAD- Rule 40. Commitment to Another District -STATUTE- (a) Appearance Before Federal Magistrate. If a person is arrested in a district other than that in which the offense is alleged to have been committed, that person shall be taken without unnecessary delay before the nearest available federal magistrate. Preliminary proceedings concerning the defendant shall be conducted in accordance with Rules 5 and 5.1, except that if no preliminary examination is held because an indictment has been returned or an information filed or because the defendant elects to have the preliminary examination conducted in the district in which the prosecution is pending, the person shall be held to answer upon a finding that such person is the person named in the indictment, information or warrant. If held to answer, the defendant shall be held to answer in the district court in which the prosecution is pending, provided that a warrant is issued in that district if the arrest was made without a warrant, upon production of the warrant or a certified copy thereof. (b) Statement by Federal Magistrate. In addition to the statements required by Rule 5, the federal magistrate shall inform the defendant of the provisions of Rule 20. (c) Papers. If a defendant is held or discharged, the papers in the proceeding and any bail taken shall be transmitted to the clerk of the district court in which the prosecution is pending. (d) Arrest of Probationer or Supervised Releasee. If a person is arrested for a violation of probation or supervised release in a district other than the district having jurisdiction, such person shall be taken without unnecessary delay before the nearest available federal magistrate. The federal magistrate shall: (1) Proceed under Rule 32.1 if jurisdiction over the person is transferred to that district; (2) Hold a prompt preliminary hearing if the alleged violation occurred in that district, and either (i) hold the person to answer in the district court of the district having jurisdiction or (ii) dismiss the proceedings and so notify that court; or (3) Otherwise order the person held to answer in the district court of the district having jurisdiction upon production of certified copies of the judgment, the warrant, and the application for the warrant, and upon a finding that the person before the magistrate is the person named in the warrant. (e) Arrest for Failure To Appear. If a person is arrested on a warrant in a district other than that in which the warrant was issued, and the warrant was issued because of the failure of the person named therein to appear as required pursuant to a subpoena or the terms of that person's release, the person arrested shall be taken without unnecessary delay before the nearest available federal magistrate. Upon production of the warrant or a certified copy thereof and upon a finding that the person before the magistrate is the person named in the warrant, the federal magistrate shall hold the person to answer in the district in which the warrant was issued. (f) Release or Detention. If a person was previously detained or conditionally released, pursuant to chapter 207 of title 18, United States Code, in another district where a warrant, information, or indictment issued, the federal magistrate shall take into account the decision previously made and the reasons set forth therefor, if any, but will not be bound by that decision. If the federal magistrate amends the release or detention decision or alters the conditions of release, the magistrate shall set forth the reasons therefore (FOOTNOTE 1) in writing. (FOOTNOTE 1) So in original. Probably should be 'therefor'. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 30, 1979, eff. Aug. 1, 1979; July 31, 1979, Pub. L. 96-42, Sec. 1(2), 93 Stat. 326; Apr. 28, 1982, eff. Aug. 1, 1982; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 209(c), 215(d), 98 Stat. 1986, 2016; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. This rule modifies and revamps existing procedure. The present practice has developed as a result of a series of judicial decisions, the only statute dealing with the subject being exceedingly general, 18 U.S.C. 591 (now 3041) (Arrest and removal for trial): For any crime or offense against the United States, the offender may, by any justice or judge of the United States, or by any United States commissioner, or by any chancellor, judge of a supreme or superior court, chief or first judge of common pleas, mayor of a city, justice of the peace, or other magistrate, of any State where he may be found, and agreeably to the usual mode of process against offenders in such State, and at the expense of the United States, be arrested and imprisoned, or bailed, as the case may be, for trial before such court of the United States as by law has cognizance of the offense. * * * Where any offender or witness is committed in any district other than that where the offense is to be tried, it shall be the duty of the judge of the district where such offender or witness is imprisoned, seasonably to issue, and of the marshal to execute, a warrant for his removal to the district where the trial is to be had. The scope of a removal hearing, the issues to be considered, and other similar matters are governed by judicial decisions, Beavers v. Henkel, 194 U.S. 73; Tinsley v. Treat, 205 U.S. 20; Henry v. Henkel, 235 U.S. 219; Rodman v. Pothier, 264 U.S. 399; Morse v. United States, 267 U.S. 80; Fetters v. United States ex rel. Cunningham, 283 U.S. 638; United States ex rel. Kassin v. Mulligan, 295 U.S. 396; see, also, 9 Edmunds, Cyclopedia of Federal Procedure 39053, et seq. 2. The purpose of removal proceedings is to accord safeguards to a defendant against an improvident removal to a distant point for trial. On the other hand, experience has shown that removal proceedings have at times been used by defendants for dilatory purposes and in attempting to frustrate prosecution by preventing or postponing transportation even as between adjoining districts and between places a few miles apart. The object of the rule is adequately to meet each of these two situations. 3. For the purposes of removal, all cases in which the accused is apprehended in a district other than that in which the prosecution is pending have been divided into two groups: first, those in which the place of arrest is either in another district of the same State, or if in another State, then less than 100 miles from the place where the prosecution is pending; and second, cases in which the arrest occurs in a State other than that in which the prosecution is pending and the place of arrest is 100 miles or more distant from the latter place. In the first group of cases, removal proceedings are abolished. The defendant's right to the usual preliminary hearing is, of course, preserved, but the committing magistrate, if he holds defendant would bind him over to the district court in which the prosecution is pending. As ordinarily there are no removal proceedings in State prosecutions as between different parts of the same State, but the accused is transported by virtue of the process under which he was arrested, it seems reasonable that no removal proceedings should be required in the Federal courts as between districts in the same State. The provision as to arrest in another State but at a place less than 100 miles from the place where the prosecution is pending was added in order to preclude obstruction against bringing the defendant a short distance for trial. In the second group of cases mentioned in the first paragraph, removal proceedings are continued. The practice to be followed in removal hearings will depend on whether the demand for removal is based upon an indictment or upon an information or complaint. In the latter case, proof of identity and proof of reasonable cause to believe the defendant guilty will have to be adduced in order to justify the issuance of a warrant of removal. In the former case, proof of identity coupled with a certified copy of the indictment will be sufficient, as the indictment will be conclusive proof of probable cause. The distinction is based on the fact that in case of an indictment, the grand jury, which is an arm of the court, has already found probable cause. Since the action of the grand jury is not subject to review by a district judge in the district in which the grand jury sits, it seems illogical to permit such review collaterally in a removal proceeding by a judge in another district. 4. For discussions of this rule see, Homer Cummings, 29 A.B.A.Jour. 654, 656; Holtzoff, 3 F.R.D. 445, 450-452; Holtzoff, 12 George Washington L.R. 119, 127-130; Holtzoff, The Federal Bar Journal, October 1944, 18-37; Berge, 42 Mich.L.R. 353, 374; Medalie, 4 Lawyers Guild R. (3)1, 4. Note to Subdivision (b). The rule provides that all removal hearings shall take place before a United States commissioner or a Federal judge. It does not confer such jurisdiction on State or local magistrates. While theoretically under existing law State and local magistrates have authority to conduct removal hearings, nevertheless as a matter of universal practice, such proceedings are always conducted before a United States commissioner or a Federal judge, 9 Edmunds, Cyclopedia of Federal Procedure 3919. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The amendment conforms to the change made in the corresponding procedure in Rule 5(b). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (a) is amended to make clear that the person shall be taken before the federal magistrate 'without unnecessary delay.' Although the former rule was silent in this regard, it probably would have been interpreted to require prompt appearance, and there is therefore advantage in making this explicit in the rule itself. See C. Wright, Federal Practice and Procedure: Criminal Sec. 652 (1969, Supp. 1971). Subdivision (a) is amended to also make clear that the person is to be brought before a 'federal magistrate' rather than a state or local magistrate authorized by 18 U.S.C. Sec. 3041. The former rules were inconsistent in this regard. Although rule 40(a) provided that the person may be brought before a state or local officer authorized by former rule 5(a), such state or local officer lacks authority to conduct a preliminary examination under rule 5(c), and a principal purpose of the appearance is to hold a preliminary examination where no prior indictment or information has issued. The Federal Magistrates Act should make it possible to bring a person before a federal magistrate. See C. Wright, Federal Practice and Procedure: Criminal Sec. 653, especially n.35 (1969, Supp. 1971). Subdivision (b)(2) is amended to provide that the federal magistrate should inform the defendant of the fact that he may avail himself of the provisions of rule 20 if applicable in the particular case. However, the failure to so notify the defendant should not invalidate the removal procedure. Although the old rule is silent in this respect, it is current practice to so notify the defendant, and it seems desirable, therefore, to make this explicit in the rule itself. The requirement that an order of removal under subdivision (b)(3) can be made only by a judge of the United States and cannot be made by a United States magistrate is retained. However, subdivision (b)(5) authorizes issuance of the warrant of removal by a United States magistrate if he is authorized to do so by a rule of district court adopted in accordance with 28 U.S.C. Sec. 636(b): Any district court * * * by the concurrence of a majority of all the judges * * * may establish rules pursuant to which any full-time United States magistrate * * * may be assigned * * * such additional duties as are not inconsistent with the Constitution and laws of the United States. Although former rule 40(b)(3) required that the warrant of removal be issued by a judge of the United States, there appears no constitutional or statutory prohibition against conferring this authority upon a United States magistrate in accordance with 28 U.S.C. Sec. 636(b). The background history is dealt with in detail in 8A J. Moore, Federal Practice 40.01 and 40.02 (2d ed. Cipes 1970, Supp. 1971). Subdivision (b)(4) makes explicit reference to provisions of the Bail Reform Act of 1966 by incorporating a cross-reference to 18 U.S.C. Sec. 3146 and Sec. 3148. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT This substantial revision of rule 40 abolishes the present distinction between arrest in a nearby district and arrest in a distant district, clarifies the authority of the magistrate with respect to the setting of bail where bail had previously been fixed in the other district, adds a provision dealing with arrest of a probationer in a district other than the district of supervision, and adds a provision dealing with arrest of a defendant or witness for failure to appear in another district. Note to Subdivision (a). Under subdivision (a) of the present rule, if a person is arrested in a nearby district (another district in the same state, or a place less than 100 miles away), the usual rule 5 and 5.1 preliminary proceedings are conducted. But under subdivision (b) of the present rule, if a person is arrested in a distant district, then a hearing leading to a warrant of removal is held. New subdivision (a) would make no distinction between these two situations and would provide for rule 5 and 5.1 proceedings in all instances in which the arrest occurs outside the district where the warrant issues or where the offense is alleged to have been committed. This abolition of the distinction between arrest in a nearby district and arrest in a distant district rests upon the conclusion that the procedures prescribed in rules 5 and 5.1 are adequate to protect the rights of an arrestee wherever he might be arrested. If the arrest is without a warrant, it is necessary under rule 5 that a complaint be filed forthwith complying with the requirements of rule 4(a) with respect to the showing of probable cause. If the arrest is with a warrant, that warrant will have been issued upon the basis of an indictment or of a complaint or information showing probable cause, pursuant to rules 4(a) and 9(a). Under rule 5.1 dealing with the preliminary examination, the defendant is to be held to answer only upon a showing of probable cause that an offense has been committed and that the defendant committed it. Under subdivision (a), there are two situations in which no preliminary examination will be held. One is where 'an indictment has been returned or an information filed,' which pursuant to rule 5(c) obviates the need for a preliminary examination. The order is where 'the defendant elects to have the preliminary examination conducted in the district in which the prosecution is pending.' A defendant might wish to elect that alternative when, for example, the law in that district is that the complainant and other material witnesses may be required to appear at the preliminary examination and give testimony. See Washington v. Clemmer, 339 F.2d 715 (D.C. Cir. 1964). New subdivision (a) continues the present requirement that if the arrest was without a warrant a warrant must thereafter issue in the district in which the offense is alleged to have been committed. This will ensure that in the district of anticipated prosecution there will have been a probable cause determination by a magistrate or grand jury. Note to Subdivision (b). New subdivision (b) follows existing subdivision (b)(2) in requiring the magistrate to inform the defendant of the provisions of rule 20 applicable in the particular case. Failure to so notify the defendant should not invalidate the proceedings. Note to Subdivision (c). New subdivision (c) follows existing subdivision (b)(4) as to transmittal of papers. Note to Subdivision (d). New subdivision (d) has no counterpart in the present rule. It provides a procedure for dealing with the situation in which a probationer is arrested in a district other than the district of supervision, consistent with 18 U.S.C. Sec. 3653, which provides in part: If the probationer shall be arrested in any district other than that in which he was last supervised, he shall be returned to the district in which the warrant was issued, unless jurisdiction over him is transferred as above provided to the district in which he is found, and in that case he shall be detained pending further proceedings in such district. One possibility, provided for in subdivision (d)(1), is that of transferring jurisdiction over the probationer to the district in which he was arrested. This is permissible under the aforementioned statute, which provides in part: Whenever during the period of his probation, a probationer heretofore or hereafter placed on probation, goes from the district in which he is being supervised to another district, jurisdiction over him may be transferred, in the discretion of the court, from the court for the district from which he goes to the court for the other district, with the concurrence of the latter court. Thereupon the court for the district to which jurisdiction is transferred shall have all power with respect to the probationer that was previously possessed by the court for the district from which the transfer is made, except that the period of probation shall not be changed without the consent of the sentencing court. This process under the same conditions may be repeated whenever during the period of this probation the probationer goes from the district in which he is being supervised to another district. Such transfer may be particularly appropriate when it is found that the probationer has now taken up residence in the district where he was arrested or where the alleged occurrence deemed to constitute a violation of probation took place in the district of arrest. In current practice, probationers arrested in a district other than that of their present supervision are sometimes unnecessarily returned to the district of their supervision, at considerable expense and loss of time, when the more appropriate course of action would have been transfer of probation jurisdiction. Subdivision (d)(2) and (3) deal with the situation in which there is not a transfer of probation jurisdiction to the district of arrest. If the alleged probation violation occurred in the district of arrest, then, under subdivision (d)(2), the preliminary hearing provided for in rule 32.1(a)(1) is to be held in that district. This is consistent with the reasoning in Morrissey v. Brewer, 408 U.S. 471 (1972), made applicable to probation cases in Gagnon v. Scarpelli, 411 U.S. 778 (1973), where the Court stressed that often a parolee 'is arrested at a place distant from the state institution, to which he may be returned before the final decision is made concerning revocation,' and cited this as a factor contributing to the conclusion that due process requires 'that some minimal inquiry be conducted at or reasonably near the place of the alleged parole violation or arrest and as promptly as convenient after arrest while information is fresh and sources are available.' As later noted in Gerstein v. Pugh, 420 U.S. 103 (1975): In Morrissey v. Brewer * * * and Gagnon v. Scarpelli * * * we held that a parolee or probationer arrested prior to revocation is entitled to an informal preliminary hearing at the place of arrest, with some provision for live testimony. * * * That preliminary hearing, more than the probable cause determination required by the Fourth Amendment, serves the purpose of gathering and preserving live testimony, since the final revocation hearing frequently is held at some distance from the place where the violation occurred. However, if the alleged violation did not occur in that district, then first-hand testimony concerning the violation is unlikely to be available there, and thus the reasoning of Morrissey and Gerstein does not call for holding the preliminary hearing in that district. In such a case, as provided in subdivision (d)(3), the probationer should be held to answer in the district court of the district having probation jurisdiction. The purpose of the proceeding there provided for is to ascertain the identity of the probationer and provide him with copies of the warrant and the application for the warrant. A probationer is subject to the reporting condition at all times and is also subject to the continuing power of the court to modify such conditions. He therefore stands subject to return back to the jurisdiction district without the necessity of conducting a hearing in the district of arrest to determine whether there is probable cause to revoke his probation. Note to Subdivision (e). New subdivision (e) has no counterpart in the present rule. It has been added because some confusion currently exists as to whether present rule 40(b) is applicable to the case in which a bench warrant has issued for the return of a defendant or witness who has absented himself and that person is apprehended in a distant district. In Bandy v. United States, 408 F.2d 518 (8th Cir. 1969), a defendant, who had been released upon his personal recognizance after conviction and while petitioning for certiorari and who failed to appear as required after certiorari was denied, objected to his later arrest in New York and removal to Leavenworth without compliance with the rule 40 procedures. The court concluded: The short answer to Bandy's first argument is found in Rush v. United States, 290 F.2d 709, 710 (5 Cir. 1961): 'The provisions of Rules 5 and 40, Federal Rules of Criminal Procedure, 18 U.S.C.A. may not be availed of by a prisoner in escape status * * *.' As noted by Holtzoff, 'Removal of Defendants in Federal Criminal Procedure', 4 F.R.D. 455, 458 (1946): 'Resort need not be had, however, to this (removal) procedure for the purpose of returning a prisoner who has been recaptured after an escape from custody. It has been pointed out that in such a case the court may summarily direct his return under its general power to issue writs not specifically provided for by statute, which may be necessary for the exercise of its jurisdiction and agreeable to the usages and principles of law. In fact, in such a situation no judicial process appears necessary. The prisoner may be retaken and administratively returned to the custody from which he escaped.' Bandy's arrest in New York was pursuant to a bench warrant issued by the United States District Court for the District of North Dakota on May 1, 1962, when Bandy failed to surrender himself to commence service of his sentence on the conviction for filing false income tax refunds. As a fugitive from justice, Bandy was not entitled upon apprehension to a removal hearing, and he was properly removed to the United States Penitentiary at Leavenworth, Kansas to commence service of sentence. Consistent with Bandy, new subdivision (e) does not afford such a person all of the protections provided for in subdivision (a). However, subdivision (e) does ensure that a determination of identity will be made before that person is held to answer in the district of arrest. Note to Subdivision (f). Although the matter of bail is dealt with in rule 46 and 18 U.S.C. Sec. 3146 and 3148, new subdivision (f) has been added to clarify the situation in which a defendant makes his initial appearance before the United States magistrate and there is a warrant issued by a judge of a different district who has endorsed the amount of bail on the warrant. The present ambiguity of the rule is creating practical administrative problems. If the United States magistrate concludes that a lower bail is appropriate, the judge who fixed the original bail on the warrant has, on occasion, expressed the view that this is inappropriate conduct by the magistrate. If the magistrate, in such circumstances, does not reduce the bail to the amount supported by all of the facts, there may be caused unnecessary inconvenience to the defendant, and there would arguably be a violation of at least the spirit of the Bail Reform Act and the Eighth Amendment. The Procedures Manual for United States Magistrates, issued under the authority of the Judicial Conference of the United States, provides in ch. 6, pp. 8-9: Where the arrest occurs in a 'distant' district, the rules do not expressly limit the discretion of the magistrate in the setting of conditions of release. However, whether or not the magistrate in the district of arrest has authority to set his own bail under Rule 40, considerations of propriety and comity would dictate that the magistrate should not attempt to set bail in a lower amount than that fixed by a judge in another district. If an unusual situation should arise where it appears from all the information available to the magistrate that the amount of bail endorsed on the warrant is excessive, he should consult with a judge of his own district or with the judge in the other district who fixed the bail in order to resolve any difficulties. (Where an amount of bail is merely recommended on the indictment by the United States attorney, the magistrate has complete discretion in setting conditions of release.) Rule 40 as amended would encourage the above practice and hopefully would eliminate the present confusion and misunderstanding. The last sentence of subdivision (f) requires that the magistrate set forth the reasons for his action in writing whenever he fixes bail in an amount different from that previously fixed. Setting forth the reasons for the amount of bail fixed, certainly a sound practice in all circumstances, is particularly appropriate when the bail differs from that previously fixed in another district. The requirement that reasons be set out will ensure that the 'considerations of propriety and comity' referred to above will be specifically taken into account. CONGRESSIONAL MODIFICATION OF PROPOSED 1979 AMENDMENT Section 1(2) of Pub. L. 96-42 provided in part that the amendment proposed by the Supreme Court (in its order of Apr. 30, 1979) affecting rule 40 of the Federal Rules of Criminal Procedure (this rule) would take effect on Aug. 1, 1979, as further amended by Congress. NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT The amendment to 40(d) is intended to make it clear that the transfer provisions therein apply whenever the arrest occurs other than in the district of probation jurisdiction, and that if probable cause is found at a preliminary hearing held pursuant to Rule 40(d)(2) the probationer should be held to answer in the district having probation jurisdiction. On occasion, the district of probation supervision and the district of probation jurisdiction will not be the same. See, e.g., Cupp v. Byington, 179 F.Supp. 669 (S.D.Ind. 1960) (supervision in Southern District of Indiana, but jurisdiction never transferred from District of Nevada). In such circumstances, it is the district having jurisdiction which may revoke the defendant's probation. Cupp v. Byington, supra; 18 U.S.C. Sec. 3653 ('the court for the district having jurisdiction over him * * * may revoke the probation'; if probationer goes to another district, 'jurisdiction over him may be transferred,' and only then does 'the court for the district to which jurisdiction is transferred * * * have all the power with respect to the probationer that was previously possessed by the court for the district from which the transfer was made'). That being the case, that is the jurisdiction to which the probationer should be transferred as provided in Rule 40(d). Because Rule 32.1 has now taken effect, a cross-reference to those provisions has been made in subdivision (d)(1) so as to clarify how the magistrate is to proceed if jurisdiction is transferred. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. NOTES OF ADVISORY COMMITTEE ON RULES - 1989 AMENDMENT The amendments recognize that convicted defendants may be on supervised release as well as on probation. See 18 U.S.C. Sec. 3583, and 3624(e). 1984 AMENDMENT Subd. (d)(1). Pub. L. 98-473, Sec. 215(d), substituted '3605' for '3653'. Subd. (f). Pub. L. 98-473, Sec. 209(c), substituted 'Release or Detention' for 'Bail' as the subdivision heading and, in text, substituted 'If a person was previously detained or conditionally released, pursuant to chapter 207 of title 18, United States Code,' for 'If bail was previously fixed', 'decision previously made' for 'amount of bail previously fixed', 'by that decision' for 'by the amount of bail previously fixed', and 'amends the release or detention decision or alters the conditions of release' for 'fixes bail different from that previously fixed'. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 215(d) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. -CROSS- CROSS REFERENCES Habeas corpus, no right of appeal from detention pending removal proceedings, see section 2253 of Title 28, Judiciary and Judicial Procedure. Warrant for removal of prisoner from one district to another, see section 3049 of this title. ------DocID 25131 Document 1373 of 1438------ -CITE- 18 USC Rule 41 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IX -HEAD- Rule 41. Search and Seizure -STATUTE- (a) Authority To Issue Warrant. Upon the request of a federal law enforcement officer or an attorney for the government, a search warrant authorized by this rule may be issued (1) by a federal magistrate, or a state court of record within the federal district, for a search of property or for a person within the district and (2) by a federal magistrate for a search of property or for a person either within or outside the district if the property or person is within the district when the warrant is sought but might move outside the district before the warrant is executed. (b) Property or Persons Which May Be Seized With a Warrant. A warrant may be issued under this rule to search for and seize any (1) property that constitutes evidence of the commission of a criminal offense; or (2) contraband, the fruits of crime, or things otherwise criminally possessed; or (3) property designed or intended for use or which is or has been used as the means of committing a criminal offense; or (4) person for whose arrest there is probable cause, or who is unlawfully restrained. (c) Issuance and Contents. (1) Warrant Upon Affidavit. A warrant other than a warrant upon oral testimony under paragraph (2) of this subdivision shall issue only on an affidavit or affidavits sworn to before the federal magistrate or state judge and establishing the grounds for issuing the warrant. If the federal magistrate or state judge is satisfied that grounds for the application exist or that there is probable cause to believe that they exist, that magistrate or state judge shall issue a warrant identifying the property or person to be seized and naming or describing the person or place to be searched. The finding of probable cause may be based upon hearsay evidence in whole or in part. Before ruling on a request for a warrant the federal magistrate or state judge may require the affiant to appear personally and may examine under oath the affiant and any witnesses the affiant may produce, provided that such proceeding shall be taken down by a court reporter or recording equipment and made part of the affidavit. The warrant shall be directed to a civil officer of the United States authorized to enforce or assist in enforcing any law thereof or to a person so authorized by the President of the United States. It shall command the officer to search, within a specified period of time not to exceed 10 days, the person or place named for the property or person specified. The warrant shall be served in the daytime, unless the issuing authority, by appropriate provision in the warrant, and for reasonable cause shown, authorizes its execution at times other than daytime. It shall designate a federal magistrate to whom it shall be returned. (2) Warrant Upon Oral Testimony. (A) General Rule. If the circumstances make it reasonable to dispense with a written affidavit, a Federal magistrate may issue a warrant based upon sworn oral testimony communicated by telephone or other appropriate means. (B) Application. The person who is requesting the warrant shall prepare a document to be known as a duplicate original warrant and shall read such duplicate original warrant, verbatim, to the Federal magistrate. The Federal magistrate shall enter, verbatim, what is so read to such magistrate on a document to be known as the original warrant. The Federal magistrate may direct that the warrant be modified. (C) Issuance. If the Federal magistrate is satisfied that the circumstances are such as to make it reasonable to dispense with a written affidavit and that grounds for the application exist or that there is probable cause to believe that they exist, the Federal magistrate shall order the issuance of a warrant by directing the person requesting the warrant to sign the Federal magistrate's name on the duplicate original warrant. The Federal magistrate shall immediately sign the original warrant and enter on the face of the original warrant the exact time when the warrant was ordered to be issued. The finding of probable cause for a warrant upon oral testimony may be based on the same kind of evidence as is sufficient for a warrant upon affidavit. (D) Recording and Certification of Testimony. When a caller informs the Federal magistrate that the purpose of the call is to request a warrant, the Federal magistrate shall immediately place under oath each person whose testimony forms a basis of the application and each person applying for that warrant. If a voice recording device is available, the Federal magistrate shall record by means of such device all of the call after the caller informs the Federal magistrate that the purpose of the call is to request a warrant. Otherwise a stenographic or longhand verbatim record shall be made. If a voice recording device is used or a stenographic record made, the Federal magistrate shall have the record transcribed, shall certify the accuracy of the transcription, and shall file a copy of the original record and the transcription with the court. If a longhand verbatim record is made, the Federal magistrate shall file a signed copy with the court. (E) Contents. The contents of a warrant upon oral testimony shall be the same as the contents of a warrant upon affidavit. (F) Additional Rule for Execution. The person who executes the warrant shall enter the exact time of execution on the face of the duplicate original warrant. (G) Motion To Suppress Precluded. Absent a finding of bad faith, evidence obtained pursuant to a warrant issued under this paragraph is not subject to a motion to suppress on the ground that the circumstances were not such as to make it reasonable to dispense with a written affidavit. (d) Execution and Return With Inventory. The officer taking property under the warrant shall give to the person from whom or from whose premises the property was taken a copy of the warrant and a receipt for the property taken or shall leave the copy and receipt at the place from which the property was taken. The return shall be made promptly and shall be accompanied by a written inventory of any property taken. The inventory shall be made in the presence of the applicant for the warrant and the person from whose possession or premises the property was taken, if they are present, or in the presence of at least one credible person other than the applicant for the warrant or the person from whose possession or premises the property was taken, and shall be verified by the officer. The federal magistrate shall upon request deliver a copy of the inventory to the person from whom or from whose premises the property was taken and to the applicant for the warrant. (e) Motion for Return of Property. A person aggrieved by an unlawful search and seizure or by the deprivation of property may move the district court for the district in which the property was seized for the return of the property on the ground that such person is entitled to lawful possession of the property. The court shall receive evidence on any issue of fact necessary to the decision of the motion. If the motion is granted, the property shall be returned to the movant, although reasonable conditions may be imposed to protect access and use of the property in subsequent proceedings. If a motion for return of property is made or comes on for hearing in the district of trial after an indictment or information is filed, it shall be treated also as a motion to suppress under Rule 12. (f) Motion To Suppress. A motion to suppress evidence may be made in the court of the district of trial as provided in Rule 12. (g) Return of Papers to Clerk. The federal magistrate before whom the warrant is returned shall attach to the warrant a copy of the return, inventory and all other papers in connection therewith and shall file them with the clerk of the district court for the district in which the property was seized. (h) Scope and Definition. This rule does not modify any act, inconsistent with it, regulating search, seizure and the issuance and execution of search warrants in circumstances for which special provision is made. The term 'property' is used in this rule to include documents, books, papers and any other tangible objects. The term 'daytime' is used in this rule to mean the hours from 6:00 a.m. to 10:00 p.m. according to local time. The phrase 'federal law enforcement officer' is used in this rule to mean any government agent, other than an attorney for the government as defined in Rule 54(c), who is engaged in the enforcement of the criminal laws and is within any category of officers authorized by the Attorney General to request the issuance of a search warrant. -SOURCE- (As amended Dec. 27, 1948, eff. Oct. 20, 1949; Apr. 9, 1956, eff. July 8, 1956; Apr. 24, 1972, eff. Oct. 1, 1972; Mar. 18, 1974, eff. July 1, 1974; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976; July 30, 1977, Pub. L. 95-78, Sec. 2(e), 91 Stat. 320, eff. Oct. 1, 1977; Apr. 30, 1979, eff. Aug. 1, 1979; amended Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989; May 1, 1990, eff. Dec. 1, 1990.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is a codification of existing law and practice. Note to Subdivision (a). This rule is a restatement of existing law, 18 U.S.C. (former) 611. Note to Subdivision (b). This rule is a restatement of existing law, 18 U.S.C. (former) 612; Conyer v. United States, 80 F.2d 292 (C.C.A. 6th). This provision does not supersede or repeal special statutory provisions permitting the issuance of search warrants in specific circumstances. See Subdivision (g) and Note thereto, infra. Note to Subdivision (c). This rule is a restatement of existing law, 18 U.S.C. (former) 613-616, 620; Dumbra v. United States, 268 U.S. 435. Note to Subdivision (d). This rule is a restatement of existing law, 18 U.S.C. (former) 621-624. Note to Subdivision (e). This rule is a restatement of existing law and practice, with the exception hereafter noted, 18 U.S.C. (former) 625, 626; Weeks v. United States, 232 U.S. 383; Silverthorne Lumber Co. v. United States, 251 U.S. 385; Agello v. United States, 269 U.S. 20; Gouled v. United States, 255 U.S. 298. While under existing law a motion to suppress evidence or to compel return of property obtained by an illegal search and seizure may be made either before a commissioner subject to review by the court on motion, or before the court, the rule provides that such motion may be made only before the court. The purpose is to prevent multiplication of proceedings and to bring the matter before the court in the first instance. While during the life of the Eighteenth Amendment when such motions were numerous it was a common practice in some districts for commissioners to hear such motions, the prevailing practice at the present time is to make such motions before the district court. This practice, which is deemed to be preferable, is embodied in the rule. Note to Subdivision (f). This rule is a restatement of existing law, 18 U.S.C. (former) 627; Cf. Rule 5(c) (last sentence). Note to Subdivision (g). While Rule 41 supersedes the general provisions of 18 U.S.C. 611-626 (now 18 U.S.C. 3105, 3109), relating to search warrants, it does not supersede, but preserves, all other statutory provisions permitting searches and seizures in specific situations. Among such statutes are the following: U.S.C., Title 18: Section 287 (former) (Search warrant for suspected counterfeiture) U.S.C., Title 19: Section 1595 (Customs duties; searches and seizures) U.S.C., Title 26: Section 3117 (now 5557) (Officers and agents authorized to investigate, issue search warrants, and prosecute for violations) For statutes which incorporate by reference 18 U.S.C. (former) 98, and therefore are now controlled by this rule, see, e. g.: U.S.C., Title 18: Section 12 (former) (Subversive activities; undermining loyalty, discipline, or morale of armed forces; searches and seizures) U.S.C., Title 26: Section 3116 (now 7302) (Forfeitures and seizures) Statutory provision for a warrant for detention of war materials seized under certain circumstances is found in 22 U.S.C. 402 (see 401) (Seizure of war materials intended for unlawful export.) Other statutes providing for searches and seizures or entry without warrants are the following: U.S.C., Title 19: Section 482 (Search of vehicles and persons) U.S.C., Title 25: Section 246 (now 18 U.S.C. 3113) (Searches and seizures) U.S.C., Title 26: Section 3601 (now 7606) (Entry of premises for examination of taxable objects) U.S.C., Title 29: Section 211 (Investigations, inspections, and records) U.S.C., Title 49: Section 781 (Unlawful use of vessels, vehicles, and aircrafts; contraband article defined) Section 782 (Seizure and forfeiture) Section 784 (Application of related laws) NOTES OF ADVISORY COMMITTEE ON RULES - 1948 AMENDMENT Subdivision (b)(3). - The amendment is to substitute proper reference to Title 18 in place of the repealed acts. Subdivision (g). - To eliminate reference to sections of the Act of June 15, 1917, c. 30, which have been repealed by the Act of June 25, 1948, c. 645, which enacted Title 18. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (a) is amended to provide that a search warrant may be issued only upon the request of a federal law enforcement officer or an attorney for the government. The phrase 'federal law enforcement officer' is defined in subdivision (h) in a way which will allow the Attorney General to designate the category of officers who are authorized to make application for a search warrant. The phrase 'attorney for the government' is defined in rule 54. The title to subdivision (b) is changed to make it conform more accurately to the content of the subdivision. Subdivision (b) is also changed to modernize the language used to describe the property which may be seized with a lawfully issued search warrant and to take account of a recent Supreme Court decision (Warden v. Haden, 387 U.S. 294 (1967)) and recent congressional action (18 U.S.C. Sec. 3103a) which authorize the issuance of a search warrant to search for items of solely evidential value. 18 U.S.C. Sec. 3103a provides that 'a warrant may be issued to search for and seize any property that constitutes evidence of a criminal offense. . . .' Recent state legislation authorizes the issuance of a search warrant for evidence of crime. See, e.g., Cal. Penal Code Sec. 1524(4) (West Supp. 1968); Ill.Rev.Stat. ch. 38, Sec. 108-3 (1965); LSA C.Cr.P. art. 161 (1967); N.Y. CPL Sec. 690.10(4) (McKinney, 1971); Ore.Rev.Stat. Sec. 141.010 (1969); Wis.Stat. Sec. 968.13(2) (1969). The general weight of recent text and law review comment has been in favor of allowing a search for evidence. 8 Wigmore, Evidence Sec. 2184a. (McNaughton rev. 1961); Kamisar. The Wiretapping-Eavesdropping Problem: A professor's View, 44 Minn.L.Rev. 891 (1960); Kaplan, Search and Seizure: A No-Man's Land in the Criminal Law, 49 Calif.L.Rev. 474 (1961); Comments: 66 Colum.L.Rev. 355 (1966), 45 N.C.L.Rev. 512 (1967), 20 U.Chi.L.Rev. 319 (1953). There is no intention to limit the protection of the fifth amendment against compulsory self-incrimination, so items which are solely 'testimonial' or 'communicative' in nature might well be inadmissible on those grounds. Schmerber v. California, 384 U.S. 757 (1966). The court referred to the possible fifth amendment limitation in Warden v. Hayden, supra: This case thus does not require that we consider whether there are items of evidential value whose very nature precludes them from being the object of a reasonable search and seizure. (387 U.S. at 303). See ALI Model Code of Pre-Arraignment Procedure Sec. 551.03(2) and commentary at pp. 3-5 (April 30, 1971). It seems preferable to allow the fifth amendment limitation to develop as cases arise rather than attempt to articulate the constitutional doctrine as part of the rule itself. The amendment to subdivision (c) is intended to make clear that a search warrant may properly be based upon a finding of probable cause based upon hearsay. That a search warrant may properly be issued on the basis of hearsay is current law. See, e.g., Jones v. United States, 362 U.S. 257 (1960); Spinelli v. United States, 393 U.S. 410 (1969). See also State v. Beal, 40 Wis.2d 607, 162 N.W.2d 640 (1968), reversing prior Wisconsin cases which held that a search warrant could not properly issue on the basis of hearsay evidence. The provision in subdivision (c) that the magistrate may examine the affiant or witnesses under oath is intended to assure him an opportunity to make a careful decision as to whether there is probable cause. It seems desirable to do this as an incident to the issuance of the warrant rather than having the issue raised only later on a motion to suppress the evidence. See L. Tiffany, D. McIntyre, and D. Rotenberg, Detection of Crime 118 (1967). If testimony is taken it must be recorded, transcribed, and made part of the affidavit or affidavits. This is to insure an adequate basis for determining the sufficiency of the evidentiary grounds for the issuance of the search warrant if that question should later arise. The requirement that the warrant itself state the grounds for its issuance and the names of any affiants, is eliminated as unnecessary paper work. There is no comparable requirement for an arrest warrant in rule 4. A person who wishes to challenge the validity of a search warrant has access to the affidavits upon which the warrant was issued. The former requirement that the warrant require that the search be conducted 'forthwith' is changed to read 'within a specified period of time not to exceed 10 days.' The former rule contained an inconsistency between subdivision (c) requiring that the search be conducted 'forthwith' and subdivision (d) requiring execution 'within 10 days after its date.' The amendment resolves this ambiguity and confers discretion upon the issuing magistrate to specify the time within which the search may be conducted to meet the needs of the particular case. The rule is also changed to allow the magistrate to authorize a search at a time other than 'daytime,' where there is 'reasonable cause shown' for doing so. To make clear what 'daytime' means, the term is defined in subdivision (h). Subdivision (d) is amended to conform its language to the Federal Magistrates Act. The language 'The warrant may be executed and returned only within 10 days after its date' is omitted as unnecessary. The matter is now covered adequately in proposed subdivision (c) which gives the issuing officer authority to fix the time within which the warrant is to be executed. The amendment to subdivision (e) and the addition of subdivision (f) are intended to require the motion to suppress evidence to be made in the trial court rather than in the district in which the evidence was seized as now allowed by the rule. In DiBella v. United States, 369 U.S. 121 (1962), the court, in effect, discouraged motions to suppress in the district in which the property was seized: There is a decision in the Second Circuit, United States v. Klapholz, 230 F.2d 494 (1956), allowing the Government an appeal from an order granting a post-indictment motion to suppress, apparently for the single reason that the motion was filed in the district of seizure rather than of trial; but the case was soon thereafter taken by a District Court to have counseled declining jurisdiction of such motions for reasons persuasive against allowing the appeal: 'This course will avoid a needless duplication of effort by two courts and provide a more expeditious resolution of the controversy besides avoiding the risk of determining prematurely and inadequately the admissibility of evidence at the trial. . . . A piecemeal adjudication such as that which would necessarily follow from a disposition of the motion here might conceivably result in prejudice either to the Government or the defendants, or both.' United States v. Lester, 21 F.R.D. 30, 31 (D.C.S.D.N.Y. 1957). Rule 41(e), of course, specifically provides for making of the motion in the district of seizure On a summary hearing, however, the ruling there is likely always to be tentative. We think it accords most satisfactorily with sound administration of the Rules to treat such rulings as interlocutory. (369 U.S. at 132-133.) As amended, subdivision (e) provides for a return of the property if (1) the person is entitled to lawful possession and (2) the seizure was illegal. This means that the judge in the district of seizure does not have to decide the legality of the seizure in cases involving contraband which, even if seized illegally, is not to be returned. The five grounds for returning the property, presently listed in the rule, are dropped for two reasons - (1) substantive grounds for objecting to illegally obtained evidence (e.g., Miranda) are not ordinarily codified in the rules and (2) the categories are not entirely accurate. See United States v. Howard, 138 F.Supp. 376, 380 (D.Md. 1956). A sentence is added to subdivision (e) to provide that a motion for return of property, made in the district of trial, shall be treated also as a motion to suppress under rule 12. This change is intended to further the objective of rule 12 which is to have all pretrial motions disposed of in a single court appearance rather than to have a series of pretrial motions made on different dates, causing undue delay in administration. Subdivision (f) is new and reflects the position that it is best to have the motion to suppress made in the court of the district of trial rather than in the court of the district in which the seizure occurred. The motion to suppress in the district of trial should be made in accordance with the provisions of rule 12. Subdivision (g) is changed to conform to subdivision (c) which requires the return to be made before a federal judicial officer even though the search warrant may have been issued by a nonfederal magistrate. Subdivision (h) is former rule 41(g) with the addition of a definition of the term 'daytime' and the phrase 'federal law enforcement officer.' NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT The amendment restores the words 'court of record' which were inadvertently omitted from the amended text of the subdivision which was transmitted by the Judicial Conference to the Supreme Court and prescribed by the Court on April 24, 1972. NOTES OF ADVISORY COMMITTEE ON RULES - 1977 AMENDMENT Rule 41(c)(2) is added to establish a procedure for the issuance of a search warrant when it is not reasonably practicable for the person obtaining the warrant to present a written affidavit to a magistrate or a state judge as required by subdivision (c)(1). At least two states have adopted a similar procedure, Ariz.Rev.Stat. Ann. Sec. 13-1444(c)-1445(c) (Supp. 1973); Cal.Pen. Code Sec. 1526(b), 1528(b) (West Supp. 1974), and comparable amendments are under consideration in other jurisdictions. See Israel, Legislative Regulation of Searches and Seizures: The Michigan Proposals, 73 Mich.L.Rev. 221, 258-63 (1975); Nakell, Proposed Revisions of North Carolina's Search and Seizure Law, 52 N.Car.L.Rev. 277, 306-11 (1973). It has been strongly recommended that 'every State enact legislation that provides for the issuance of search warrants pursuant to telephoned petitions and affidavits from police officers.' National Advisory Commission on Criminal Justice Standards and Goals, Report on Police 95 (1973). Experience with the procedure has been most favorable. Miller, Telephonic Search Warrants: The San Diego Experience, 9 The Prosecutor 385 (1974). The trend of recent Supreme Court decisions has been to give greater priority to the use of a search warrant as the proper way of making a lawful search: It is a cardinal rule that, in seizing goods and articles, law enforcement agents must secure and use search warrants whenever reasonably practicable. . . . This rule rests upon the desirability of having magistrates rather than police officers determine when searches and seizures are permissible and what limitations should be placed upon such activities. Trupiano v. United States, 334 U.S. 699, 705 (1948), quoted with approval in Chimel v. California, 395 U.S. 752, 758 (1969). See also Coolidge v. New Hampshire, 403 U.S. 443 (1971); Note, Chambers v. Maroney: New Dimensions in the Law of Search and Seizure, 46 Indiana L.J. 257, 262 (1971). Use of search warrants can best be encouraged by making it administratively feasible to obtain a warrant when one is needed. One reason for the nonuse of the warrant has been the administrative difficulties involved in getting a warrant, particularly at times of the day when a judicial officer is ordinarily unavailable. See L. Tiffany, D. McIntyre, and D. Rotenberg, Detection of Crime 105-116 (1967); LaFave, Improving Police Performance Through the Exclusionary Rule, 30 Mo.L.Rev. 391, 411 (1965). Federal law enforcement officers are not infrequently confronted with situations in which the circumstances are not sufficiently 'exigent' to justify the serious step of conducting a warrantless search of private premises, but yet there exists a significant possibility that critical evidence would be lost in the time it would take to obtain a search warrant by traditional means. See, e.g., United States v. Johnson, - F.2d - (D.C. Cir. June 16, 1975). Subdivision (c)(2) provides that a warrant may be issued on the basis of an oral statement of a person not in the physical presence of the federal magistrate. Telephone, radio, or other electronic methods of communication are contemplated. For the warrant to properly issue, four requirements must be met: (1) The applicant - a federal law enforcement officer or an attorney for the government, as required by subdivision (a) - must persuade the magistrate that the circumstances of time and place make it reasonable to request the magistrate to issue a warrant on the basis of oral testimony. This restriction on the issuance of a warrant recognizes the inherent limitations of an oral warrant procedure, the lack of demeanor evidence, and the lack of a written record for the reviewing magistrate to consider before issuing the warrant. See Comment, Oral Search Warrants: A New Standard of Warrant Availability, 21 U.C.L.A. Law Review 691, 701 (1974). Circumstances making it reasonable to obtain a warrant on oral testimony exist if delay in obtaining the warrant might result in the destruction or disappearance of the property (see Chimel v. California, 395 U.S. 752, 773-774 (1969) (White, dissenting); Landynski, The Supreme Court's Search for Fourth Amendment Standards: The Warrantless Search, 45 Conn.B.J. 2, 25 (1971)); or because of the time when the warrant is sought, the distance from the magistrate of the person seeking the warrant, or both. (2) The applicant must orally state facts sufficient to satisfy the probable cause requirement for the issuance of the search warrant. (See subdivision (c)(1).) This information may come from either the applicant federal law enforcement officer or the attorney for the government or a witness willing to make an oral statement. The oral testimony must be recorded at this time so that the transcribed affidavit will provide an adequate basis for determining the sufficiency of the evidence if that issue should later arise. See Kipperman. Inaccurate Search Warrant Affidavits as a Ground for Suppressing Evidence, 84 Harv.L.Rev. 825 (1971). It is contemplated that the recording of the oral testimony will be made by a court reporter, by a mechanical recording device, or by a verbatim contemporaneous writing by the magistrate. Recording a telephone conversation is no longer difficult with many easily operated recorders available. See 86:2 L.A. Daily Journal 1 (1973); Miller, Telephonic Search Warrants: The San Diego Experience, 9 The Prosecutor 385, 386 (1974). (3) The applicant must read the contents of the warrant to the federal magistrate in order to enable the magistrate to know whether the requirements of certainty in the warrant are satisfied. The magistrate may direct that changes be made in the warrant. If the magistrate approves the warrant as requested or as modified by the magistrate, he then issues the warrant by directing the applicant to sign the magistrate's name to the duplicate original warrant. The magistrate then causes to be made a written copy of the approved warrant. This constitutes the original warrant. The magistrate enters the time of issuance of the duplicate original warrant on the face of the original warrant. (4) Return of the duplicate original warrant and the original warrant must conform to subdivision (d). The transcript of the sworn oral testimony setting forth the grounds for issuance of the warrant must be signed by affiant in the presence of the magistrate and filed with the court. Because federal magistrates are likely to be accessible through the use of the telephone or other electronic devices, it is unnecessary to authorize state judges to issue warrants under subdivision (c)(2). Although the procedure set out in subdivision (c)(2) contemplates resort to technology which did not exist when the Fourth Amendment was adopted, the Advisory Committee is of the view that the procedure complies with all of the requirements of the Amendment. The telephonic search warrant process has been upheld as constitutional by the courts, e.g., People v. Peck, 38 Cal.App.3d 993, 113 Cal.Rptr. 806 (1974), and has consistently been so viewed by commentators. See Israel, Legislative Regulation of Searches and Seizures: The Michigan Proposals, 73 Mich.L.Rev. 221, 260 (1975); Nakell, Proposed Revisions of North Carolina's Search and Seizure Law, 52 N.Car.L.Rev. 277, 310 (1973); Comment, Oral Search Warrants: A New Standard of Warrant Availability, 21 U.C.L.A.Rev. 691, 697 (1973). Reliance upon oral testimony as a basis for issuing a search warrant is permissible under the Fourth Amendment. Campbell v. Minnesota, 487 F.2d 1 (8th Cir. 1973); United States ex rel. Gaugler v. Brierley, 477 F.2d 516 (3d Cir. 1973); Tabasko v. Barton, 472 F.2d 871 (6th Cir. 1972); Frazier v. Roberts, 441 F.2d 1224 (8th Cir. 1971). Thus, the procedure authorized under subdivision (c)(2) is not objectionable on the ground that the oral statement is not transcribed in advance of the issuance of the warrant. People v. Peck, 38 Cal.App.3d 993, 113 Cal.Rptr. 806 (1974). Although it has been questioned whether oral testimony will suffice under the Fourth Amendment if some kind of contemporaneous record is not made of that testimony, see dissent from denial of certiorari in Christofferson v. Washington, 393 U.S. 1090 (1969), this problem is not present under the procedure set out in subdivision (c)(2). The Fourth Amendment requires that warrants issue 'upon probable cause, supported by Oath or affirmation.' The significance of the oath requirement is 'that someone must take the responsibility for the facts alleged, giving rise to the probable cause for the issuance of a warrant.' United States ex rel. Pugh v. Pate, 401 F.2d 6 (7th Cir. 1968); See also Frazier v. Roberts, 441 F.2d 1224 (8th Cir. 1971). This is accomplished under the procedure required by subdivision (c)(2); the need for an oath under the Fourth Amendment does not 'require a face to face confrontation between the magistrate and the affiant.' People v. Chavaz, 27 Cal.App.3d 883, 104 Cal.Rptr. 247 (1972). See also People v. Aguirre, 26 Cal.App.3d 7, 103 Cal.Rptr. 153 (1972), noting it is unnecessary that 'oral statements (be) taken in the physical presence of the magistrate.' The availability of the procedure authorized by subdivision (c)(2) will minimize the necessity of federal law enforcement officers engaging in other practices which, at least on occasion, might threaten to a greater extent those values protected by the Fourth Amendment. Although it is permissible for an officer in the field to relay his information by radio or telephone to another officer who has more ready access to a magistrate and who will thus act as the affiant, Lopez v. United States, 370 F.2d 8 (5th Cir. 1966); State v. Banks, 250 N.C. 728, 110 S.E.2d 322 (1959), that procedure is less desirable than that permitted under subdivision (c)(2), for it deprives 'the magistrate of the opportunity to examine the officer at the scene, who is in a much better position to answer questions relating to probable cause and the requisite scope of the search.' Israel, Legislative Regulation of Searches and Seizures: The Michigan Proposals, 73 Mich.L.Rev. 221, 260 (1975). Or, in the absence of the subdivision (c)(2) procedure, officers might take 'protective custody' of the premises and occupants for a significant period of time while a search warrant was sought by traditional means. The extent to which the 'protective custody' procedure may be employed consistent with the Fourth Amendment is uncertain at best; see Griswold, Criminal Procedure, 1969 - Is It a Means or an End?, 29 Md.L.Rev. 307, 317 (1969). The unavailability of the subdivision (c)(2) procedure also makes more tempting an immediate resort to a warrantless search in the hope that the circumstances will later be found to have been sufficiently 'exigent' to justify such a step. See Miller, Telephonic Search Warrants: The San Diego Experience, 9 The Prosecutor 385, 386 (1974), noting a dramatic increase in police utilization of the warrant process following enactment of a telephonic warrant statute. NOTES OF COMMITTEE ON THE JUDICIARY, SENATE REPORT NO. 95-354; 1977 AMENDMENTS PROPOSED BY THE SUPREME COURT The committee agrees with the Supreme Court that it is desirable to encourage Federal law enforcement officers to seek search warrants in situations where they might otherwise conduct warrantless searches by providing for a telephone search warrant procedure with the basic characteristics suggested in the proposed Rule 41(c)(2). As the Supreme Court has observed, 'It is a cardinal rule that, in seizing goods and articles, law enforcement agents must secure and use search warrants whenever reasonably practicable.' After consideration of the Supreme Court version and a proposal set forth in H.R. 7888, the committee decided to use the language of the House bill as the vehicle, with certain modifications. A new provision, as indicated in subparagraph (c)(2)(A), is added to establish a procedure for the issuance of a search warrant where the circumstances make it reasonable to dispense with a written affidavit to be presented in person to a magistrate. At least two States have adopted a similar procedure - Arizona and California - and comparable amendments are under consideration in other jurisdictions. Such a procedure has been strongly recommended by the National Advisory Commission on Criminal Justice Standards and Goals and State experience with the procedure has been favorable. The telephone search warrant process has been upheld as constitutional by the courts and has consistently been so viewed by commentators. In recommending a telephone search warrant procedure, the Advisory Committee note on the Supreme Court proposal points out that the preferred method of conducting a search is with a search warrant. The note indicates that the rationale for the proposed change is to encourage Federal law enforcement officers to seek search warrants in situations when they might otherwise conduct warrantless searches. 'Federal law enforcement officers are not infrequently confronted with situations in which the circumstances are not sufficiently 'exigent' to justify the serious step of conducting a warrantless search of private premises, but yet there exists a significant possibility that critical evidence would be lost in the time it would take to obtain a search warrant by traditional means.' Subparagraph (c)(2)(B) provides that the person requesting the warrant shall prepare a 'duplicate original warrant' which will be read and recorded verbatim by the magistrate on an 'original warrant.' The magistrate may direct that the warrant be modified. Subparagraph (c)(2)(C) provides that, if the magistrate is satisfied that the circumstances are such as to make it reasonable to dispense with a written affidavit and that grounds for the application exist or there is probable cause to believe that they exist, he shall order the issuance of the warrant by directing the requestor to sign the magistrate's name on the duplicate original warrant. The magistrate is required to sign the original warrant and enter the time of issuance thereon. The finding of probable cause may be based on the same type of evidence appropriate for a warrant upon affidavit. Subparagraph (c)(2)(D) requires the magistrate to place the requestor and any witness under oath and, if a voice recording device is available, to record the proceeding. If a voice recording is not available, the proceeding must be recorded verbatim stenographically or in longhand. Verified copies must be filed with the court as specified. Subparagraph (c)(2)(E) provides that the contents of the warrant upon oral testimony shall be the same as the contents of a warrant upon affidavit. Subparagraph (c)(2)(F) provides that the person who executes the warrant shall enter the exact time of execution on the face of the duplicate original warrant. Unlike H.R. 7888, this subparagraph does not require the person who executes the warrant to have physical possession of the duplicate original warrant at the time of the execution of the warrant. The committee believes this would make an unwise and unnecessary distinction between execution of regular warrants issued on written affidavits and warrants issued by telephone that would limit the flexibility and utility of this procedure for no useful purpose. Finally, subparagraph (c)(2)(G) makes it clear that, absent a finding of bad faith by the government, the magistrate's judgment that the circumstances made it reasonable to dispense with a written affidavit - a decision that does not go to the core question of whether there was probable cause to issue a warrant - is not a ground for granting a motion to suppress evidence. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT This amendment to Rule 41 is intended to make it possible for a search warrant to issue to search for a person under two circumstances: (i) when there is probable cause to arrest that person; or (ii) when that person is being unlawfully restrained. There may be instances in which a search warrant would be required to conduct a search in either of these circumstances. Even when a search warrant would not be required to enter a place to search for a person, a procedure for obtaining a warrant should be available so that law enforcement officers will be encouraged to resort to the preferred alternative of acquiring 'an objective predetermination of probable cause' Katz v. United States, 389 U.S. 347, 88 S.Ct. 507, 19 L.Ed.2d 576 (1967), in this instance, that the person sought is at the place to be searched. That part of the amendment which authorizes issuance of a search warrant to search for a person unlawfully restrained is consistent with ALI Model Code of Pre-Arraignment Procedure Sec. SS 210.3(1)(d) (Proposed Official Draft, 1975), which specifies that a search warrant may issue to search for 'an individual * * * who is unlawfully held in confinement or other restraint.' As noted in the Commentary thereto, id. at p. 507: Ordinarily such persons will be held against their will and in that case the persons are, of course, not subject to 'seizure.' But they are, in a sense, 'evidence' of crime, and the use of search warrants for these purposes presents no conceptual difficulties. Some state search warrant provisions also provide for issuance of a warrant in these circumstances. See, e. g., Ill.Rev.Stat. ch. 38, Sec. 108-3 ('Any person who has been kidnapped in violation of the laws of this State, or who has been kidnapped in another jurisdiction and is now concealed within this State'). It may be that very often exigent circumstances, especially the need to act very promptly to protect the life or well-being of the kidnap victim, would justify an immediate warrantless search for the person restrained. But this is not inevitably the case. Moreover, as noted above there should be available a process whereby law enforcement agents may acquire in advance a judicial determination that they have cause to intrude upon the privacy of those at the place where the victim is thought to be located. That part of the amendment which authorizes issuance of a search warrant to search for a person to be arrested is also consistent with ALI Model Code of Pre-Arraignment Procedure Sec. SS 210.3(1)(d) (Proposed Official Draft, 1975), which states that a search warrant may issue to search for 'an individual for whose arrest there is reasonable cause.' As noted in the Commentary thereto, id. at p. 507, it is desirable that there be 'explicit statutory authority for such searches.' Some state search warrant provisions also expressly provide for the issuance of a search warrant to search for a person to be arrested. See, e. g., Del.Code Ann. tit. 11, Sec. 2305 ('Persons for whom a warrant of arrest has been issued'). This part of the amendment to Rule 41 covers a defendant or witness for whom an arrest warrant has theretofore issued, or a defendant for whom grounds to arrest exist even though no arrest warrant has theretofore issued. It also covers the arrest of a deportable alien under 8 U.S.C. Sec. 1252, whose presence at a certain place might be important evidence of criminal conduct by another person, such as the harboring of undocumented aliens under 8 U.S.C. Sec. 1324(a)(3). In United States v. Watson, 423 U.S. 411, 96 S.Ct. 820, 46 L.Ed.2d 598 (1976), the Court once again alluded to 'the still unsettled question' of whether, absent exigent circumstances, officers acting without a warrant may enter private premises to make an arrest. Some courts have indicated that probable cause alone ordinarily is sufficient to support an arrest entry. United States v. Fernandez, 480 F.2d 726 (2d Cir. 1973); United States ex rel. Wright v. Woods, 432 F.2d 1143 (7th Cir. 1970). There exists some authority, however, that except under exigent circumstances a warrant is required to enter the defendant's own premises, United States v. Calhoun, 542 F.2d 1094 (9th Cir. 1976); United States v. Lindsay, 506 F.2d 166 (D.C.Cir. 1974); Dorman v. United States, 435 F.2d 385 (D.C.Cir. 1970), or, at least, to enter the premises of a third party, Virgin Islands v. Gereau, 502 F.2d 914 (3d Cir. 1974); Fisher v. Volz, 496 F.2d 333 (3d Cir. 1974); Huotari v. Vanderport, 380 F.Supp. 645 (D.Minn. 1974). It is also unclear, assuming a need for a warrant, what kind of warrant is required, although it is sometimes assumed that an arrest warrant will suffice, e. g., United States v. Calhoun, supra; United States v. James, 528 F.2d 999 (5th Cir. 1976). There is a growing body of authority, however, that what is needed to justify entry of the premises of a third party to arrest is a search warrant, e. g., Virgin Islands v. Gereau, supra; Fisher v. Volz, supra. The theory is that if the privacy of this third party is to be protected adequately, what is needed is a probable cause determination by a magistrate that the wanted person is presently within that party's premises. 'A warrant for the arrest of a suspect may indicate that the police officer has probable cause to believe the suspect committed the crime; it affords no basis to believe the suspect is in some stranger's home.' Fisher v. Volz, supra. It has sometimes been contended that a search warrant should be required for a nonexigent entry to arrest even when the premises to be entered are those of the person to be arrested. Rotenberg & Tanzer, Searching for the Person to be Seized, 35 Ohio St.L.J. 56, 69 (1974). Case authority in support is lacking, and it may be that the protections of a search warrant are less important in such a situation because ordinarily 'rudimentary police procedure dictates that a suspect's residence be eliminated as a possible hiding place before a search is conducted elsewhere.' People v. Sprovieri, 95 Ill.App.2d 10, 238 N.E.2d 115 (1968). Despite these uncertainties, the fact remains that in some circuits under some circumstances a search warrant is required to enter private premises to arrest. Moreover, the law on this subject is in a sufficient state of uncertainty that this position may be taken by other courts. It is thus important that Rule 41 clearly express that a search warrant for this purpose may issue. And even if future decisions head the other direction, the need for the amendment would still exist. It is clear that law enforcement officers 'may not constitutionally enter the home of a private individual to search for another person, though he be named in a valid arrest warrant in their possession, absent probable cause to believe that the named suspect is present within at the time.' Fisher v. Volz, supra. The cautious officer is entitled to a procedure whereby he may have this probable cause determination made by a neutral and detached magistrate in advance of the entry. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. NOTES OF ADVISORY COMMITTEE ON RULES - 1989 AMENDMENT The amendment to Rule 41(e) conforms the rule to the practice in most districts and eliminates language that is somewhat confusing. The Supreme Court has upheld warrants for the search and seizure of property in the possession of persons who are not suspected of criminal activity. See, e.g., Zurcher v. Stanford Daily, 436 U.S. 547 (1978). Before the amendment, Rule 41(e) permitted such persons to seek return of their property if they were aggrieved by an unlawful search and seizure. But, the rule failed to address the harm that may result from the interference with the lawful use of property by persons who are not suspected of wrongdoing. Courts have recognized that once the government no longer has a need to use evidence, it should be returned. See, e.g., United States v. Wilson, 540 F.2d 1100 (D.C. Cir. 1976). Prior to the amendment, Rule 41(e) did not explicitly recognize a right of a property owner to obtain return of lawfully seized property even though the government might be able to protect its legitimate law enforcement interests in the property despite its return - e.g., by copying documents or by conditioning the return on government access to the property at a future time. As amended, Rule 41(e) provides that an aggrieved person may seek return of property that has been unlawfully seized, and a person whose property has been lawfully seized may seek return of property when aggrieved by the government's continued possession of it. No standard is set forth in the rule to govern the determination of whether property should be returned to a person aggrieved either by an unlawful seizure or by deprivation of the property. The fourth amendment protects people from unreasonable seizures as well as unreasonable searches, United States v. Place, 462 U.S. 696, 701 (1983), and reasonableness under all of the circumstances must be the test when a person seeks to obtain the return of property. If the United States has a need for the property in an investigation or prosecution, its retention of the property generally is reasonable. But, if the United States' legitimate interests can be satisfied even if the property is returned, continued retention of the property would become unreasonable. The amendment deletes language dating from 1944 stating that evidence shall not be admissible at a hearing or at a trial if the court grants the motion to return property under Rule 41(e). This language has not kept pace with the development of exclusionary rule doctrine and is currently only confusing. The Supreme Court has now held that evidence seized in violation of the fourth amendment, but in good faith pursuant to a warrant, may be used even against a person aggrieved by the constitutional violation. United States v. Leon, 468 U.S. 897 (1984). The Court has also held that illegally seized evidence may be admissible against persons who are not personally aggrieved by an illegal search or seizure. Rakas v. Illinois, 439 U.S. 128 (1978). Property that is inadmissible for one purpose (e.g., as part of the government's case-in-chief) may be admissible for another purpose (e.g., impeachment, United States v. Havens, 446 U.S. 620 (1980)). Federal courts have relied upon these decisions and permitted the government to retain and to use evidence as permitted by the fourth amendment. Rule 41(e) is not intended to deny the United States the use of evidence permitted by the fourth amendment and federal statutes, even if the evidence might have been unlawfully seized. See, e.g., United States v. Calandra, 414 U.S. 338, 349 n.6 (1978) ('Rule 41(e) does not constitute a statutory expansion of the exclusionary rule.'); United States v. Roberts, 852 F.2d 671 (2nd Cir. 1988) (exceptions to exclusionary rule applicable to Rule 41(e)). Thus, the exclusionary provision is deleted, and the scope of the exclusionary rule is reserved for judicial decisions. In opting for a reasonableness approach and in deleting the exclusionary language, the Committee rejects the analysis of Sovereign News Co. v. United States, 690 F.2d 569 (6th Cir. 1982), cert. denied, 464 U.S. 814 (1983), which held that the United States must return photocopies of lawfully seized business records unless it could demonstrate that the records were 'necessary for a specific investigation.' As long as the government has a law enforcement purpose in copying records, there is no reason why it should be saddled with a heavy burden of justifying the copying. Although some cases have held that the government must return copies of records where the originals were illegally seized - See, e.g., United States v. Wallace & Tiernan Co., 336 U.S. 793, 801 (1948); Goodman v. United States, 369 F.2d 166 (9th Cir. 1966) - these holdings are questionable in situations in which the government is permitted under Supreme Court decisions to use illegally seized evidence, and their reasoning does not apply to legally seized evidence. As amended, Rule 41(e) avoids an all or nothing approach whereby the government must either return records and make no copies or keep originals notwithstanding the hardship to their owner. The amended rule recognizes that reasonable accommodations might protect both the law enforcement interests of the United States and the property rights of property owners and holders. In many instances documents and records that are relevant to ongoing or contemplated investigations and prosecutions may be returned to their owner as long as the government preserves a copy for future use. In some circumstances, however, equitable considerations might justify an order requiring the government to return or destroy all copies of records that it has seized. See, e.g., Paton v. LaPrade, 524 F.2d 862, 867-69 (3rd Cir. 1975). The amended rule contemplates judicial action that will respect both possessory and law enforcement interests. The word 'judge' is changed to 'court' in the second sentence of subdivision (e) to clarify that a magistrate may receive evidence in the course of making a finding or a proposed finding for consideration by the district judge. NOTES OF ADVISORY COMMITTEE ON RULES - 1990 AMENDMENT Rule 41(a). The amendment to Rule 41(a) serves several purposes. First, it furthers the constitutional preference for warrants by providing a mechanism whereby a warrant may be issued in a district for a person or property that is moving into or through a district or might move outside the district while the warrant is sought or executed. Second, it clarifies the authority of federal magistrates to issue search warrants for property that is relevant to criminal investigation being conducted in a district and, although located outside the United States, that is in a place where the United States may lawfully conduct a search. The amendment is not intended to expand the class of persons authorized to request a warrant and the language 'upon request of a federal law enforcement officer,' modifies all warrants covered by Rule 41. The amendment is intended to make clear that judges of state courts of record within a federal district may issue search warrants for persons or property located within that district. The amendment does not prescribe the circumstances in which a warrant is required and is not intended to change the law concerning warrant requirements. Rather the rule provides a mechanism for the issuance of a warrant when one is required, or when a law enforcement officer desires to seek a warrant even though warrantless activity is permissible. Rule 41(a)(1) permits anticipatory warrants by omitting the words 'is located,' which in the past required that in all instances the object of the search had to be located within the district at the time the warrant was issued. Now a search for property or a person within the district, or expected to be within the district, is valid if it otherwise complies with the rule. Rule 41(a)(2) authorizes execution of search warrants in another district under limited circumstances. Because these searches are unusual, the rule limits to federal magistrates the authority to issue such warrants. The rule permits a federal magistrate to issue a search warrant for property within the district which is moving or may move outside the district. The amendment recognizes that there are inevitable delays between the application for a warrant and its authorization, on the one hand, and the execution of the warrant, on the other hand. The amendment also recognizes that when property is in motion, there may be good reason to delay execution until the property comes to rest. The amendment provides a practical tool for federal law enforcement officers that avoids the necessity of their either seeking several warrants in different districts for the same property or their relying on an exception to the warrant requirement for search of property or a person that has moved outside a district. The amendment affords a useful warrant procedure to cover familiar fact patterns, like the one typified by United States v. Chadwick, 433 U.S. 1 (1976). In Chadwick, agents in San Diego observed suspicious activities involving a footlocker carried onto a train. When the train arrived in Boston, the agents made an arrest and conducted a warrantless search of the footlocker (which the Supreme Court held was invalid). Under the amended rule, agents who have probable cause in San Diego would be able to obtain a warrant for a search of the footlocker even though it is moving outside the district. Agents, who will not be sure exactly where the footlocker will be unloaded from the train, may execute the warrant when the journey ends. See also United States v. Karo, 468 U.S. 705 (1984) (rejecting argument that obtaining warrant to monitor beeper would not comply with requirement of particularity because its final destination may not be known); United States v. Knotts, 460 U.S. 276 (1983) (agents followed beeper across state lines). The Supreme Court's holding in Chadwick permits law enforcement officers to seize and hold an object like a footlocker while seeking a warrant. Although the amended rule would not disturb this holding, it provides a mechanism for agents to seek a probable cause determination and a warrant before interfering with the property and seizing it. It encourages reliance on warrants. The amendment is not intended to abrogate the requirements of probable cause and prompt execution. At some point, a warrant issued in one district might become stale when executed in another district. But staleness can be a problem even when a warrant is executed in the district in which it was issued. See generally United States v. Harris, 403 U.S. 573, 579, 589 (1971). And at some point, an intervening event might make execution of a warrant unreasonable. Cf. Illinois v. Andreas, 463 U.S. 765, 772 (1983). Evaluations of the execution of a warrant must, in the nature of things, be made after the warrant is issued. Nor does the amendment abrogate the requirement of particularity. Thus, it does not authorize searches of premises other than a particular place. As recognized by the Supreme Court in Karo, supra, although agents may not know exactly where moving property will come to rest, they can still describe with particularity the object to be searched. The amendment would authorize the search of a particular object or container provided that law enforcement officials were otherwise in a lawful position to execute the search without making an impermissible intrusion. For example, it would authorize the search of luggage moving aboard a plane. Rule 41(a)(3) (The Supreme Court did not adopt the addition of a subsection (3) to Rule 41(a)) provides for warrants to search property outside the United States. No provision for search warrants for persons is made lest the rule be read as a substitute for extradition proceedings. As with the provision for searches outside a district, supra, this provision is limited to search warrants issued by federal magistrates. The phrase 'relevant to criminal investigation' is intended to encompass all of the types of property that are covered by Rule 41(b), which is unchanged by the amendment. That phrase also is intended to include those investigations which begin with the request for the search warrant. Some searches and seizures by federal officers outside the territory of the United States may be governed by the fourth amendment. See generally Saltzburg, the Reach of the Bill of Rights Beyond the Terra Firma of the United States, 20 Va. J. Int'l L. 741 (1980). Prior to the amendment of the rule, it was unclear how federal officers might obtain warrants authorizing searches outside the district of the issuing magistrate. Military Rule of Evidence 315 provided guidance for searches of military personnel and property and nonmilitary property in a foreign country. But it had no civilian counterpart. See generally S. Saltzburg, L. Schinasi, & D. Schlueter, Military Rules of Evidence Manual 274-95 (2d ed. 1986). Although the amendment rests on the assumption that the Constitution applies to some extraterritorial searches, cf United States v. Verdugo-Urquidez, 110 S. Ct. 1056, 494 U.S. 259 (1990) (fourth amendment inapplicable to extraterritorial searches of property owned by nonresident aliens), it does not address the question of when the Constitution requires a warrant. Nor does it address the issue of whether international agreements or treaties or the law of a foreign nation might be applicable. See United States v. Patterson, 812 F. 2d 486 (9th Cir. 1987). Instead, the amendment is intended to provide necessary clarification as to how a warrant may be obtained when law enforcement officials are required, or find it desirable, to do so. CONGRESSIONAL MODIFICATION OF PROPOSED 1977 AMENDMENT Section 2(e) of Pub. L. 95-78 provided in part that the amendment by the Supreme Court (in its order of Apr. 26, 1976) to subdivision (c) of rule 41 of the Federal Rules of Criminal Procedure (subd. (c) of this rule) is approved in a modified form. EFFECTIVE DATE OF 1977 AMENDMENT Amendment of this rule by order of the United States Supreme Court on Apr. 26, 1976, modified and approved by Pub. L. 95-78, effective Oct. 1, 1977, see section 4 of Pub. L. 95-78, set out as an Effective Date of Pub. L. 95-78 note under section 3771 of this title. EFFECTIVE DATE OF 1976 AMENDMENT Amendment of subd. (c)(1) by order of the United States Supreme Court of Apr. 26, 1976, effective Aug. 1, 1976, see section 1 of Pub. L. 94-349, set out as a note under section 3771 of this title. EFFECTIVE DATE OF 1956 AMENDMENT Amendment by Order of April 9, 1956, became effective 90 days thereafter. -CROSS- CROSS REFERENCES Assault on persons authorized to serve or execute warrant, see section 2231 of this title. Conveyances carrying liquor, see section 3669 of this title. Counterfeiting, seizure of paraphernalia, see section 492 of this title. Deadly weapon, resistance with of person authorized to serve or execute warrant, see section 2231 of this title. Destruction of property to prevent seizure, penalty, see section 2232 of this title. Discovery and inspection of evidence obtained by seizure by defendant, see rule 16. False representation as officer and search by impersonator, see section 913 of this title. Federal Bureau of Investigation, service of warrants and seizures by, see section 3107 of this title. Indian liquor traffic violation, see section 3113 of this title. Intimidation or interference with person authorized to serve or execute warrant, see section 2231 of this title. Intoxicating liquors, containers and vehicles used in violation of law, see section 3667 of this title. Liquor law violations, remission or mitigation of forfeitures, see section 3668 of this title. Officers and employees of government, searches without warrant, see section 2236 of this title. Probable cause, procuring search warrant without, see section 2235 of this title. Removal of property to prevent seizure, penalty, see section 2232 of this title. Rescue of seized property, penalty, see section 2233 of this title. Resistance to person authorized to serve or execute warrant, see section 2231 of this title. Searches and seizures, see Const. Amend. 4. Vessels used as place of resort for persons conspiring to commit offense against United States, see section 2274 of this title. Violation of laws of United States, authority to make seizures under warrants, see section 3107 of this title. Warrants - Breaking doors or windows to execute, see section 3109 of this title. Offenses exceeding authority in executing, see section 2234 of this title. Persons authorized to serve, see section 3105 of this title. Procuring maliciously and without probable cause, see section 2235 of this title. Search without, federal officer, agent or employee, see section 2236 of this title. Wire or oral communications, authorization for interception, to provide evidence of certain offenses, see section 2516 of this title. ------DocID 25132 Document 1374 of 1438------ -CITE- 18 USC Rule 42 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS IX -HEAD- Rule 42. Criminal Contempt -STATUTE- (a) Summary Disposition. A criminal contempt may be punished summarily if the judge certifies that the judge saw or heard the conduct constituting the contempt and that it was committed in the actual presence of the court. The order of contempt shall recite the facts and shall be signed by the judge and entered of record. (b) Disposition Upon Notice and Hearing. A criminal contempt except as provided in subdivision (a) of this rule shall be prosecuted on notice. The notice shall state the time and place of hearing, allowing a reasonable time for the preparation of the defense, and shall state the essential facts constituting the criminal contempt charged and describe it as such. The notice shall be given orally by the judge in open court in the presence of the defendant or, on application of the United States attorney or of an attorney appointed by the court for that purpose, by an order to show cause or an order of arrest. The defendant is entitled to a trial by jury in any case in which an act of Congress so provides. The defendant is entitled to admission to bail as provided in these rules. If the contempt charged involves disrespect to or criticism of a judge, that judge is disqualified from presiding at the trial or hearing except with the defendant's consent. Upon a verdict or finding of guilt the court shall enter an order fixing the punishment. -SOURCE- (As amended Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The rule-making power of the Supreme Court with respect to criminal proceedings was extended to proceedings to punish for criminal contempt of court by the Act of November 21, 1941 (55 Stat. 779), 18 U.S.C. 689 (see 3771, 3772). Note to Subdivision (a). This rule is substantially a restatement of existing law, Ex parte Terry, 128 U.S. 289; Cooke v. United States, 267 U.S. 517, 534. Note to Subdivision (b). 1. This rule is substantially a restatement of the procedure prescribed in 28 U.S.C. 386-390 (now 18 U.S.C. 401, 402, 3285, 3691), and 29 U.S.C. 111 (now 18 U.S.C. 3692). 2. The requirement in the second sentence that the notice shall describe the criminal contempt as such is intended to obviate the frequent confusion between criminal and civil contempt proceedings and follows the suggestion made in McCann v. New York Stock Exchange, 80 F.2d 211 (C.C.A. 2d). See also Nye v. United States, 313 U.S. 33, 42-43. 3. The fourth sentence relating to trial by jury preserves the right to a trial by jury in those contempt cases in which it is granted by statute, but does not enlarge the right or extend it to additional cases. The respondent in a contempt proceeding may demand a trial by jury as of right if the proceeding is brought under the Act of March 23, 1932, c. 90, sec. 11, 47 Stat. 72, 29 U.S.C. 111 (now 18 U.S.C. 3692) (Norris-La Guardia Act), or the Act of October 15, 1914, c. 323, sec. 22, 38 Stat. 738, 28 U.S.C. 387 (Clayton Act). 4. The provision in the sixth sentence disqualifying the judge affected by the contempt if the charge involves disrespect to or criticism of him, is based, in part, on 29 U.S.C. former Sec. 112 (Contempts; demand for retirement of judge sitting in proceeding) and the observations of Chief Justice Taft in Cooke v. United States, 267 U.S. 517, 539, 45 S.Ct. 390, 69 L.Ed. 767. 5. Among the statutory provisions defining criminal contempts are the following: U.S.C., Title 7: Section 499m (Perishable Agricultural Commodities Act; investigation of complaints; procedure; penalties; etc. - (c) Disobedience to subpenas; remedy; contempt) U.S.C., Title 9: Section 7 (Witnesses before arbitrators; fees, compelling attendance) U.S.C., Title 11: Section 69 (former) (Referees; contempts before) U.S.C., Title 15: Section 49 (Federal Trade Commission; documentary evidence; depositions; witnesses) Section 78u (Regulation of Securities Exchanges; investigation; injunctions and prosecution of offenses) Section 100 (Trademarks; destruction of infringing labels; service of injunction, and proceedings for enforcement) Section 155 (China Trade Act; authority of registrar in obtaining evidence) U.S.C., Title 17: Section 36 (now 502) (Injunctions; service and enforcement) U.S.C., Title 19: Section 1333 (Tariff Commission; testimony and production of papers - (b) Witnesses and evidence) U.S.C., Title 22: Section 270f (International Bureaus; Congresses, etc.; perjury; contempts; penalties) U.S.C., Title 28: Section 385 (now 459; 18 U.S.C. 401) (Administration of oaths; contempts) Section 386 (now 18 U.S.C. 402, 3691) (Contempts; when constituting also criminal offense) Section 387 (now 18 U.S.C. 402) (Same; procedure; bail; attachment; trial; punishment) (Clayton Act; jury trial; section) Section 388 (former) (Same; review of conviction) Section 389 (now 18 U.S.C. 402, 3691) (Same; not specifically enumerated) Section 390 (now 18 U.S.C. 3285) (Same; limitations) Section 390a (now 18 U.S.C. 402) ('Person' or 'persons' defined) Section 648 (now Rule 17(f), FRCP, 18 U.S.C., Appendix; Rule 45(d), FRCP, 28 U.S.C., Appendix) (Depositions under dedimus potestatem; witnesses; when required to attend) Section 703 (former) (Punishment of witness for contempt) Section 714 (now 1784) (Failure of witness to obey subpena; order to show cause in contempt proceedings) Section 715 (now 1784) (Direction in order to show cause for seizure of property of witness in contempt) Section 716 (now 1784) (Service of order to show cause) Section 717 (now 1784) (Hearing on order to show cause; judgment; satisfaction) Section 750 (now 2405) (Garnishees in suits by United States against a corporation; garnishee failing to appear) U.S.C., Title 29: Section 111 (now 18 U.S.C. 3692) (Contempts; speedy and public trial; jury) (Norris-La Guardia Act) Section 112 (now Rule 42, FRCP, 18 U.S.C., Appendix) (Contempts; demands for retirement of judge sitting in proceeding) Section 160 (Prevention of unfair labor practices - (h) Jurisdiction of courts unaffected by limitations prescribed in sections 101-115 of Title 29) Section 161 (Investigatory powers of Board - (2) Court aid in compelling production of evidence and attendance of witnesses) Section 209 (Fair Labor Standards Act; attendance of witnesses) U.S.C., Title 33: Section 927 (Longshoremen's and Harbor Workers' Compensation Act; powers of deputy commissioner) U.S.C., Title 35: Section 56 (now 24) (Failing to attend or testify) U.S.C., Title 47: Section 409 (Federal Communications Commission; hearing; subpenas; oaths; witnesses; production of books and papers; contempts; depositions; penalties) U.S.C., Title 48: Section 1345a (Canal Zone; general jurisdiction of district court; issue of process at request of officials; witnesses; contempt) U.S.C., Title 49: Section 12 (now 10321(c)(3)) (Interstate Commerce Commission; authority and duties of commission; witnesses; depositions - (3) Compelling attendance and testimony of witnesses, etc.) Federal Rules of Civil Procedure: Rule 45 (Subpoena) subdivision (f) (Contempt) NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. TAFT-HARTLEY INJUNCTIONS Former section 112 of Title 29, Labor, upon which subd. (b) of this rule is in part based, as inapplicable to injunctions issued under the Taft-Hartley Act, see section 178 of said Title 29. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Rule 45 (Subpena) subdivision (f) (Contempt). CROSS REFERENCES Admission to bail, see rule 46. Criminal contempt constituting an offense, see section 402 of this title. Jury trial - Criminal contempt, see section 3691 of this title. Labor dispute contempt, see section 3692 of this title. Power of court to punish for criminal contempt, see section 401 of this title. -SECREF- RULE REFERRED TO IN U.S. CODE This rule is referred to in title 15 section 1267. ------DocID 25133 Document 1375 of 1438------ -CITE- 18 USC X -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- X. GENERAL PROVISIONS ------DocID 25134 Document 1376 of 1438------ -CITE- 18 USC Rule 43 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 43. Presence of the Defendant -STATUTE- (a) Presence Required. The defendant shall be present at the arraignment, at the time of the plea, at every stage of the trial including the impaneling of the jury and the return of the verdict, and at the imposition of sentence, except as otherwise provided by this rule. (b) Continued Presence Not Required. The further progress of the trial to and including the return of the verdict shall not be prevented and the defendant shall be considered to have waived the right to be present whenever a defendant, initially present, (1) is voluntarily absent after the trial has commenced (whether or not the defendant has been informed by the court of the obligation to remain during the trial), or (2) after being warned by the court that disruptive conduct will cause the removal of the defendant from the courtroom, persists in conduct which is such as to justify exclusion from the courtroom. (c) Presence Not Required. A defendant need not be present in the following situations: (1) A corporation may appear by counsel for all purposes. (2) In prosecutions for offenses punishable by fine or by imprisonment for not more than one year or both, the court, with the written consent of the defendant, may permit arraignment, plea, trial, and imposition of sentence in the defendant's absence. (3) At a conference or argument upon a question of law. (4) At a reduction of sentence under Rule 35. -SOURCE- (As amended Apr. 22, 1974, eff. Dec. 1, 1975; July 31, 1975, Pub. L. 94-64, Sec. 3(35), 89 Stat. 376; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. The first sentence of the rule setting forth the necessity of the defendant's presence at arraignment and trial is a restatement of existing law, Lewis v. United States, 146 U.S. 370; Diaz v. United States, 223 U.S. 442, 455. This principle does not apply to hearings on motions made prior to or after trial, United States v. Lynch, 132 F.2d 111 (C.C.A. 3d). 2. The second sentence of the rule is a restatement of existing law that, except in capital cases, the defendant may not defeat the proceedings by voluntarily absenting himself after the trial has been commenced in his presence, Diaz v. United States, 223 U.S. 442, 455; United States v. Noble, 294 F. 689 (D.Mont.) - affirmed, 300 F. 689 (C.C.A. 9th); United States v. Barracota, 45 F.Supp. 38 (S.D.N.Y.); United States v. Vassalo, 52 F.2d 699 (E.D.Mich.). 3. The fourth sentence of the rule empowering the court in its discretion, with the defendant's written consent, to conduct proceedings in misdemeanor cases in defendant's absence adopts a practice prevailing in some districts comprising very large areas. In such districts appearance in court may require considerable travel, resulting in expense and hardship not commensurate with the gravity of the charge, if a minor infraction is involved and a small fine is eventually imposed. The rule, which is in the interest of defendants in such situations, leaves it discretionary with the court to permit defendants in misdemeanor cases to absent themselves and, if so, to determine in what types of misdemeanors and to what extent. Similar provisions are found in the statutes of a number of States. See A.L.I. Code of Criminal Procedure, pp. 881-882. 4. The purpose of the last sentence of the rule is to resolve a doubt that at times has arisen as to whether it is necessary to bring the defendant to court from an institution in which he is confined, possibly at a distant point, if the court determines to reduce the sentence previously imposed. It seems in the interest of both the Government and the defendant not to require such presence, because of the delay and expense that are involved. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT The revision of rule 43 is designed to reflect Illinois v. Allen, 397 U.S. 337, 90 S.Ct. 1057, 25 L.Ed. 2d 353 (1970). In Allen, the court held that 'there are at least three constitutionally permissible ways for a trial judge to handle an obstreperous defendant like Allen: (1) bind and gag him, thereby keeping him present; (2) cite him for contempt; (3) take him out of the courtroom until he promises to conduct himself properly.' 397 U.S. at 343-344, 90 S.Ct. 1057. Since rule 43 formerly limited trial in absentia to situations in which there is a 'voluntary absence after the trial has been commenced,' it could be read as precluding a federal judge from exercising the third option held to be constitutionally permissible in Allen. The amendment is designed to make clear that the judge does have the power to exclude the defendant from the courtroom when the circumstances warrant such action. The decision in Allen, makes no attempt to spell out standards to guide a judge in selecting the appropriate method to ensure decorum in the courtroom and there is no attempt to do so in the revision of the rule. The concurring opinion of Mr. Justice Brennan stresses that the trial judge should make a reasonable effort to enable an excluded defendant 'to communicate with his attorney and, if possible, to keep apprised of the progress of the trial.' 397 U.S. at 351, 90 S.Ct. 1057. The Federal Judicial Center is presently engaged in experimenting with closed circuit television in courtrooms. The experience gained from these experiments may make closed circuit television readily available in federal courtrooms through which an excluded defendant would be able to hear and observe the trial. The defendant's right to be present during the trial on a capital offense has been said to be so fundamental that it may not be waived. Diaz v. United States, 223 U.S. 442, 455, 32 S.Ct. 250, 56 L.Ed. 500 (1912) (dictum); Near v. Cunningham, 313 F.2d 929, 931 (4th Cir. 1963); C. Wright, Federal Practice and Procedure: Criminal Sec. 723 at 199 (1969, Supp.1971). However, in Illinois v. Allen, supra the court's opinion suggests that sanctions such as contempt may be least effective where the defendant is ultimately facing a far more serious sanction such as the death penalty. 397 U.S. at 345, 90 S.Ct. 1057. The ultimate determination of when a defendant can waive his right to be present in a capital case (assuming a death penalty provision is held constitutional, see Furman v. Georgia, 408 U.S. 238, 92 S.Ct. 2726, 33 L.Ed.2d 346 (1972)) is left for further clarification by the courts. Subdivision (b)(1) makes clear that voluntary absence may constitute a waiver even if the defendant has not been informed by the court of his obligation to remain during the trial. Of course, proof of voluntary absence will require a showing that the defendant knew of the fact that the trial or other proceeding was going on. C. Wright, Federal Practice and Procedure: Criminal Sec. 723 n. 35 (1969). But it is unnecessary to show that he was specifically warned of his obligation to be present; a warning seldom is thought necessary in current practice. (See Taylor v. United States, 414 U.S. 17, 94 S.Ct. 194, 38 L.Ed.2d 174 (1973).) Subdivision (c)(3) makes clear that the defendant need not be present at a conference held by the court and counsel where the subject of the conference is an issue of law. The other changes in the rule are editorial in nature. In the last phrase of the first sentence, 'these rules' is changed to read 'this rule,' because there are no references in any of the other rules to situations where the defendant is not required to be present. The phrase 'at the time of the plea,' is added to subdivision (a) to make perfectly clear that defendant must be present at the time of the plea. See rule 11(c)(5) which provides that the judge may set a time, other than arraignment, for the holding of a plea agreement procedure. NOTES OF COMMITTEE ON THE JUDICIARY, HOUSE REPORT NO. 94-247; 1975 AMENDMENT A. Amendments Proposed by the Supreme Court. Rule 43 of the Federal Rules of Criminal Procedure deals with the presence of the defendant during the proceedings against him. It presently permits a defendant to be tried in absentia only in non-capital cases where the defendant has voluntarily absented himself after the trial has begun. The Supreme Court amendments provide that a defendant has waived his right to be present at the trial of a capital or noncapital case in two circumstances: (1) when he voluntarily absents himself after the trial has begun; and (2) where he 'engages in conduct which is such as to justify his being excluded from the courtroom.' B. Committee Action. The Committee added language to subdivision (b)(2), which deals with excluding a disruptive defendant from the courtroom. The Advisory Committee Note indicates that the rule proposed by the Supreme Court was drafted to reflect the decision in Illinois v. Allen, 397 U.S. 337 (1970). The Committee found that subdivision (b)(2) as proposed did not full track the Allen decision. Consequently, language was added to that subsection to require the court to warn a disruptive defendant before excluding him from the courtroom. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1975 AMENDMENT Pub. L. 94-62 amended subd. (b)(2) generally. EFFECTIVE DATE OF AMENDMENTS PROPOSED APRIL 22, 1974; EFFECTIVE DATE OF 1975 AMENDMENTS Amendments of this rule embraced in the order of the United States Supreme Court on Apr. 22, 1974 and the amendments of this rule made by section 3 of Pub. L. 94-64, effective Dec. 1, 1975, see section 2 of Pub. L. 94-64, set out as a note under rule 4 of these rules. -CROSS- CROSS REFERENCES Arraignment, see rule 10. Correction or reduction of sentence, see rule 35. Impaneling of jury, see sections 1861 et seq. of Title 28, Judiciary and Judicial Procedure. Motion for new trial, see rule 33. Motions prior to trial, see rules 6 and 12. Pleas, see rule 11. Sentence, see rule 32. ------DocID 25135 Document 1377 of 1438------ -CITE- 18 USC Rule 44 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 44. Right to and Assignment of Counsel -STATUTE- (a) Right to Assigned Counsel. Every defendant who is unable to obtain counsel shall be entitled to have counsel assigned to represent that defendant at every stage of the proceedings from initial appearance before the federal magistrate or the court through appeal, unless that defendant waives such appointment. (b) Assignment Procedure. The procedures for implementing the right set out in subdivision (a) shall be those provided by law and by local rules of court established pursuant thereto. (c) Joint Representation. Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant's right to counsel. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 30, 1979, eff. Dec. 1, 1980; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. This rule is a restatement of existing law in regard to the defendant's constitutional right of counsel as defined in recent judicial decisions. The Sixth Amendment provides: 'In all criminal prosecutions, the accused shall enjoy the right * * * to have the Assistance of Counsel for his defense.' 28 U.S.C. former Sec. 394 (now Sec. 1654) provides: 'In all the courts of the United States the parties may plead and manage their own causes personally, or by the assistance of such counsel or attorneys at law as, by the rules of the said courts, respectively, are permitted to manage and conduct causes therein.' 18 U.S.C. former Sec. 563 (now Sec. 3005), which is derived from the act of April 30, 1790 (1 Stat. 118), provides: 'Every person who is indicted of treason or other capital crime, shall be allowed to make his full defense by counsel learned in the law; and the court before which he is tried or some judge thereof, shall immediately, upon his request, assign to him such counsel, not exceeding two, as he may desire, and they shall have free access to him at all seasonable hours.' The present extent of the right of counsel has been defined recently in Johnson v. Zerbst, 304 U.S. 458; Walker v. Johnston, 312 U.S. 275; and Glasser v. United States, 315 U.S. 60. The rule is a restatement of the principles enunciated in these decisions. See, also, Holtzoff, 20 N.Y.U.L.Q.R. 1. 2. The rule is intended to indicate that the right of the defendant to have counsel assigned by the court relates only to proceedings in court and, therefore, does not include preliminary proceedings before a committing magistrate. Although the defendant is not entitled to have counsel assigned to him in connection with preliminary proceedings, he is entitled to be represented by counsel retained by him, if he so chooses, Rule 5(b) (Proceedings before the Commissioner; Statement by the Commissioner) and Rule 40(b)(2) (Commitment to Another District; Removal - Arrest in Distant District - Statement by Commissioner or Judge). As to defendant's right of counsel in connection with the taking of depositions, see Rule 15(c) (Depositions - Defendant's Counsel and Payment of Expenses). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT A new rule is provided as a substitute for the old to provide for the assignment of counsel to defendants unable to obtain counsel during all stages of the proceeding. The Supreme Court has recently made clear the importance of providing counsel both at the earliest possible time after arrest and on appeal. See Crooker v. California, 357 U.S. 433 (1958); Cicenia v. LaGay, 357 U.S. 504 (1958); White v. Maryland, 373 U.S. 59 (1963); Gideon v. Wainwright, 372 U.S. 335 (1963); Douglas v. California, 372 U.S. 353 (1963). See also Association of the Bar of the City of New York, Special Committee to Study the Defender System, Equal Justice for the Accused (1959); Report of the Attorney General's Committee on Poverty and the Administration of Justice (1963); Beaney, Right to Counsel Before Arraignment, 45 Minn.L.Rev. 771 (1961); Boskey, The Right to Counsel in Appellate Proceedings, 45 Minn.L.Rev. 783 (1961); Douglas, The Right to Counsel - A Foreword, 45 Minn.L.Rev. 693 (1961); Kamisar, The Right to Counsel and the Fourteenth Amendment; A Dialogue on 'The Most Pervasive Right' of an Accused, 30 U.Chi.L.Rev. 1 (1962); Kamisar, Betts v. Brady Twenty Years Later: The Right to Counsel and Due Process Values, 61 Mich.L.Rev. 219 (1962); Symposium, The Right to Counsel, 22 Legal Aid Briefcase 4-48 (1963). Provision has been made by law for a Legal Aid Agency in the District of Columbia which is charged with the duty of providing counsel and courts are admonished to assign such counsel 'as early in the proceeding as practicable.' D.C. Code Sec. 2-2202. Congress has now made provision for assignment of counsel and their compensation in all of the districts. Criminal Justice Act of 1964 (78 Stat. 552). Like the original rule the amended rule provides a right to counsel which is broader in two respects than that for which compensation is provided in the Criminal Justice Act of 1964: (1) the right extends to petty offenses to be tried in the district courts, and (2) the right extends to defendants unable to obtain counsel for reasons other than financial. These rules do not cover procedures other than those in the courts of the United States and before United States commissioners. See Rule 1. Hence, the problems relating to the providing of counsel prior to the initial appearance before a court or commissioner are not dealt with in this rule. Cf. Escobedo v. United States, 378 U.S. 478 (1964); Enker and Elsen, Counsel for the Suspect: Massiah v. United States and Escobedo v. Illinois, 49 Minn.L.Rev. 47 (1964). Subdivision (a). - This subdivision expresses the right of the defendant unable to obtain counsel to have such counsel assigned at any stage of the proceedings from his initial appearance before the commissioner or court through the appeal, unless he waives such right. The phrase 'from his initial appearance before the commissioner or court' is intended to require the assignment of counsel as promptly as possible after it appears that the defendant is unable to obtain counsel. The right to assignment of counsel is not limited to those financially unable to obtain counsel. If a defendant is able to compensate counsel but still cannot obtain counsel, he is entitled to the assignment of counsel even though not to free counsel. Subdivision (b). - This new subdivision reflects the adoption of the Criminal Justice Act of 1964. See Report of the Judicial Conference of the United States on the Criminal Justice Act of 1964, 36 F.R.D. 277 (1964). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivision (a) is amended to reflect the Federal Magistrates Act of 1968. The phrase 'federal magistrate' is defined in rule 54. NOTES OF ADVISORY COMMITTEE ON RULES - 1979 AMENDMENT Note to Subdivision (c). Rule 44(c) establishes a procedure for avoiding the occurrence of events which might otherwise give rise to a plausible post-conviction claim that because of joint representation the defendants in a criminal case were deprived of their Sixth Amendment right to the effective assistance of counsel. Although 'courts have differed with respect to the scope and nature of the affirmative duty of the trial judge to assure that criminal defendants are not deprived of their right to the effective assistance of counsel by joint representation of conflicting interests,' Holloway v. Arkansas, 98 S.Ct. 1173 (1978) (where the Court found it unnecessary to reach this issue), this amendment is generally consistent with the current state of the law in several circuits. As held in United States v. Carrigan, 543 F.2d 1053 (2d Cir. 1976): When a potential conflict of interest arises, either where a court has assigned the same counsel to represent several defendants or where the same counsel has been retained by co-defendants in a criminal case, the proper course of action for the trial judge is to conduct a hearing to determine whether a conflict exists to the degree that a defendant may be prevented from receiving advice and assistance sufficient to afford him the quality of representation guaranteed by the Sixth Amendment. The defendant should be fully advised by the trial court of the facts underlying the potential conflict and be given the opportunity to express his views. See also United States v. Lawriw, 568 F.2d 98 (8th Cir. 1977) (duty on trial judge to make inquiry where joint representation by appointed or retained counsel, and 'without such an inquiry a finding of knowing and intelligent waiver will seldom, if ever, be sustained by this Court'); Abraham v. United States, 549 F.2d 236 (2d Cir. 1977); United States v. Mari, 526 F.2d 117 (2d Cir. 1975); United States v. Truglio, 493 F.2d 574 (4th Cir. 1974) (joint representation should cause trial judge 'to inquire whether the defenses to be presented in any way conflict'); United States v. DeBerry, 487 F.2d 488 (2d Cir. 1973); United States ex rel. Hart v. Davenport, 478 F.2d 203 (3d Cir. 1973) (noting there 'is much to be said for the rule . . . which assumes prejudice and nonwaiver if there has been no on-the-record inquiry by the court as to the hazards to defendants from joint representation'; United States v. Alberti, 470 F.2d 878 (2d Cir. 1973); United States v. Foster, 469 F.2d 1 (1st Cir. 1972) (lack of sufficient inquiry shifts the burden of proof on the question of prejudice to the government); Campbell v. United States, 352 F.2d 359 (D.C. Cir. 1965) (where joint representation, court 'has a duty to ascertain whether each defendant has an awareness of the potential risks of that course and nevertheless has knowingly chosen it'). Some states have taken a like position; see, e.g., State v. Olsen, - - Minn. - - , 258 N.W.2d 898 (1977). This procedure is also consistent with that recommended in the ABA Standards Relating to the Function of the Trial Judge (Approved Draft, 1972), which provide in Sec. 3.4(b): Whenever two or more defendants who have been jointly charged, or whose cases have been consolidated, are represented by the same attorney, the trial judge should inquire into potential conflicts which may jeopardize the right of each defendant to the fidelity of his counsel. Avoiding a conflict-of-interest situation is in the first instance a responsibility of the attorney. If a lawyer represents 'multiple clients having potentially differing interests, he must weigh carefully the possibility that his judgment may be impaired or his loyalty divided if he accepts or continues the employment,' and he is to 'resolve all doubts against the propriety of the representation.' Code of Professional Responsibility, Ethical Consideration 5-15. See also ABA Standards Relating to the Defense Function Sec. 3.5(b) (Approved Draft, 1971), concluding that the 'potential for conflict of interest in representing multiple defendants is so grave that ordinarily a lawyer should decline to act for more than one of several co-defendants except in unusual situations when, after careful investigation, it is clear that no conflict is likely to develop and when the several defendants give an informed consent to such multiple representation.' It by no means follows that the inquiry provided for by rule 44(c) is unnecessary. For one thing, even the most diligent attorney may be unaware of facts giving rise to a potential conflict. Often 'counsel must operate somewhat in the dark and feel their way uncertainly to an understanding of what their clients may be called upon to meet upon a trial' and consequently 'are frequently unable to foresee developments which may require changes in strategy.' United States v. Carrigan, supra (concurring opinion). 'Because the conflicts are often subtle it is not enough to rely upon counsel, who may not be totally disinterested, to make sure that each of his joint clients has made an effective waiver.' United States v. Lawriw, supra. Moreover, it is important that the trial judge ascertain whether the effective and fair administration of justice would be adversely affected by continued joint representation, even when an actual conflict is not then apparent. As noted in United States v. Mari, supra (concurring opinion): Trial court insistence that, except in extraordinary circumstances, codefendants retain separate counsel will in the long run . . . prove salutary not only to the administration of justice and the appearance of justice but the cost of justice; habeas corpus petitions, petitions for new trials, appeals and occasionally retrials . . . can be avoided. Issues as to whether there is an actual conflict of interest, whether the conflict has resulted in prejudice, whether there has been a waiver, whether the waiver is intelligent and knowledgeable, for example, can all be avoided. Where a conflict that first did not appear subsequently arises in or before trial, . . . continuances or mistrials can be saved. Essentially by the time a case . . . gets to the appellate level the harm to the appearance of justice has already been done, whether or not reversal occurs; at the trial level it is a matter which is so easy to avoid. A rule 44(c) inquiry is required whether counsel is assigned or retained. It 'makes no difference whether counsel is appointed by the court or selected by the defendants; even where selected by the defendants the same dangers of potential conflict exist, and it is also possible that the rights of the public to the proper administration of justice may be affected adversely.' United States v. Mari, supra (concurring opinion). See also United States v. Lawriw, supra. When there has been 'no discussion as to possible conflict initiated by the court,' it cannot be assumed that the choice of counsel by the defendants 'was intelligently made with knowledge of any possible conflict.' United States v. Carrigan, supra. As for assigned counsel, it is provided by statute that ' the court shall appoint separate counsel for defendants having interests that cannot properly be represented by the same counsel, or when other good cause is shown.' 18 U.S.C. Sec. 3006(A)(b). Rule 44(c) is not intended to prohibit the automatic appointment of separate counsel in the first instance, see Ford v. United States, 379 F.2d 123 (D.C. Cir. 1967); Lollar v. United States, 376 F.2d 243 (D.C. Cir. 1967), which would obviate the necessity for an inquiry. Under rule 44(c), an inquiry is called for when the joined defendants are represented by the same attorney and also when they are represented by attorneys 'associated in the practice of law.' This is consistent with Code of Professional Responsibility, Disciplinary Rule 5-105(D) (providing that if 'a lawyer is required to decline employment or to withdraw from employment' because of a potential conflict, 'no partner or associate of his or his firm may accept or continue such employment'); and ABA Standards Relating to the Defense Function Sec. 3.5(b) (Approved Draft, 1971) (applicable to 'a lawyer or lawyers who are associated in practice'). Attorneys representing joined defendants should so advise the court if they are associated in the practice of law. The rule 44(c) procedure is not limited to cases expected to go to trial. Although the more dramatic conflict situations, such as when the question arises as to whether the several defendants should take the stand, Morgan v. United States, 396 F.2d 110 (2d Cir. 1968), tend to occur in a trial context, serious conflicts may also arise when one or more of the jointly represented defendants pleads guilty. The problem is that even where as here both codefendants pleaded guilty there are frequently potential conflicts of interest . . . (T)he prosecutor may be inclined to accept a guilty plea from one codefendant which may harm the interests of the other. The contrast in the dispositions of the cases may have a harmful impact on the codefendant who does not initially plead guilty; he may be pressured into pleading guilty himself rather than face his codefendant's bargained-for testimony at a trial. And it will be his own counsel's recommendation to the initially pleading codefendant which will have contributed to this harmful impact upon him . . . (I)n a given instance it would be at least conceivable that the prosecutor would be willing to accept pleas to lesser offenses from two defendants in preference to a plea of guilty by one defendant to a greater offense. United States v. Mari, supra (concurring opinion). To the same effect is ABA Standards Relating to the Defense Function at 213-14. It is contemplated that under rule 44(c) the court will make appropriate inquiry of the defendants and of counsel regarding the possibility of a conflict of interest developing. Whenever it is necessary to make a more particularized inquiry into the nature of the contemplated defense, the court should 'pursue the inquiry with defendants and their counsel on the record but in chambers' so as 'to avoid the possibility of prejudicial disclosures to the prosecution.' United States v. Foster, supra. It is important that each defendant be 'fully advised of the facts underlying the potential conflict and is given an opportunity to express his or her views.' United States v. Alberti, supra. The rule specifically requires that the court personally advise each defendant of his right to effective assistance of counsel, including separate representation. See United States v. Foster, supra, requiring that the court make a determination that jointly represented defendants 'understand that they may retain separate counsel, or if qualified, may have such counsel appointed by the court and paid for by the government.' Under rule 44(c), the court is to take appropriate measures to protect each defendant's right to counsel unless it appears 'there is good cause to believe no conflict of interest is likely to arise' as a consequence of the continuation of such joint representation. A less demanding standard would not adequately protect the Sixth Amendment right to effective assistance of counsel or the effective administration of criminal justice. Although joint representation 'is not per se violative of constitutional guarantees of effective assistance of counsel, Holloway v. Arkansas, supra, it would not suffice to require the court to act only when a conflict of interest is then apparent, for it is not possible 'to anticipate with complete accuracy the course that a criminal trial may take.' Fryar v. United States, 404 F.2d 1071 (10th Cir. 1968). This is particularly so in light of the fact that if a conflict later arises and a defendant thereafter raises a Sixth Amendment objection, a court must grant relief without indulging 'in nice calculations as to the amount of prejudice arising from its denial.' Glasser v. United States, 315 U.S. 60 (1942). This is because, as the Supreme Court more recently noted in Holloway v. Arkansas, supra, 'in a case of joint representation of conflicting interests the evil . . . is in what the advocate finds himself compelled to refrain from doing,' and this makes it 'virtually impossible' to assess the impact of the conflict. Rule 44(c) does not specify what particular measures must be taken. It is appropriate to leave this within the court's discretion, for the measures which will best protect each defendant's right to counsel may well vary from case to case. One possible course of action is for the court to obtain a knowing, intelligent and voluntary waiver of the right to separate representation, for, as noted in Holloway v. Arkansas, supra, 'a defendant may waive his right to the assistance of an attorney unhindered by a conflict of interests.' See United States v. DeBerry, supra, holding that defendants should be jointly represented only if 'the court has ascertained that . . . each understands clearly the possibilities of a conflict of interest and waives any rights in connection with it.' It must be emphasized that a 'waiver of the right to separate representation should not be accepted by the court unless the defendants have each been informed of the probable hazards; and the voluntary character of their waiver is apparent.' ABA Standards Relating to the Function of the Trial Judge at 45. United States v. Garcia, supra, spells out in significant detail what should be done to assure an adequate waiver: As in Rule 11 procedures, the district court should address each defendant personally and forthrightly advise him of the potential dangers of representation by counsel with a conflict of interest. The defendant must be at liberty to question the district court as to the nature and consequences of his legal representation. Most significantly, the court should seek to elicit a narrative response from each defendant that he has been advised of his right to effective representation, that he understands the details of his attorney's possible conflict of interest and the potential perils of such a conflict, that he has discussed the matter with his attorney or if he wishes with outside counsel, and that he voluntarily waives his Sixth Amendment protections. It is, of course, vital that the waiver be established by 'clear, unequivocal, and unambiguous language.' . . . Mere assent in response to a series of questions from the bench may in some circumstances constitute an adequate waiver, but the court should nonetheless endeavor to have each defendant personally articulate in detail his intent to forego this significant constitutional protection. Recordation of the waiver colloque between defendant and judge, will also serve the government's interest by assisting in shielding any potential conviction from collateral attack, either on Sixth Amendment grounds or on a Fifth or Fourteenth Amendment 'fundamental fairness' basis. See also Hyman, Joint Representation of Multiple Defendants in a Criminal Trial: The Court's Headache, 5 Hofstra L.Rev. 315, 334 (1977). Another possibility is that the court will order that the defendants be separately represented in subsequent proceedings in the case. Though the court must remain alert to and take account of the fact that 'certain advantages might accrue from joint representation,' Holloway v. Arkansas, supra, it need not permit the joint representation to continue merely because the defendants express a willingness to so proceed. That is, there will be cases where the court should require separate counsel to represent certain defendants despite the expressed wishes of such defendants. Indeed, failure of the trial court to require separate representation may . . . require a new trial, even though the defendants have expressed a desire to continue with the same counsel. The right to effective representation by counsel whose loyalty is undivided is so paramount in the proper administration of criminal justice that it must in some cases take precedence over all other considerations, including the expressed preference of the defendants concerned and their attorney. United States v. Carrigan, supra (concurring opinion). See also United States v. Lawriw, supra; Abraham v. United States, supra; ABA Standards Relating to the Defense Function at 213, concluding that in some circumstances 'even full disclosure and consent of the client may not be an adequate protection.' As noted in United States v. Dolan, 570 F.2d 1177 (3d Cir. 1978), such an order may be necessary where the trial judge is not satisfied that the waiver is proper. For example, a defendant may be competent enough to stand trial, but not competent enough to understand the complex, subtle, and sometimes unforeseeable dangers inherent in multiple representation. More importantly, the judge may find that the waiver cannot be intelligently made simply because he is not in a position to inform the defendant of the foreseeable prejudices multiple representation might entail for him. As concluded in Dolan, 'exercise of the court's supervisory powers by disqualifying an attorney representing multiple criminal defendants in spite of the defendants' express desire to retain that attorney does not necessarily abrogate defendant's sixth amendment rights'. It does not follow from the absolute right of self-representation recognized in Faretta v. California, 422 U.S. 806 (1975), that there is an absolute right to counsel of one's own choice. Thus, when a trial court finds an actual conflict of interest which impairs the ability of a criminal defendant's chosen counsel to conform with the ABA Code of Professional Responsibility, the court should not be required to tolerate an inadequate representation of a defendant. Such representation not only constitutes a breach of professional ethics and invites disrespect for the integrity of the court, but it is also detrimental to the independent interest of the trial judge to be free from future attacks over the adequacy of the waiver or the fairness of the proceedings in his own court and the subtle problems implicating the defendant's comprehension of the waiver. Under such circumstances, the court can elect to exercise its supervisory authority over members of the bar to enforce the ethical standard requiring an attorney to decline multiple representation. United States v. Dolan, supra. See also Geer, Conflict of Interest and Multiple Defendants in a Criminal Case: Professional Responsibilities of the Defense Attorney, 62 Minn.L.Rev. 119 (1978); Note, Conflict of Interests in Multiple Representation of Criminal Co-Defendants, 68 J.Crim.L.&C. 226 (1977). The failure in a particular case to conduct a rule 44(c) inquiry would not, standing alone, necessitate the reversal of a conviction of a jointly represented defendant. However, as is currently the case, a reviewing court is more likely to assume a conflict resulted from the joint representation when no inquiry or an inadequate inquiry was conducted. United States v. Carrigan, supra; United States v. DeBerry, supra. On the other hand, the mere fact that a rule 44(c) inquiry was conducted in the early stages of the case does not relieve the court of all responsibility in this regard thereafter. The obligation placed upon the court by rule 44(c) is a continuing one, and thus in a particular case further inquiry may be necessary on a later occasion because of new developments suggesting a potential conflict of interest. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. EFFECTIVE DATE OF 1979 AMENDMENT Amendment of this rule by addition of subd. (c) by order of the United States Supreme Court of Apr. 30, 1979, effective Dec. 1, 1980, see section 1(1) of Pub. L. 96-42, July 31, 1979, 93 Stat. 326, set out as a note under section 3771 of this title. -CROSS- CROSS REFERENCES Appearance personally or by counsel, see section 1654 of Title 28, Judiciary and Judicial Procedure. Arrest in distant district, informing defendant of right to retain counsel, see rule 40. Assignment of counsel in treason or other capital offenses, see section 3005 of this title. Assistance of counsel, see Const. Amend. VI. Magistrate to inform defendant of right to retain counsel in preliminary examination, see rule 5. ------DocID 25136 Document 1378 of 1438------ -CITE- 18 USC Rule 45 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 45. Time -STATUTE- (a) Computation. In computing any period of time the day of the act or event from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday, or, when the act to be done is the filing of some paper in court, a day on which weather or other conditions have made the office of the clerk of the district court inaccessible, in which event the period runs until the end of the next day which is not one of the aforementioned days. When a period of time prescribed or allowed is less than 11 days, intermediate Saturdays, Sundays and legal holidays shall be excluded in the computation. As used in these rules, 'legal holiday' includes New Year's Day, Birthday of Martin Luther King, Jr., Washington's Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans Day, Thanksgiving Day, Christmas Day, and any other day appointed as a holiday by the President or the Congress of the United States, or by the state in which the district court is held. (b) Enlargement. When an act is required or allowed to be done at or within a specified time, the court for cause shown may at any time in its discretion (1) with or without motion or notice, order the period enlarged if request therefor is made before the expiration of the period originally prescribed or as extended by a previous order or (2) upon motion made after the expiration of the specified period permit the act to be done if the failure to act was the result of excusable neglect; but the court may not extend the time for taking any action under Rules 29, 33, 34 and 35, except to the extent and under the conditions stated in them. ((c) Unaffected by Expiration of Term.) (Rescinded Feb. 28, 1966, eff. July 1, 1966) (d) For Motions; Affidavits. A written motion, other than one which may be heard ex parte, and notice of the hearing thereof shall be served not later than 5 days before the time specified for the hearing unless a different period is fixed by rule or order of the court. For cause shown such an order may be made on ex parte application. When a motion is supported by affidavit, the affidavit shall be served with the motion; and opposing affidavits may be served not less than 1 day before the hearing unless the court permits them to be served at a later time. (e) Additional Time After Service by Mail. Whenever a party has the right or is required to do an act within a prescribed period after the service of a notice or other paper upon that party and the notice or other paper is served by mail, 3 days shall be added to the prescribed period. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 1968; Mar. 1, 1971, eff. July 1, 1971; Apr. 28, 1982, eff. Aug. 1, 1982; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The rule is in substance the same as Rule 6 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). It seems desirable that matters covered by this rule should be regulated in the same manner for civil and criminal cases, in order to preclude possibility of confusion. Note to Subdivision (a). This rule supersedes the method of computing time prescribed by Rule 13 of the Criminal Appeals Rules, promulgated on May 7, 1934, 292 U.S. 661. Note to Subdivision (c). This rule abolishes the expiration of a term of court as a time limitation for the taking of any step in a criminal proceeding, as is done for civil cases by Rule 6(c) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). In view of the fact that the duration of terms of court varies among the several districts and the further fact that the length of time for the taking of any step limited by a term of court depends on the stage within the term when the time begins to run, specific time limitations have been substituted for the taking of any step which previously had to be taken within the term of court. Note to Subdivision (d). Cf. Rule 47 (Motions) and Rule 49 (Service and filing of papers). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a). - This amendment conforms the subdivision with the amendments made effective on July 1, 1963, to the comparable provision in Civil Rule 6(a). The only major change is to treat Saturdays as legal holidays for the purpose of computing time. Subdivision (b). - The amendment conforms the subdivision to the amendments made effective in 1948 to the comparable provision in Civil Rule 6(b). One of these conforming changes, substituting the words 'extend the time' for the words 'enlarge the period' clarifies the ambiguity which gave rise to the decision in United States v. Robinson, 361 U.S. 220 (1960). The amendment also, in connection with the amendments to Rules 29 and 37, makes it clear that the only circumstances under which extensions can be granted under Rules 29, 33, 34, 35, 37(a)(2) and 39(c) are those stated in them. Subdivision (c). - Subdivision (c) of Rule 45 is rescinded as unnecessary in view of the 1963 amendment to 28 U.S.C. Sec. 138 eliminating terms of court. NOTES OF ADVISORY COMMITTEE ON RULES - 1968 AMENDMENT The amendment eliminates inappropriate references to Rules 37 and 39 which are to be abrogated. NOTES OF ADVISORY COMMITTEE ON RULES - 1971 AMENDMENT The amendment adds Columbus Day to the list of legal holidays to conform the subdivision to the Act of June 28, 1968, 82 Stat. 250, which constituted Columbus Day a legal holiday effective after January 1, 1971. The Act, which amended Title 5, U.S.C., Sec. 6103(a), changes the day on which certain holidays are to be observed. Washington's Birthday, Memorial Day and Veterans Day are to be observed on the third Monday in February, the last Monday in May and the fourth Monday in October, respectively, rather than, as heretofore, on February 22, May 30, and November 11, respectively. Columbus Day is to be observed on the second Monday in October. New Year's Day, Independence Day, Thanksgiving Day and Christmas continue to be observed on the traditional days. NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT The amendment to subdivision (a) takes account of the fact that on rare occasion severe weather conditions or other circumstances beyond control will make it impossible to meet a filing deadline under Rule 45(a). Illustrative is an incident which occurred in Columbus, Ohio during the 'great blizzard of 1978,' in which weather conditions deteriorated to the point where personnel in the clerk's office found it virtually impossible to reach the courthouse, and where the GSA Building Manager found it necessary to close and secure the entire building. The amendment covers that situation and also similar situations in which weather or other conditions made the clerk's office, though open, not readily accessible to the lawyer. Whether the clerk's office was in fact 'inaccessible' on a given date is to be determined by the district court. Some state time computation statutes contain language somewhat similar to that in the amendment; see, e.g., Md.Code Ann. art. 94, Sec. 2. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT The rule is amended to extend the exclusion of intermediate Saturdays, Sundays, and legal holidays to the computation of time periods less than 11 days. Under the current version of the Rule, parties bringing motions under rules with 10-day periods could have as few as 5 working days to prepare their motions. This change corresponds to the change being made in the comparable provision in Fed.R.Civ.P. 6(a). The Birthday of Martin Luther King, Jr., which becomes a legal holiday effective January 1986, has been added to the list of legal holidays enumerated in the Rule. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Additional time after service by mail, see rule 6, Title 28, Appendix, Judiciary and Judicial Procedure. Computation of time, see rule 6. Enlargement of time, see rule 6. Time for motions and affidavits, see rule 6. CROSS REFERENCES Motions generally, see rule 47. Service and filing of papers, see rule 49. ------DocID 25137 Document 1379 of 1438------ -CITE- 18 USC Rule 46 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 46. Release From Custody -STATUTE- (a) Release Prior to Trial. Eligibility for release prior to trial shall be in accordance with 18 U.S.C. Sec. 3142 and 3144. (b) Release During Trial. A person released before trial shall continue on release during trial under the same terms and conditions as were previously imposed unless the court determines that other terms and conditions or termination of release are necessary to assure such person's presence during the trial or to assure that such person's conduct will not obstruct the orderly and expeditious progress of the trial. (c) Pending Sentence and Notice of Appeal. Eligibility for release pending sentence or pending notice of appeal or expiration of the time allowed for filing notice of appeal, shall be in accordance with 18 U.S.C. Sec. 3143. The burden of establishing that the defendant will not flee or pose a danger to any other person or to the community rests with the defendant. (d) Justification of Sureties. Every surety, except a corporate surety which is approved as provided by law, shall justify by affidavit and may be required to describe in the affidavit the property by which the surety proposes to justify and the encumbrances thereon, the number and amount of other bonds and undertakings for bail entered into by the surety and remaining undischarged and all the other liabilities of the surety. No bond shall be approved unless the surety thereon appears to be qualified. (e) Forfeiture. (1) Declaration. If there is a breach of condition of a bond, the district court shall declare a forfeiture of the bail. (2) Setting aside. The court may direct that a forfeiture be set aside in whole or in part, upon such conditions as the court may impose, if a person released upon execution of an appearance bond with a surety is subsequently surrendered by the surety into custody or if it otherwise appears that justice does not require the forfeiture. (3) Enforcement. When a forfeiture has not been set aside, the court shall on motion enter a judgment of default and execution may issue thereon. By entering into a bond the obligors submit to the jurisdiction of the district court and irrevocably appoint the clerk of the court as their agent upon whom any papers affecting their liability may be served. Their liability may be enforced on motion without the necessity of an independent action. The motion and such notice of the motion as the court prescribes may be served on the clerk of the court, who shall forthwith mail copies to the obligors to their last known addresses. (4) Remission. After entry of such judgment, the court may remit it in whole or in part under the conditions applying to the setting aside of forfeiture in paragraph (2) of this subdivision. (f) Exoneration. When the condition of the bond has been satisfied or the forfeiture thereof has been set aside or remitted, the court shall exonerate the obligors and release any bail. A surety may be exonerated by a deposit of cash in the amount of the bond or by a timely surrender of the defendant into custody. (g) Supervision of Detention Pending Trial. The court shall exercise supervision over the detention of defendants and witnesses within the district pending trial for the purpose of eliminating all unnecessary detention. The attorney for the government shall make a biweekly report to the court listing each defendant and witness who has been held in custody pending indictment, arraignment or trial for a period in excess of ten days. As to each witness so listed the attorney for the government shall make a statement of the reasons why such witness should not be released with or without the taking of a deposition pursuant to Rule 15(a). As to each defendant so listed the attorney for the government shall make a statement of the reasons why the defendant is still held in custody. (h) Forfeiture of Property. Nothing in this rule or in chapter 207 of title 18, United States Code, shall prevent the court from disposing of any charge by entering an order directing forfeiture of property pursuant to 18 U.S.C. 3142(c)(2)(K) if the value of the property is an amount that would be an appropriate sentence after conviction of the offense charged and if such forfeiture is authorized by statute or regulation. -SOURCE- (As amended Apr. 9, 1956, eff. July 8, 1956; Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 209(d), 98 Stat. 1987; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a)(1). This rule is substantially a restatement of existing law, 18 U.S.C. 596, 597 (now 3141). Note to Subdivision (a)(2). This rule is substantially a restatement of Rule 6 of Criminal Appeals Rules, with the addition of a reference to bail pending certiorari. This rule does not supersede 18 U.S.C. 682 (now 3731) (Appeals; on behalf of the United States; rules of practice and procedure), which provides for the admission of the defendant to bail on his own recognizance pending an appeal taken by the Government. Note to Subdivision (b). This rule is substantially a restatement of existing law, 28 U.S.C. (former) 657. Note to Subdivision (d). This rule is a restatement of existing practice, and is based in part on 6 U.S.C. 15 (now 31 U.S.C. 9103) (Bonds or notes of United States in lieu of recognizance, stipulation, bond, guaranty, or undertaking; place of deposit; return to depositor; contractors' bonds). Note to Subdivision (e). This rule is similar to Sec. 79 of A.L.I. Code of Criminal Procedure introducing, however, an element of flexibility. Corporate sureties are regulated by 6 U.S.C. 6-14 (now 31 U.S.C. 9304-9308). Note to Subdivision (f). 1. With the exception hereafter noted, this rule is substantially a restatement of existing law in somewhat greater detail than contained in 18 U.S.C. (former) 601 (Remission of penalty of recognizance). 2. Subdivision (f)(2) changes existing law in that it increases the discretion of the court to set aside a forfeiture. The present power of the court is limited to cases in which the defendant's default had not been willful. 3. The second sentence of paragraph (3) is similar to Rule 73(f) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). This paragraph also substitutes simple motion procedure for enforcing forfeited bail bonds for the procedure by scire facias, which was abolished by Rule 81(b) of the Federal Rules of Civil Procedure. Note to Subdivision (g). This rule is a restatement of existing law and practice. It is based in part on 18 U.S.C. 599 (now 3142) (Surrender by bail). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (c). - The more inclusive word 'terms' is substituted for 'amount' in view of the amendment to subdivision (d) authorizing releases without security on such conditions as are necessary to insure the appearance of the defendant. The phrase added at the end of this subdivision is designed to encourage commissioners and judges to set the terms of bail so as to eliminate unnecessary detention. See Stack v. Boyle, 342 U.S. 1 (1951); Bandy v. United States, 81 S.Ct. 197 (1960); Bandy v. United States, 82 S.Ct. 11 (1961); Carbo v. United States, 82 S.Ct. 662 (1962); review den. 369 U.S. 868 (1962). Subdivision (d). - The amendments are designed to make possible (and to encourage) the release on bail of a greater percentage of indigent defendants than now are released. To the extent that other considerations make it reasonably likely that the defendant will appear it is both good practice and good economics to release him on bail even though he cannot arrange for cash or bonds in even small amounts. In fact it has been suggested that it may be a denial of constitutional rights to hold indigent prisoners in custody for no other reason than their inability to raise the money for a bond. Bandy v. United States, 81 S.Ct. 197 (1960). The first change authorizes the acceptance as security of a deposit of cash or government securities in an amount less than the face amount of the bond. Since a defendant typically purchases a bail bond for a cash payment of a certain percentage of the face of the bond, a direct deposit with the court of that amount (returnable to the defendant upon his appearance) will often be equally adequate as a deterrent to flight. Cf. Ill.CodeCrim.Proc. Sec. 110-7 (1963). The second change authorizes the release of the defendant without financial security on his written agreement to appear when other deterrents appear reasonably adequate. See the discussion of such deterrents in Bandy v. United States, 81 S.Ct. 197 (1960). It also permits the imposition of nonfinancial conditions as the price of dispensing with security for the bond. Such conditions are commonly used in England. Devin, The Criminal Prosecution in England, 89 (1958). See the suggestion in Note, Bail: An Ancient Practice Reexamined, 70 Yale L.J. 966, 975 (1961) that such conditions '* * * might include release in custody of a third party, such as the accused's employer, minister, attorney, or a private organization; release subject to a duty to report periodically to the court or other public official; or even release subject to a duty to return to jail each night.' Willful failure to appear after forfeiture of bail is a separate criminal offense and hence an added deterrent to flight. 18 U.S.C. Sec. 3146. For full discussion and general approval of the changes made here see Report of the Attorney General's Committee on Poverty and the Administration of Criminal Justice 58-89 (1963). Subdivision (h). - The purpose of this new subdivision is to place upon the court in each district the responsibility for supervising the detention of defendants and witnesses and for eliminating all unnecessary detention. The device of the report by the attorney for the government is used because in many districts defendants will be held in custody in places where the court sits only at infrequent intervals and hence they cannot be brought personally before the court without substantial delay. The magnitude of the problem is suggested by the facts that during the fiscal year ending June 30, 1960, there were 23,811 instances in which persons were held in custody pending trial and that the average length of detention prior to disposition (i.e., dismissal, acquittal, probation, sentence to imprisonment, or any other method of removing the case from the court docket) was 25.3 days. Federal Prisons 1960, table 22, p. 60. Since 27,645 of the 38,855 defendants whose cases were terminated during the fiscal year ending June 30, 1960, pleaded guilty (United States Attorneys Statistical Report, October 1960, p. 1 and table 2), it would appear that the greater part of the detention reported occurs prior to the initial appearance of the defendant before the court. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT The amendments are intended primarily to bring rule 46 into general conformity with the Bail Reform Act of 1966 and to deal in the rule with some issues not now included within the rule. Subdivision (a) makes explicit that the Bail Reform Act of 1966 controls release on bail prior to trial. 18 U.S.C. Sec. 3146 refers to release of a defendant. 18 U.S.C. Sec. 3149 refers to release of a material witness. Subdivision (b) deals with an issue not dealt with by the Bail Reform Act of 1966 or explicitly in former rule 46, that is, the issue of bail during trial. The rule gives the trial judge discretion to continue the prior conditions of release or to impose such additional conditions as are adequate to insure presence at trial or to insure that his conduct will not obstruct the orderly and expeditious progress of the trial. Subdivision (c) provides for release during the period between a conviction and sentencing and for the giving of a notice of appeal or of the expiration of the time allowed for filing notice of appeal. There are situations in which defense counsel may informally indicate an intention to appeal but not actually give notice of appeal for several days. To deal with this situation the rule makes clear that the district court has authority to release under the terms of 18 U.S.C. Sec. 3148 pending notice of appeal (e.g., during the ten days after entry of judgment; see rule 4(b) of the Rules of Appellate Procedure). After the filing of notice of appeal, release by the district court shall be in accordance with the provisions of rule 9(b) of the Rules of Appellate Procedure. The burden of establishing that grounds for release exist is placed upon the defendant in the view that the fact of conviction justifies retention in custody in situations where doubt exists as to whether a defendant can be safely released pending either sentence or the giving of notice of appeal. Subdivisions (d), (e), (f), and (g) remain unchanged. They were formerly lettered (e), (f), (g), and (h). NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. 1984 AMENDMENT Subd. (a). Pub. L. 98-473, Sec. 209(d)(1), substituted 'Sec. 3142 and 3144' for 'Sec. 3146, Sec. 3148, or Sec. 3149'. Subd. (c). Pub. L. 98-473, Sec. 209(d)(2), substituted '3143' for '3148'. Subd. (e)(2). Pub. L. 98-473, Sec. 209(d)(3), substituted 'be set aside in whole or in part upon such conditions as the court may impose, if a person released upon execution of an appearance bond with a surety is subsequently surrendered by the surety into custody or if it otherwise appears that justice does not require the forfeiture' for 'set aside, upon such conditions as the court may impose, if it appears that justice does not require the enforcement of the forfeiture'. Subd. (h). Pub. L. 98-473, Sec. 209(d)(4), added subd. (h). EFFECTIVE DATE OF 1956 AMENDMENT Amendment by Order of April 9, 1956, became effective 90 days thereafter. -CROSS- CROSS REFERENCES Appeal, stay of sentence of imprisonment, see rule 38. Continuation of bail after granting motion to dismiss for defects in institution of prosecution or in indictment or information, pending filing of new indictment or information, see rule 12. Grand jury, secrecy of indictment until bail is given, see rule 6. Obstructing justice by false bail, see section 1506 of this title. Surety bonds - Government obligations instead of surety bonds, see section 9303 of Title 31, Money and Finance. Surety corporations as sureties, see sections 9304 to 9308 of Title 31. Transfer of proceedings from district or division for trial, transmission of bail, see rule 21. Witnesses - Appearance in criminal case, return to clerk of court, see section 3041 of this title. Direction for taking deposition when committed for failure to give bail to appear to testify at trial or hearing, see rule 15. ------DocID 25138 Document 1380 of 1438------ -CITE- 18 USC Rule 47 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 47. Motions -STATUTE- An application to the court for an order shall be by motion. A motion other than one made during a trial or hearing shall be in writing unless the court permits it to be made orally. It shall state the grounds upon which it is made and shall set forth the relief or order sought. It may be supported by affidavit. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. This rule is substantially the same as the corresponding civil rule (first sentence of Rule 7(b)(1), Federal Rules of Civil Procedure) (28 U.S.C., Appendix), except that it authorizes the court to permit motions to be made orally and does not require that the grounds upon which a motion is made shall be stated 'with particularity,' as is the case with the civil rule. 2. This rule is intended to state general requirements for all motions. For particular provisions applying to specific motions, see Rules 6(b)(2), 12, 14, 15, 16, 17(b) and (c), 21, 22, 29 and Rule 41(e). See also Rule 49. 3. The last sentence providing that a motion may be supported by affidavit is not intended to permit 'speaking motions' (e.g. motion to dismiss an indictment for insufficiency supported by affidavits), but to authorize the use of affidavits when affidavits are appropriate to establish a fact (e.g. authority to take a deposition or former jeopardy). -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Affidavits on motions, see rules 6 and 43, Title 28, Appendix, Judiciary and Judicial Procedure. Motion day, see rule 78. Notice of motion, see rules 6 and 7. CROSS REFERENCES Motion for order - Arrest of judgment, see rule 34. Consolidation of indictments and informations, see rule 13. Correct or reduce sentence, see rule 35. Dismiss, see rules 6, 12, and 48. Enforcement of surety liability, see rule 46. Enlargement of time, see rule 45. Inspect and copy seized evidence, see rule 16. New trial, see rule 33. Notice of hearing, see rule 45. Quash or modify subpoena, see rule 17. Return of property and suppress evidence, see rule 41. Separate trial, see rule 14. Severance, see rule 14. Transfer of proceedings from district or division for trial, see rule 21. Time for - Making motion raising defenses and objections before trial, see rule 12. Motion to transfer proceedings, see rule 22. ------DocID 25139 Document 1381 of 1438------ -CITE- 18 USC Rule 48 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 48. Dismissal -STATUTE- (a) By Attorney for Government. The Attorney General or the United States attorney may by leave of court file a dismissal of an indictment, information or complaint and the prosecution shall thereupon terminate. Such a dismissal may not be filed during the trial without the consent of the defendant. (b) By Court. If there is unnecessary delay in presenting the charge to a grand jury or in filing an information against a defendant who has been held to answer to the district court, or if there is unnecessary delay in bringing a defendant to trial, the court may dismiss the indictment, information or complaint. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. The first sentence of this rule will change existing law. The common-law rule that the public prosecutor may enter a nolle prosequi in his discretion, without any action by the court, prevails in the Federal courts, Confiscation Cases, 7 Wall. 454, 457; United States v. Woody, 2 F.2d 262 (D.Mont.). This provision will permit the filing of a nolle prosequi only by leave of court. This is similar to the rule now prevailing in many States. A.L.I. Code of Criminal Procedure, Commentaries, pp. 895-897. 2. The rule confers the power to file a dismissal by leave of court on the Attorney General, as well as on the United States attorney, since under existing law the Attorney General exercises 'general superintendence and direction' over the United States attorneys 'as to the manner of discharging their respective duties,' 5 U.S.C. 317 (now 28 U.S.C. 509, 547). Moreover it is the administrative practice for the Attorney General to supervise the filing of a nolle prosequi by United States attorneys. Consequently it seemed appropriate that the Attorney General should have such power directly. 3. The rule permits the filing of a dismissal of an indictment, information or complaint. The word 'complaint' was included in order to resolve a doubt prevailing in some districts as to whether the United States attorney may file a nolle prosequi between the time when the defendant is bound over by the United States commissioner and the finding of an indictment. It has been assumed in a few districts that the power does not exist and that the United States attorney must await action of the grand jury, even if he deems it proper to dismiss the prosecution. This situation is an unnecessary hardship to some defendants. 4. The second sentence is a restatement of existing law, Confiscation Cases, 7 Wall. 454-457; United States v. Shoemaker, 27 Fed. Cases No. 16, 279 (C.C.Ill.). If the trial has commenced, the defendant has a right to insist on a disposition on the merits and may properly object to the entry of a nolle prosequi. Note to Subdivision (b). This rule is a restatement of the inherent power of the court to dismiss a case for want of prosecution. Ex parte Altman, 34 F.Supp. 106 (S.D.Cal.). -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Dismissal for failure to prosecute by the plaintiff, see rule 41, Title 28, Appendix, Judiciary and Judicial Procedure. ------DocID 25140 Document 1382 of 1438------ -CITE- 18 USC Rule 49 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 49. Service and Filing of Papers -STATUTE- (a) Service: When Required. Written motions other than those which are heard ex parte, written notices, designations of record on appeal and similar papers shall be served upon each of the parties. (b) Service: How Made. Whenever under these rules or by an order of the court service is required or permitted to be made upon a party represented by an attorney, the service shall be made upon the attorney unless service upon the party personally is ordered by the court. Service upon the attorney or upon a party shall be made in the manner provided in civil actions. (c) Notice of Orders. Immediately upon the entry of an order made on a written motion subsequent to arraignment the clerk shall mail to each party a notice thereof and shall make a note in the docket of the mailing. Lack of notice of the entry by the clerk does not affect the time to appeal or relieve or authorize the court to relieve a party for failure to appeal within the time allowed, except as permitted by Rule 4(b) of the Federal Rules of Appellate Procedure. (d) Filing. Papers required to be served shall be filed with the court. Papers shall be filed in the manner provided in civil actions. (e) Filing of Dangerous Offender Notice. A filing with the court pursuant to 18 U.S.C. Sec. 3575(a) or 21 U.S.C. Sec. 849(a) shall be made by filing the notice with the clerk of the court. The clerk shall transmit the notice to the chief judge or, if the chief judge is the presiding judge in the case, to another judge or United States magistrate in the district, except that in a district having a single judge and no United States magistrate, the clerk shall transmit the notice to the court only after the time for disclosure specified in the aforementioned statutes and shall seal the notice as permitted by local rule. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 1968; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is substantially the same as Rule 5(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix) with such adaptations as are necessary for criminal cases. Note to Subdivision (b). The first sentence of this rule is in substance the same as the first sentence of Rule 5(b) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). The second sentence incorporates by reference the second and third sentences of Rule 5(b) of the Federal Rules of Civil Procedure. Note to Subdivision (c). This rule is an adaptation for criminal proceedings of Rule 77(d) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). No consequence attaches to the failure of the clerk to give the prescribed notice, but in a case in which the losing party in reliance on the clerk's obligation to send a notice failed to file a timely notice of appeal, it was held competent for the trial judge, in the exercise of sound discretion, to vacate the judgment because of clerk's failure to give notice and to enter a new judgment, the term of court not having expired. Hill v. Hawes, 320 U.S. 520. Note to Subdivision (d). This rule incorporates by reference Rule 5(d) and (e) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a). - The words 'adverse parties' in the original rule introduced a question of interpretation. When, for example, is a co-defendant an adverse party? The amendment requires service on each of the parties thus avoiding the problem of interpretation and promoting full exchange of information among the parties. No restriction is intended, however, upon agreements among co-defendants or between the defendants and the government restricting exchange of papers in the interest of eliminating unnecessary expense. Cf. the amendment made effective July 1, 1963, to Civil Rule 5(a). Subdivision (c). - The words 'affected thereby' are deleted in order to require notice to all parties. Cf. the similar change made effective July 1, 1963, to Civil Rule 77(d). The sentence added at the end of the subdivision eliminates the possibility of extension of the time to appeal beyond the provision for a 30 day extension on a showing or 'excusable neglect' provided in Rule 37(a)(2). Cf. the similar change made in Civil Rule 77(d) effective in 1948. The question has arisen in a number of cases whether failure or delay in giving notice on the part of the clerk results in an extension of the time for appeal. The 'general rule' has been said to be that in the event of such failure or delay 'the time for taking an appeal runs from the date of later actual notice or receipt of the clerk's notice rather than from the date of entry of the order.' Lohman v. United States, 237 F.2d 645, 646 (6th Cir. 1956). See also Rosenbloom v. United States, 355 U.S. 80 (1957) (permitting an extension). In two cases it has been held that no extension results from the failure to give notice of entry of judgments (as opposed to orders) since such notice is not required by Rule 49(d). Wilkinson v. United States, 278 F.2d 604 (10th Cir. 1960), cert. den. 363 U.S. 829; Hyche v. United States, 278 F.2d 915 (5th Cir. 1960), cert. den. 364 U.S. 881. The excusable neglect extension provision in Rule 37(a)(2) will cover most cases where failure of the clerk to give notice of judgments or orders has misled the defendant. No need appears for an indefinite extension without time limit beyond the 30 day period. NOTES OF ADVISORY COMMITTEE ON RULES - 1968 AMENDMENT The amendment corrects the reference to Rule 37(a)(2), the pertinent provisions of which are contained in Rule 4(b) of the Federal Rules of Appellate Procedure. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT 18 U.S.C. Sec. 3575(a) and 21 U.S.C. Sec. 849(a), dealing respectively with dangerous special offender sentencing and dangerous special drug offender sentencing, provide for the prosecutor to file notice of such status 'with the court' and for the court to 'order the notice sealed' under specified circumstances, but also declare that disclosure of this notice shall not be made 'to the presiding judge without the consent of the parties' before verdict or plea of guilty or nolo contendere. It has been noted that these provisions are 'regrettably unclear as to where, in fact, such notice is to be filed' and that possibly filing with the chief judge is contemplated. United States v. Tramunti, 377 F.Supp. 6 (S.D.N.Y. 1974). But such practice has been a matter of dispute when the chief judge would otherwise have been the presiding judge in the case, United States v. Gaylor, No. 80-5016 (4th Cir. 1981), and 'it does not solve the problem in those districts where there is only one federal district judge appointed,' United States v. Tramunti, supra. The first sentence of subdivision (e) clarifies that the filing of such notice with the court is to be accomplished by filing with the clerk of the court, which is generally the procedure for filing with the court; see subdivision (d) of this rule. Except in a district having a single judge and no United States magistrate, the clerk will then, as provided in the second sentence, transmit the notice to the chief judge or to some other judge or a United States magistrate if the chief judge is scheduled to be the presiding judge in the case, so that the determination regarding sealing of the notice may be made without the disclosure prohibited by the aforementioned statutes. But in a district having a single judge and no United States magistrate this prohibition means the clerk may not disclose the notice to the court at all until the time specified by statute. The last sentence of subdivision (e) contemplates that in such instances the clerk will seal the notice if the case falls within the local rule describing when 'a public record may prejudice fair consideration of a pending criminal matter,' the determination called for by the aforementioned statutes. The local rule might provide, for example, that the notice is to be sealed upon motion by any party. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Appellate Procedure, referred to in subd. (c), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Notice of entry of judgments or orders, see rule 77, Title 28, Appendix, Judiciary and Judicial Procedure. Service and filing of papers, see rule 5. CROSS REFERENCES Affidavits used on motions, see rule 47. Application for order by motion, see rule 47. Enlargement of time for taking appeal not permitted, see rule 45. Service of notice of motion and affidavits, see rule 45. ------DocID 25141 Document 1383 of 1438------ -CITE- 18 USC Rule 50 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 50. Calendars; Plans for Prompt Disposition -STATUTE- (a) Calendars. The district courts may provide for placing criminal proceedings upon appropriate calendars. Preference shall be given to criminal proceedings as far as practicable. (b) Plans for Achieving Prompt Disposition of Criminal Cases. To minimize undue delay and to further the prompt disposition of criminal cases, each district court shall conduct a continuing study of the administration of criminal justice in the district court and before United States magistrates of the district and shall prepare plans for the prompt disposition of criminal cases in accordance with the provisions of Chapter 208 of Title 18, United States Code. -SOURCE- (As amended Apr. 24, 1972, eff. Oct. 1, 1972; Mar. 18, 1974, eff. July 1, 1974; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is a restatement of the inherent residual power of the court over its own calendars, although as a matter of practice in most districts the assignment of criminal cases for trial is handled by the United States attorney. Cf. Federal Rules of Civil Procedure, Rules 40 and 78 (28 U.S.C., Appendix). The direction that preference shall be given to criminal proceedings as far as practicable is generally recognized as desirable in the orderly administration of justice. NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT The addition to the rule proposed by subdivision (b) is designed to achieve the more prompt disposition of criminal cases. Preventing undue delay in the administration of criminal justice has become an object of increasing interest and concern. This is reflected in the Congress. See, e.g., 116 Cong.Rec. S7291-97 (daily ed. May 18, 1970) (remarks of Senator Ervin). Bills have been introduced fixing specific time limits. See S. 3936, H.R. 14822, H.R. 15888, 91st Cong., 2d Sess. (1970). Proposals for dealing with the problem of delay have also been made by the President's Commission on Law Enforcement and Administration of Justice, Task Force Report: The Courts (1967) especially pp. 84-90, and by the American Bar Association Project on Standards for Criminal Justice, Standards Relating to Speedy Trial (Approved Draft, 1968). Both recommend specific time limits for each stage in the criminal process as the most effective way of achieving prompt disposition of criminal cases. See also Note, Nevada's 1967 Criminal Procedure Law from Arrest to Trial: One State's Response to a Widely Recognized Need, 1969 Utah L.Rev. 520, 542 no. 114. Historically, the right to a speedy trial has been thought of as a protection for the defendant. Delay can cause a hardship to a defendant who is in custody awaiting trial. Even if afforded the opportunity for pretrial release, a defendant nonetheless is likely to suffer anxiety during a period of unwanted delay, and he runs the risk that his memory and those of his witnesses may suffer as time goes on. Delay can also adversely affect the prosecution. Witnesses may lose interest or disappear or their memories may fade thus making them more vulnerable to cross-examination. See Note, The Right to a Speedy Criminal Trial, 57 Colum.L.Rev. 846 (1957). There is also a larger public interest in the prompt disposition of criminal cases which may transcend the interest of the particular prosecutor, defense counsel, and defendant. Thus there is need to try to expedite criminal cases even when both prosecution and defense may be willing to agree to a continuance or continuances. It has long been said that it is the certain and prompt imposition of a criminal sanction rather than its severity that has a significant deterring effect upon potential criminal conduct. See Banfield and Anderson, Continuances in the Cook County Criminal Courts, 35 U.Chi.L.Rev. 259, 259-63 (1968). Providing specific time limits for each stage of the criminal justice system is made difficult, particularly in federal courts, by the widely varying conditions which exist between the very busy urban districts on the one hand and the far less busy rural districts on the other hand. In the former, account must be taken of the extremely heavy caseload, and the prescription of relatively short time limits is realistic only if there is provided additional prosecutorial and judicial manpower. In some rural districts, the availability of a grand jury only twice a year makes unrealistic the provision of short time limits within which an indictment must be returned. This is not to say that prompt disposition of criminal cases cannot be achieved. It means only that the achieving of prompt disposition may require solutions which vary from district to district. Finding the best methods will require innovation and experimentation. To encourage this, the proposed draft mandates each district court to prepare a plan to achieve the prompt disposition of criminal cases in the district. The method prescribed for the development and approval of the district plans is comparable to that prescribed in the Jury Selection and Service Act of 1968, 28 U.S.C. Sec. 1863(a). Each plan shall include rules which specify time limits and a means for reporting the status of criminal cases. The appropriate length of the time limits is left to the discretion of the individual district courts. This permits each district court to establish time limits that are appropriate in light of its criminal caseload, frequency of grand jury meetings, and any other factors which affect the progress of criminal actions. Where local conditions exist which contribute to delay, it is contemplated that appropriate efforts will be made to eliminate those conditions. For example, experience in some rural districts demonstrates that grand juries can be kept on call thus eliminating the grand jury as a cause for prolonged delay. Where manpower shortage is a major cause for delay, adequate solutions will require congressional action. But the development and analysis of the district plans should disclose where manpower shortages exist; how large the shortages are; and what is needed, in the way of additional manpower, to achieve the prompt disposition of criminal cases. The district court plans must contain special provision for prompt disposition of cases in which there is reason to believe that the pretrial liberty of a defendant poses danger to himself, to any other person, or to the community. Prompt disposition of criminal cases may provide an alternative to the pretrial detention of potentially dangerous defendants. See 116 Cong.Rec. S7291-97 (daily ed. May 18, 1970) (remarks of Senator Ervin). Prompt disposition of criminal cases in which the defendant is held in pretrial detention would ensure that the deprivation of liberty prior to conviction would be minimized. Approval of the original plan and any subsequent modification must be obtained from a reviewing panel made up of one judge from the district submitting the plan (either the chief judge or another active judge appointed by him) and the members of the judicial council of the circuit. The makeup of this reviewing panel is the same as that provided by the Jury Selection and Service Act of 1968, 28 U.S.C. Sec. 1863(a). This reviewing panel is also empowered to direct the modification of a district court plan. The Circuit Court of Appeals for the Second Circuit recently adopted a set of rules for the prompt disposition of criminal cases. See 8 Cr.L. 2251 (Jan. 13, 1971). These rules, effective July 5, 1971, provide time limits for the early trial of high risk defendants, for court control over the granting of continuances, for criteria to control continuance practice, and for sanction against the prosecution or defense in the event of noncompliance with prescribed time limits. NOTES OF ADVISORY COMMITTEE ON RULES - 1974 AMENDMENT The amendment designates the first paragraph of Rule 50 as subdivision (a) entitled 'Calendars,' in view of the recent addition of subdivision (b) to the rule. NOTES OF ADVISORY COMMITTEE ON RULES - 1976 AMENDMENT This amendment to rule 50(b) takes account of the enactment of The Speedy Trial Act of 1974, 18 U.S.C. Sec. 3152-3156, 3161-3174. As the various provisions of the Act take effect, see 18 U.S.C. Sec. 3163, they and the district plans adopted pursuant thereto will supplant the plans heretofore adopted under rule 50(b). The first such plan must be prepared and submitted by each district court before July 1, 1976. 18 U.S.C. Sec. 3165(e)(1). That part of rule 50(b) which sets out the necessary contents of district plans has been deleted, as the somewhat different contents of the plans required by the Act are enumerated in 18 U.S.C. Sec. 3166. That part of rule 50(b) which describes the manner in which district plans are to be submitted, reviewed, modified and reported upon has also been deleted, for these provisions now appear in 18 U.S.C. Sec. 3165(c) and (d). -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1976 AMENDMENT Amendment of subd. (b) by the order of the United States Supreme Court of Apr. 26, 1976, effective Aug. 1, 1976, see section 1 of Pub. L. 94-349, July 8, 1976, 90 Stat. 822, set out as a note under section 3771 of this title. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Court calendars for jury and non-jury actions, see rule 79, Title 28, Appendix, Judiciary and Judicial Procedure. Trial calendar, see rule 40. ------DocID 25142 Document 1384 of 1438------ -CITE- 18 USC Rule 51 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 51. Exceptions Unnecessary -STATUTE- Exceptions to rulings or orders of the court are unnecessary and for all purposes for which an exception has heretofore been necessary it is sufficient that a party, at the time the ruling or order of the court is made or sought, makes known to the court the action which that party desires the court to take or that party's objection to the action of the court and the grounds therefor; but if a party has no opportunity to object to a ruling or order, the absence of an objection does not thereafter prejudice that party. -SOURCE- (As amended Mar. 9, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. This rule is practically identical with Rule 46 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). It relates to a matter of trial practice which should be the same in civil and criminal cases in the interest of avoiding confusion. The corresponding civil rule has been construed in Ulm v. Moore-McCormack Lines, Inc., 115 F.2d 492 (C.C.A. 2d), and Bucy v. Nevada Construction Company, 125 F.2d 213, 218 (C.C.A. 9th). See, also, Orfield, 22 Texas L.R. 194, 221. As to the method of taking objections to instructions to the jury, see Rule 30. 2. Many States have abolished the use of exceptions in criminal and civil cases. See, e.g., Cal.Pen. Code (Deering, 1941), sec. 1259; Mich.Stat.Ann. (Henderson, 1938), secs. 28.1046, 28.1053; Ohio Gen Code Ann. (Page, 1938), secs. 11560, 13442-7; Oreg.Comp. Laws Ann. (1940), secs. 5-704, 26-1001. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Exceptions unnecessary, see rule 46, Title 28, Appendix, Judiciary and Judicial Procedure. Objections to instructions to jury, see rule 51. CROSS REFERENCES Notice of plain errors or defects affecting substantial right by appellate courts, see rule 52. Objections to instructions to jury, see rule 30. ------DocID 25143 Document 1385 of 1438------ -CITE- 18 USC Rule 52 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 52. Harmless Error and Plain Error -STATUTE- (a) Harmless Error. Any error, defect, irregularity or variance which does not affect substantial rights shall be disregarded. (b) Plain Error. Plain errors or defects affecting substantial rights may be noticed although they were not brought to the attention of the court. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is a restatement of existing law, 28 U.S.C. (former) 391 (second sentence): 'On the hearing of any appeal, certiorari, writ of error, or motion for a new trial, in any case, civil or criminal, the court shall give judgment after an examination of the entire record before the court, without regard to technical errors, defects, or exceptions which do not affect the substantial rights of the parties'; 18 U.S.C. (former) 556; 'No indictment found and presented by a grand jury in any district or other court of the United States shall be deemed insufficient, nor shall the trial, judgment, or other proceeding thereon be affected by reason of any defect or imperfection in matter of form only, which shall not tend to the prejudice of the defendant, * * *.' A similar provision is found in Rule 61 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (b). This rule is a restatement of existing law, Wiborg v. United States, 163 U.S. 632, 658; Hemphill v. United States, 112 F.2d 505 (C.C.A. 9th), reversed 312 U.S. 657. Rule 27 of the Rules of the Supreme Court (28 U.S.C., Appendix) provides that errors not specified will be disregarded, 'save as the court, at its option, may notice a plain error not assigned or specified.' Similar provisions are found in the rules of several circuit courts of appeals. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Harmless error, civil proceedings, see rule 61, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Harmless error, appellate courts, see section 2111 of Title 28, Judiciary and Judicial Procedure. ------DocID 25144 Document 1386 of 1438------ -CITE- 18 USC Rule 53 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 53. Regulation of Conduct in the Court Room -STATUTE- The taking of photographs in the court room during the progress of judicial proceedings or radio broadcasting of judicial proceedings from the court room shall not be permitted by the court. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES While the matter to which the rule refers has not been a problem in the Federal courts as it has been in some State tribunals, the rule was nevertheless included with a view to giving expression to a standard which should govern the conduct of judicial proceedings, Orfield, 22 Texas L.R. 194, 222-3; Robbins, 21 A.B.A.Jour. 301, 304. See, also, Report of the Special Committee on Cooperation between Press, Radio and Bar, as to Publicity Interfering with Fair Trial of Judicial and Quasi-Judicial Proceedings (1937), 62 A.B.A.Rep. 851, 862-865; (1932) 18 A.B.A.Jour. 762; (1926) 12 Id. 488; (1925) 11 Id. 64. -CROSS- CROSS REFERENCES Power of court to punish for contempt, see section 401 of this title. ------DocID 25145 Document 1387 of 1438------ -CITE- 18 USC Rule 54 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 54. Application and Exception -STATUTE- (a) Courts. These rules apply to all criminal proceedings in the United States District Courts; in the District Court of Guam; in the District Court for the Northern Mariana Islands, except as otherwise provided in articles IV and V of the covenant provided by the Act of March 24, 1976 (90 Stat. 263); in the District Court of the Virgin Islands; and (except as otherwise provided in the Canal Zone Code) in the United States District Court for the District of the Canal Zone; in the United States Courts of Appeals; and in the Supreme Court of the United States; except that all offenses shall continue to be prosecuted in the District Court of Guam and in the District Court of the Virgin Islands by information as heretofore except such as may be required by local law to be prosecuted by indictment by grand jury. (b) Proceedings. (1) Removed Proceedings. These rules apply to criminal prosecutions removed to the United States district courts from state courts and govern all procedure after removal, except that dismissal by the attorney for the prosecution shall be governed by state law. (2) Offenses Outside a District or State. These rules apply to proceedings for offenses committed upon the high seas or elsewhere out of the jurisdiction of any particular state or district, except that such proceedings may be had in any district authorized by 18 U.S.C. Sec. 3238. (3) Peace Bonds. These rules do not alter the power of judges of the United States or of United States magistrates to hold to security of the peace and for good behavior under Revised Statutes, Sec. 4069, 50 U.S.C. Sec. 23, but in such cases the procedure shall conform to these rules so far as they are applicable. (4) Proceedings Before United States Magistrates. Proceedings involving misdemeanors and other petty offenses are governed by Rule 58. (5) Other Proceedings. These rules are not applicable to extradition and rendition of fugitives; civil forfeiture of property for violation of a statute of the United States; or the collection of fines and penalties. Except as provided in Rule 20(d) they do not apply to proceedings under 18 U.S.C., Chapter 403 - Juvenile Delinquency - so far as they are inconsistent with that chapter. They do not apply to summary trials for offenses against the navigation laws under Revised Statutes Sec. 4300-4305, 33 U.S.C. Sec. 391-396, or to proceedings involving disputes between seamen under Revised Statutes, Sec. 4079-4081, as amended, 22 U.S.C. Sec. 256-258, or to proceedings for fishery offenses under the Act of June 28, 1937, c. 392, 50 Stat. 325-327, 16 U.S.C. Sec. 772-772i, or to proceedings against a witness in a foreign country under 28 U.S.C. Sec. 1784. (c) Application of Terms. As used in these rules the following terms have the designated meanings. 'Act of Congress' includes any act of Congress locally applicable to and in force in the District of Columbia, in Puerto Rico, in a territory or in an insular possession. 'Attorney for the government' means the Attorney General, an authorized assistant of the Attorney General, a United States Attorney, an authorized assistant of a United States Attorney, when applicable to cases arising under the laws of Guam the Attorney General of Guam or such other person or persons as may be authorized by the laws of Guam to act therein, and when applicable to cases arising under the laws of the Northern Mariana Islands the Attorney General of the Northern Mariana Islands or any other person or persons as may be authorized by the laws of the Northern Marianas to act therein. 'Civil action' refers to a civil action in a district court. The words 'demurrer,' 'motion to quash,' 'plea in abatement,' 'plea in bar' and 'special plea in bar,' or words to the same effect, in any act of Congress shall be construed to mean the motion raising a defense or objection provided in Rule 12. 'District court' includes all district courts named in subdivision (a) of this rule. 'Federal magistrate' means a United States magistrate as defined in 28 U.S.C. Sec. 631-639, a judge of the United States or another judge or judicial officer specifically empowered by statute in force in any territory or possession, the Commonwealth of Puerto Rico, or the District of Columbia, to perform a function to which a particular rule relates. 'Judge of the United States' includes a judge of a district court, court of appeals, or the Supreme Court. 'Law' includes statutes and judicial decisions. 'Magistrate' includes a United States magistrate as defined in 28 U.S.C. Sec. 631-639, a judge of the United States, another judge or judicial officer specifically empowered by statute in force in any territory or possession, the Commonwealth of Puerto Rico, or the District of Columbia, to perform a function to which a particular rule relates, and a state or local judicial officer, authorized by 18 U.S.C. Sec. 3041 to perform the functions prescribed in Rules 3, 4, and 5. 'Oath' includes affirmations. 'Petty offense' is defined in 18 U.S.C. Sec. 19. 'State' includes District of Columbia, Puerto Rico, territory and insular possession. 'United States magistrate' means the officer authorized by 28 U.S.C. Sec. 631-639. -SOURCE- (As amended Dec. 27, 1948, eff. Oct. 20, 1949; Apr. 9, 1956, eff. July 8, 1956; Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 28, 1982, eff. Aug. 1, 1982; Oct. 12, 1984, Pub. L. 98-473, title II, Sec. 209(e), 215(e), 98 Stat. 1987, 2016; Nov. 18, 1988, Pub. L. 100-690, title VII, Sec. 7089(c), 102 Stat. 4409; May 1, 1990, eff. Dec. 1, 1990.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a)(1). 1. The Act of June 28, 1940 (54 Stat. 688; 18 U.S.C. 687 (see 3771)), authorizing the Supreme Court to prescribe rules of criminal procedure for the district courts of the United States in respect to proceedings prior to and including verdict or finding of guilty or not guilty or plea of guilty, is expressly applicable to the district courts of Alaska, Hawaii, Puerto Rico, Canal Zone, Virgin Islands, the Supreme Courts of Hawaii and Puerto Rico, and the United States Court for China. This is likewise true of the Act of February 24, 1933 (47 Stat. 904; 18 U.S.C. 688 (see 3772)), authorizing the Supreme Court to prescribe rules in respect to proceedings after verdict or finding or after plea of guilty. In this respect these two statutes differ from the Act of June 19, 1934 (48 Stat. 1064; 28 U.S.C. 723b, 723c (now 2072)), authorizing the Supreme Court to prescribe rules of civil procedure. The last-mentioned Act comprises only district courts of the United States and the courts of the District of Columbia. The phrase 'district courts of the United States' was held not to include district courts in the territories and insular possessions, Mookini v. United States, 303 U.S. 201. By subsequent legislation the Federal Rules of Civil Procedure were extended to the District Court of the United States for Hawaii and to appeals therefrom (Act of June 19, 1939; 53 Stat. 841; 48 U.S.C. 646) and to the District Court of the United States for Puerto Rico and to appeals therefrom (Act of February 12, 1940; 54 Stat. 22; 48 U.S.C. 873a). 2. While the specific reference in the rule to the District Court of the United States for the District of Columbia is probably superfluous, since that court has the same powers and exercises the same jurisdiction as other district courts of the United States in addition to such local powers and jurisdiction as have been conferred upon it by statute (D.C. Code, 1940, Title 11, Sec. 305), nevertheless it was listed in the rule in view of the fact that the Federal Rules of Civil Procedure (28 U.S.C., Appendix) contain a somewhat similar provision (Rule 81(d)). 3. The United States Court for China has been omitted from the rule in view of the fact that the court has recently been abolished with the abandonment by the United States of its extraterritorial jurisdiction in China. 4. Although, as indicated above, the rule-making power of the Supreme Court in respect to criminal cases extends to the Supreme Courts of Hawaii and Puerto Rico, the rules are not made applicable to those two courts, in view of the fact that they are purely local appellate courts having no appellate jurisdiction over the district courts of the United States in those territories. Alaska and Hawaii have dual systems of courts: local courts exercising purely local jurisdiction and United States district courts exercising Federal jurisdiction. The Supreme Court of each of the two territories hears appeals only from the local courts. 5. Alaska. - There is a district court for the Territory of Alaska consisting of four divisions, established on a territorial basis, 48 U.S.C. 101, 101a. As the only court in the Territory, it acts in a dual capacity: it has jurisdiction over cases arising under the laws of the United States as well as those arising under local laws. Although a legislative rather than a constitutional court, it is, nevertheless, deemed a court of the United States and has the jurisdiction of district courts of the United States, 48 U.S.C. 101, 101a; Steamer Coquitlam v. United States, 163 U.S. 346; McAllister v. United States, 141 U.S. 174, 179; Ex parte Krause, 228 F. 547, 549 (W.D.Wash.). Criminal procedure is now regulated by Acts of Congress, by the Alaska Code of Criminal Procedure (Alaska Comp. Laws, 1933, pp. 959-1018), and by rules promulgated by the district court. 6. Hawaii. - Hawaii has a dual system of courts. The United States District Court for the Territory of Hawaii, a legislative court, has the jurisdiction of district courts of the United States and proceeds therein 'in the same manner as a district court,' 48 U.S.C. 641, 642. In addition, there are circuit courts having jurisdiction over cases arising under local laws. Appeals from the circuit courts run to the Supreme Court of the Territory, 48 U.S.C. 631. These rules are made applicable to the district court, but not to the local courts. The Federal Rules of Civil Procedure have been made applicable to the district court and to appeals therefrom, 48 U.S.C. 646. 7. Puerto Rico. - Puerto Rico has a dual system of courts. The District Court of the United States for Puerto Rico, a legislative court, has jurisdiction of all cases cognizable in the district courts of the United States and proceeds 'In the same manner,' 48 U.S.C. 863. In addition, there are local courts for the trial of cases arising under local law, appeals therefrom running to the Supreme Court of the Territory. These rules are made applicable to the district court, but not to the local courts. The Federal Rules of Civil Procedure (28 U.S.C., Appendix) have been extended to the district court, 48 U.S.C. 873a. 8. Virgin Islands. - In the Virgin Islands there is a District Court of the Virgin Islands, a legislative court, consisting of two divisions and exercising both Federal and local jurisdiction, 48 U.S.C. 1405z, 1406. Heretofore the rules of practice and procedure have been prescribed 'by law or ordinance or by rules and regulations of the district judge not inconsistent with law or ordinance,' 48 U.S.C. 1405z. 9. Canal Zone. - In the Canal Zone there is a United States District Court for the District of the Canal Zone, a legislative court, exercising both Federal and local jurisdiction, 48 U.S.C. 1344, 1345. Criminal procedure is regulated by the Code of Criminal Procedure of the Canal Zone (Canal Zone Code, Title 6; 48 Stat. 1122), and by rules of practice and procedure prescribed by the district judge, 48 U.S.C. 1344. There are no grand juries in the district, all prosecutions being instituted by information. In the light of these circumstances and because of the peculiar status of the Canal Zone and its quasi-military nature, these rules have been made applicable to its district court, only with respect to proceedings after verdict or finding of guilty or plea of guilty. 10. By order dated March 31, 1941, effective July 1, 1941, the Supreme Court extended the rules of practice and procedure after plea of guilty, verdict or finding of guilty, in criminal cases, to the district courts of Alaska, Hawaii, Puerto Rico, Canal Zone, and Virgin Islands, and all subsequent proceedings in such cases in the United States circuit courts of appeals and in the Supreme Court of the United States, 312 U.S. 721. Note to Subdivision (a)(2). 1. Rules 3, 4, and 5, supra, relate to proceedings before United States commissioners. 2. Justices and judges of the United States, as well as United States commissioners, may issue warrants and conduct proceedings as committing magistrates, 18 U.S.C. 591 (now 3041) (Arrest and removal for trial); 9 Edmunds, Cyclopedia of Federal Procedure, 2d Ed., secs. 3800, 3819. 3. In the District of Columbia judges of the Municipal Court have authority to issue warrants and conduct proceedings as committing magistrates, D.C. Code, 1940, Title 11, secs. 602, 755. These proceedings are governed by these rules. The Municipal Court of the District of Columbia is also a local court for the trial of misdemeanors, but when so acting it is not a court of the United States. These rules, therefore, do not apply to such proceedings. 4. State and local judges and magistrates may issue warrants and act as committing magistrates in Federal cases, 18 U.S.C. 591 (now 3041). Only a very small proportion of cases are brought before them, however, and then ordinarily only in an emergency. Since these judicial officers may not be familiar with Federal procedure, these rules have not been made applicable to such proceedings. Note to Subdivision (b)(1). 1. Certain types of State criminal prosecutions, principally those in which defendant is an officer appointed under or acting by authority of a revenue law of the United States and is prosecuted on account of an act done under color of his office, are removable to a Federal court on defendant's motion, 28 U.S.C. 74 (now 1443, 1446, 1447) (Removal of suits from State courts; causes against persons denied civil rights); sec. 76 (now 1442, 1446, 1447) (Removal of suits from State courts; suits and prosecutions against revenue officers). In such cases the Federal court applies the substantive law of the State, but follows Federal procedure; State of Tennessee v. Davis, 100 U.S. 257; Carter v. Tennessee, 18 F.2d 850 (C.C.A. 6th); Miller v. Kentucky, 40 F.2d 820 (C.C.A. 6th). See also, State of Maryland v. Soper, 270 U.S. 9. The rule is, therefore, a restatement of existing law, except that it does not affect whatever power the State prosecutor may have as to dismissal. 2. The rule does not affect the mode of removing a case from a State to a Federal court and leaves undisturbed the statutes governing this matter, 28 U.S.C. 74-76 (now 1442, 1443, 1446, 1447). Note to Subdivision (b)(2). This rule should be read in conjunction with Rule 18, which provides that 'Except as otherwise permitted by statute or by these rules, the prosecution shall be held in a district in which the offense was committed * * *'. Note to Subdivision (b)(4). United States commissioners specially designated for that purpose by the court by which they are appointed have trial jurisdiction over petty offenses committed on Federal reservations if the defendant waives his right to be tried in the district court and consents to be tried before the commissioner. Act of October 9, 1940, 54 Stat. 1058, 18 U.S.C. 576 (now 3401). A petty offense is an offense the penalty for which does not exceed confinement in a common jail without hard labor for a period of six months or a fine of $500, or both, 18 U.S.C. 541 (see 1). Appeals from convictions by commissioners lie to the district court, 18 U.S.C. 576a (now 3402). These rules do not apply to trials before United States commissioners in such cases, since rules of procedure and practice in such matters were specially prescribed by the Supreme Court on January 6, 1941, 311 U.S. 733 et seq. The substantive law applicable in such cases with respect to offenses other than so-called Federal offenses is governed by 18 U.S.C. 468 (now 13) (Laws of States adopted for punishing wrongful acts; effect of repeal). In addition, National Park commissioners have limited trial jurisdiction with respect to offenses committed in National Parks. Trials before commissioners in such cases are not governed by these rules, although when a National Park commissioner conducts a proceeding as a committing magistrate, these rules are applicable. Among the statutes relating to jurisdiction of and proceedings before National Park commissioners are the following: U.S.C., Title 16: Section 10 (Arrests by employees of park service for violation of laws and regulations) Section 10a (Arrests by employees for violation of regulations made under Sec. 9a) Section 27 (Yellowstone National Park; commissioner; jurisdiction and powers) Section 66 (Yosemite and Sequoia National Parks; commissioners; appointment; jurisdiction) Section 70 (Same; arrests by commissioners for certain offenses; holding persons arrested for trial; bail) Section 101 (Mount Rainier National Park; commissioner; arrest; bail) Section 102 (Same; commissioner; direction of process of; arrests by other officers) Section 117b (Mesa Verde National Park; application of Colorado laws to offenses) Section 117f (Same; criminal offenses not covered by section 117c; jurisdiction of commissioner) Section 117g (Same; process to whom issued; arrests without process) Section 129 (Crater Lake National Park; commissioner; appointment; powers and duties) Section 130 (Same; commissioner; arrests by; bail) Section 131 (Same; commissioner; direction of process; arrest without process) Section 172 (Glacier National Park; commissioner; jurisdiction; powers and duties) Section 173 (Same; commissioner; arrest of offenders, confinement, and bail) Section 174 (Same; commissioner; process directed to marshal; arrest without process) Section 198b (Rocky Mountain National Park; punishment of offenses; Colorado laws when followed) Section 198e (Same; United States Commissioner; appointment; jurisdiction; issuing process; appeals; rules of procedure) Section 198f (Same; United States Commissioner; arrest of persons for offenses not covered by section 198c; bail) Section 198g (Same; United States Commissioner; process to whom directed; arrest without process) Section 204b (Lassen Volcanic National Park; application of California laws to offenses) Section 204e (Same; United States Commissioner; appointment; jurisdiction of offenses; appeals; rules of procedure) Section 204f (Same; criminal offenses not covered by section 204c; jurisdiction of commissioner) Section 204g (Same; process to whom issued; arrests without process) Section 376 (Hot Springs National Park; prosecutions for violations of law or rules and regulations) Section 377 (Same; prosecutions for other offenses) Section 378 (Same; process directed to marshal; arrests by others) Section 381 (Same; execution of sentence on conviction) Section 382 (Same; imprisonment for nonpayment of fines or costs) Section 395b (Hawaii National Park; application of Hawaiian laws to offenses) Section 395e (Same; United States Commissioner; appointment; jurisdiction of offenses; appeals; rules of procedure; acting commissioners) Section 395f (Same; criminal offenses not covered by section 395c; jurisdiction of commissioner) Section 395g (Same; process to whom issued; arrests without process) Section 403c-1 (Shenandoah National Park and Great Smoky Mountains National Park; notice of assumption of police jurisdiction over Shenandoah Park by United States; exceptions) Section 403c-5 (Same; United States Commissioner; appointment; jurisdiction of offenses; appeals; rules of procedure) Section 403c-6 (Same; jurisdiction of other commissioners) Section 403c-7 (Same; commissioner's jurisdiction of offenses not covered by section 403c-2) Section 403c-8 (Same; process to whom directed, arrest without process) Section 415 (National Military Parks; arrest and prosecution of offenders) Note to Subdivision (b)(5). 1. Foreign extradition proceedings are governed by the following statutes: U.S.C., Title 18: Section 651 (now 3184) (Fugitives from foreign country) Section 652 (now 3185) (Fugitives from country under control of United States) Section 653 (now 3186) (Surrender of fugitive) Section 654 (now 3188) (Time allowed for extradition) Section 655 (now 3190) (Evidence on hearing) Section 656 (now 3191) (Witnesses for indigent defendants) Section 657 (now 3189) (Place and character of hearing) Section 658 (now 3181) (Continuance of provisions limited) Section 659 (now 3192) (Protection of accused) Section 660 (now 3193) (Agent receiving offenders; powers) Interstate rendition or extradition proceedings are governed by the following statutes: U.S.C., Title 18: Section 662 (now 3182, 3195) (Fugitives from State or Territory) Section 662c (now 752, 3183, 3195) (Fugitives from State or Territory; arrest and removal) Section 662d (now 3187, 3195) (Fugitives from State or Territory; provisional arrest and detention) 2. Proceedings relating to forfeiture of property used in connection with a violation of a statute of the United States are governed by various statutes, among which are following: U.S.C., Title 16: Section 26 (Yellowstone Park; regulations for hunting and fishing in; punishment for violation; forfeitures) Section 65 (Yosemite and Sequoia National Parks; seizure and forfeiture of guns, traps, teams, horses, and so forth) Section 99 (Mount Rainier National Park; protection of game and fish; forfeitures of guns, traps, teams, and so forth) Section 117d (Mesa Verde National Park; forfeiture of property used for unlawful purpose) Section 128 (Crater Lake National Park; hunting and fishing; forfeitures or seizure of guns, traps, teams, etc., for violating regulations) Section 171 (Glacier National Park; hunting and fishing; forfeitures and seizures of guns, traps, teams, and so forth) Section 198d (Rocky Mountain National Park; forfeiture of property used in commission of offenses) Section 204d (Lassen Volcanic National Park; forfeiture of property used for unlawful purposes) Section 635 (Importing illegally taken skins; forfeiture) Section 706 (Arrests; search warrants) Section 727 (Upper Mississippi River Wild Life and Fish Refuge; powers of employees of Department of the Interior; searches and seizures) Section 772e (Penalties and forfeitures) U.S.C., Title 18: Section 286 (now 492) (Forfeiture of counterfeit obligations, etc.; failure to deliver) Section 645 (now 3611) (Confiscation of firearms possessed by convicted felons) Section 646 (now 3617) (Remission or mitigation of forfeitures under liquor laws; possession pending trial) Section 647 (see 3616) (Use of confiscated motor vehicles) U.S.C., Title 19: Section 483 (see 1595a) (Forfeitures; penalty for aiding unlawful importation) Section 1592 (Fraud; penalty against goods) Section 1602 (Seizure; report to collector) Section 1603 (Seizure; collector's reports) Section 1604 (Seizure; prosecution) Section 1605 (Seizure; custody) Section 1606 (Seizure; appraisement) Section 1607 (Seizure; value $1,000 or less) Section 1608 (Seizure; claims; judicial condemnation) Section 1609 (Seizure; summary of forfeiture and sale) Section 1610 (Seizure; value more than $1,000) Section 1611 (Seizure; sale unlawful) Section 1612 (Seizure; summary sale) Section 1613 (Disposition of proceeds of forfeited property) Section 1614 (Release of seized property) Section 1615 (Burden of proof in forfeiture proceedings) Section 1703 (Seizure and forfeiture of vessels) Section 1705 (Destruction of forfeited vessel) U.S.C., Title 21: Section 334 (Seizure) Section 337 (Proceedings in name of United States; provision as to subpenas) U.S.C., Title 22: Section 401 (Seizure of war materials intended for unlawful export generally; forfeiture) Section 402 (Seizure of war materials intended for unlawful export generally; warrant for detention of seized property) Section 403 (Seizure of war materials intended for unlawful export generally; petition for restoration of seized property) Section 404 (Seizure of war materials intended for unlawful export generally; libel and sale of seized property) Section 405 (Seizure of war materials intended for unlawful export generally; method of trial; bond for redelivery) Section 406 (Seizure of war materials intended for unlawful export generally; sections not to interfere with foreign trade) U.S.C., Title 26: Section 3116 (now 7302) (Forfeitures and seizures) 3. Collection of fines and penalties is accomplished in the same manner as the collection of a civil judgment. See Rule 69(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). For mode of discharging indigent convicts imprisoned for non-payment of fine, see 18 U.S.C. 641 (now 3569). 4. The Federal Juvenile Delinquency Act, 18 U.S.C. 921-929 (now 5031-5037), authorizes prosecution of a juvenile delinquent on the charge of juvenile delinquency, if the juvenile consents to this procedure. In such cases the court may be convened at any time and place, in chambers or otherwise, and the trial is without a jury. The purpose of excepting proceedings under the act is to make inapplicable to them the requirement of an arraignment in open court (Rule 10) and other similar provisions. 5. As habeas corpus proceedings are regarded as civil proceedings, they are not governed by these rules. The procedure in such cases is prescribed by 28 U.S.C. 451-466 (now 2241-2243, 2251-2253). Appeals in habeas corpus proceedings are governed by the Federal Rules of Civil Procedure (Rule 81(a)(2) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (c). 1. This rule is analogous to Rule 81(e) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). 2. 1 U.S.C. Sec. 1-6, containing general rules of construction, should be read in conjunction with this rule. 3. In connection with the definition of 'attorney for the Government', see the following statutes: U.S.C., Title 5: Section 291 (now 28 U.S.C. 501) (Establishment of Department) Section 293 (now 28 U.S.C. 505) (Solicitor General) Section 294 (now 28 U.S.C. 504) (Assistant to Attorney General) Section 295 (now 28 U.S.C. 506) (Assistant Attorneys General) Section 309 (now 28 U.S.C. 518) (Conduct and argument of cases by Attorney General and Solicitor General) Section 310 (now 28 U.S.C. 515) (Conduct of legal proceedings) Section 311 (former) (Performance of duty by officers of Department) Section 312 (now 28 U.S.C. 543, 547, 548) (Counsel to aid district attorneys) Section 315 (now 28 U.S.C. 515) (Appointment and oath of special attorneys or counsel) U.S.C., Title 28: Section 481 (now 541) (District attorneys) Section 483 (now 542) (Assistant district attorneys) Section 485 (now 547) (District attorneys; duties) 4. The last sentence of this rule has particular reference to 18 U.S.C. 682 (now 3731). (Appeals; on behalf of the United States; rules of practice and procedure), which authorizes the United States to appeal in criminal cases from a decision on a motion to quash, a demurrer or a special plea in bar, if the defendant has not been placed in jeopardy. It is intended that the right of the Government to appeal in such cases should not be affected as the result of the substitution of a motion under Rule 12 for a demurrer, motion to quash and a special plea in bar. The rule is equally applicable to any other statute employing the same terminology. NOTES OF ADVISORY COMMITTEE ON RULES - 1948 AMENDMENT Subdivision (a)(1). - To conform to the nomenclature of revised Title 28 with respect to district courts and courts of appeals (28 U.S.C. Sec. 132(a), 43(a)); to eliminate special reference to the district courts for the District of Columbia, Hawaii and Puerto Rico which are now United States district courts for all purposes (28 U.S.C. Sec. 88, 91, 119, 132, 133, 451), and to eliminate special reference to the court of appeals for the District of Columbia which is now a United States court of appeals for all purposes (28 U.S.C. Sec. 41, 43). Subdivision (b). - The amendment to paragraph (1) is to incorporate nomenclature of Revised Title 28 and in paragraphs (2), (3), (4), and (5) to insert proper reference to Title 18 and 28 in place of repealed acts. Subdivision (c). - Under revised Title 28 the justices of the United States Court of Appeals and District Court for the District of Columbia become circuit and district judges (see 28 U.S.C. Sec. 44, 133) and the use of the descriptive phrase 'senior circuit judge' is abandoned in favor of the title 'chief judge' in all circuits including the District of Columbia. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Subdivision (a). - The first change reflects the granting of statehood to Alaska. The second change conforms to Section 3501 of the Canal Zone Code. Subdivision (b). - The change is made necessary by the new provision in Rule 20(d). NOTES OF ADVISORY COMMITTEE ON RULES - 1972 AMENDMENT Subdivisions (a) and (b) are amended to delete the references to 'commissioners' and to substitute, where appropriate, the phrase 'United States magistrates.' Subdivision (a)(2) is deleted. In its old form it makes reference to 'rules applicable to criminal proceedings before commissioners,' which are now replaced by the Rules of Procedure for the Trial of Minor Offenses before United States Magistrates (1971). Rule 1 of the magistrates' rules provides that they are applicable to cases involving 'minor offenses' as defined in 18 U.S.C. Sec. 3401 'before United States magistrates.' Cases involving 'minor offenses' brought before a judge of the district court will be governed by the Rules of Criminal Procedure for the United States District Courts. The last sentence of old subdivision (a)(2) is stricken for two reasons: (1) Whenever possible, cases should be brought before a United States magistrate rather than before a state or local judicial officer authorized by 18 U.S.C. Sec. 3041. (2) When a state or local judicial officer is involved, he should conform to the federal rules. Subdivision (b)(4) makes clear that minor offense cases before United States magistrates are governed by the Rules of Procedure for the Trial of Minor Offenses before United States Magistrates (1971). See rule 1 of the magistrates' rules. In subdivision (b)(5) the word 'civil' is added before the word 'forfeiture' to make clear that the rules do apply to criminal forfeitures. This is clearly the intention of Congress. See Senate Report No. 91-617, 91st Cong., 1st Sess., Dec. 16, 1969, at 160: Subsection (a) provides the remedy of criminal forfeiture. Forfeiture trials are to be governed by the Fed. R. Crim. P. But see Fed. R. Crim. P. 54(b)(5). Subdivision (c) is amended to list the defined terms in alphabetical order to facilitate the use of the rule. There are added six new definitions. 'Federal magistrate' is a phrase to be used whenever the rule is intended to confer authority on any federal judicial officer including a United States magistrate. 'Judge of the United States' is a phrase defined to include district court, court of appeals, and supreme court judges. It is used in the rules to indicate that only a judge (not to include a United States magistrate) is authorized to act. 'Magistrate' is a term used when both federal and state judicial officers may be authorized to act. The scope of authority of state or local judicial officers is clarified by the enumeration of those rules (3, 4, and 5) under which they are authorized to act. 'United States magistrate' is a phrase which refers to the federal judicial officer created by the Federal Magistrates Act (28 U.S.C. Sec. 631-639). Also added are cross references to the statutory definitions of 'minor offense' and 'petty offense.' NOTES OF ADVISORY COMMITTEE ON RULES - 1982 AMENDMENT Note to Subdivision (a). The amendment of subdivision (a) conforms to 48 U.S.C. Sec. 1694(c), which provides that 'the rules heretofore or hereafter promulgated and made effective by the Congress or the Supreme Court of the United States pursuant to Titles 11, 18, and 28 shall apply to the District Court for the Northern Mariana Islands and appeals therefrom where appropriate, except as otherwise provided in articles IV and V of the covenant provided by the Act of March 24, 1976 (90 Stat. 263).' The reference is to the 'Covenant To Establish a Commonwealth of the Northern Mariana Islands in Political Union with the United States of America.' Article IV of the covenant provides that except when exercising 'the jurisdiction of a district court of the United States,' the District Court will be considered a court of the Northern Mariana Islands for the purposes of determining the requirements of indictment by grand jury or trial by jury.' Article V provides that 'neither trial by jury nor indictment by grand jury shall be required in any civil action or criminal prosecution based on local law, except when required by local law.' Note to Subdivision (b)(4). This change is necessitated by the recent amendment of 18 U.S.C. Sec. 3401 by the Federal Magistrate Act of 1979. Note to Subdivision (c). The first amendment to subdivision (c) conforms to 48 U.S.C. Sec. 1694(c), which states: 'The terms 'attorney for the government' and 'United States Attorney' as used in the Federal Rules of Criminal Procedure (Rule 54(c)) shall, when applicable to cases arising under the laws of the Northern Mariana Islands, include the attorney general of the Northern Mariana Islands or any other person or persons as may be authorized by the laws of the Northern Marianas to act therein.' The second amendment to subdivision (c) eliminates any reference to minor offenses. By virtue of the recent amendment of 18 U.S.C. Sec. 3401 by the Federal Magistrate Act of 1979, the term 'minor offense' is no longer utilized in the statute. It is likewise no longer used in these rules. See amendments to Rules 5(b) and 9(d). NOTES OF ADVISORY COMMITTEE ON RULES - 1990 AMENDMENT Rule 54(b) is amended to conform the rule to Rule 58. Subsection (c) is technical. No substantive change is intended. -REFTEXT- REFERENCES IN TEXT The Act of March 24, 1976 (90 Stat. 263), referred to in subd. (a), is Pub. L. 94-241, Mar. 24, 1976, 90 Stat. 263, which is set out as a note under section 1681 of Title 48, Territories and Insular Possessions. 1988 AMENDMENT Subd. (c). Pub. L. 100-690 substituted 'has the meaning set forth in 18 U.S.C. 19' for 'means a class B or C misdemeanor or an infraction' in definition of 'Petty offense'. 1984 AMENDMENT Subd. (b)(3). Pub. L. 98-473, Sec. 209(e), struck out 'under 18 U.S.C. Sec. 3043, and' after 'for good behavior'. Subd. (c). Pub. L. 98-473, Sec. 215(e), in definition of 'Petty offense' substituted 'means a class B or C misdemeanor or an infraction' for 'is defined in 18 U.S.C. Sec. 1(3). -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 215(e) of Pub. L. 98-473 effective Nov. 1, 1987, and applicable only to offenses committed after the taking effect of such amendment, see section 235(a)(1) of Pub. L. 98-473, set out as an Effective Date note under section 3551 of this title. EFFECTIVE DATE OF 1956 AMENDMENT Amendment by Order of April 9, 1956, became effective 90 days thereafter. -TRANS- TERMINATION OF UNITED STATES DISTRICT COURT FOR THE DISTRICT OF THE CANAL ZONE For termination of the United States District Court for the District of the Canal Zone at end of the 'transition period', being the 30 month period beginning Oct. 1, 1979, and ending midnight Mar. 31, 1982, see Paragraph 5 of Article XI of the Panama Canal Treaty of 1977 and sections 3831 and 3841 to 3843 of Title 22, Foreign Relations and Intercourse. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Applicability in general, see rule 81, Title 28, Appendix, Judiciary and Judicial Procedure. Scope of rules, see rule 1. CROSS REFERENCES Extradition proceedings, see section 3181 et seq. of this title. Minor offense proceedings before United States magistrate judges, see sections 3401 and 3402 of this title. Motions substituted for pleas, see rule 12. Power of state magistrates to commit persons for Federal offenses, see section 3041 of this title. Power of Supreme Court to prescribe rules of criminal procedure, see section 2072 of Title 28, Judiciary and Judicial Procedure. Proceedings relating to juvenile delinquents, see section 5031 et seq. of this title. Removal of State criminal proceedings against certain Federal officers to district courts, see section 1442 of Title 28, Judiciary and Judicial Procedure. Scope of rules, generally, see rule 1. ------DocID 25146 Document 1388 of 1438------ -CITE- 18 USC Rule 55 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 55. Records -STATUTE- The clerk of the district court and each United States magistrate shall keep records in criminal proceedings in such form as the Director of the Administrative Office of the United States Courts may prescribe. The clerk shall enter in the records each order or judgment of the court and the date such entry is made. -SOURCE- (As amended Dec. 27, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 1, 1966; Apr. 24, 1972, eff. Oct. 1, 1972; Apr. 28, 1983, eff. Aug. 1, 1983.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES The Federal Rules of Civil Procedure Rule 79 (28 U.S.C., Appendix), prescribed in detail the books and records to be kept by the clerk in civil cases. Subsequently to the effective date of the civil rules, however, the Act establishing the Administrative Office of the United States Courts became law (Act of August 7, 1939; 53 Stat. 1223; 28 U.S.C. 444-450 (now 332-333, 456, 601-610)). One of the duties of the Director of that Office is to have charge, under the supervision and direction of the Conference of Senior Circuit Judges, of all administrative matters relating to the offices of the clerks and other clerical and administrative personnel of the courts, 28 U.S.C. 446 (now 604, 609). In view of this circumstance it seemed best not to prescribe the records to be kept by the clerks of the district courts and by the United States commissioners, in criminal proceedings, but to vest the power to do so in the Director of the Administrative Office of the United States Courts with the approval of the Conference of Senior Circuit Judges. NOTES OF ADVISORY COMMITTEE ON RULES - 1948 AMENDMENT To incorporate nomenclature provided for by Revised Title 28 U.S.C., Sec. 331. NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT Rule 37(a)(2) provides that for the purpose of commencing the running of the time for appeal a judgment or order is entered 'when it is entered in the criminal docket.' The sentence added here requires that such a docket be kept and that it show the dates on which judgments or orders are entered therein. Cf. Civil Rule 79(a). NOTES OF ADVISORY COMMITTEE ON RULES - 1983 AMENDMENT The Advisory Committee Note to original Rule 55 observes that, in light of the authority which the Director and Judicial Conference have over the activities of clerks, 'it seems best not to prescribe the records to be kept by clerks.' Because of current experimentation with automated record-keeping, this approach is more appropriate than ever before. The amendment will make it possible for the Director to permit use of more sophisticated record-keeping techniques, including those which may obviate the need for a 'criminal docket' book. The reference to the Judicial Conference has been stricken as unnecessary. See 28 U.S.C. Sec. 604. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- CROSS REFERENCES Supervisory duties of Director of Administrative Office of the United States Courts, see section 604 of Title 28, Judiciary and Judicial Procedure. ------DocID 25147 Document 1389 of 1438------ -CITE- 18 USC Rule 56 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 56. Courts and Clerks -STATUTE- The district court shall be deemed always open for the purpose of filing any proper paper, of issuing and returning process and of making motions and orders. The clerk's office with the clerk or a deputy in attendance shall be open during business hours on all days except Saturdays, Sundays, and legal holidays, but a court may provide by local rule or order that its clerk's office shall be open for specified hours on Saturdays or particular legal holidays other than New Year's Day, Birthday of Martin Luther King, Jr., Washington's Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans Day, Thanksgiving Day, and Christmas Day. -SOURCE- (As amended Dec. 27, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 1968; Mar. 1, 1971, eff. July 1, 1971; Apr. 25, 1988, eff. Aug. 1, 1988.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES 1. The first sentence of this rule is substantially the same as Rule 77(a) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix), except that it is applicable to circuit courts of appeals as well as to district courts. 2. In connection with this rule, see 28 U.S.C. (former) 14 (Monthly adjournments for trial of criminal causes) and sec. 15 (now 141) (Special terms). These sections 'indicate a policy of avoiding the hardships consequent upon a closing of the court during vacations,' Abbott v. Brown, 241 U.S. 606, 611. 3. The second sentence of the rule is identical with the first sentence of Rule 77(c) of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). 4. The term 'legal holidays' includes Federal holidays as well as holidays prescribed by the laws of the State where the clerk's office is located. NOTES OF ADVISORY COMMITTEE ON RULES - 1948 AMENDMENT To incorporate nomenclature provided for by Revised Title 28, U.S.C. Sec. 43(a). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The change is in conformity with the changes made in Rule 45. See the similar changes in Civil Rule 77(c) made effective July 1, 1963. NOTES OF ADVISORY COMMITTEE ON RULES - 1968 AMENDMENT The provisions relating to courts of appeals are included in Rule 47 of the Federal Rules of Appellate Procedure. NOTES OF ADVISORY COMMITTEE ON RULES - 1971 AMENDMENT The amendment adds Columbus Day to the list of legal holidays. See the Note accompanying the amendment of Rule 45(a). NOTES OF ADVISORY COMMITTEE ON RULES - 1988 AMENDMENT The amendment is technical. No substantive change is intended. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE District courts always open, see rule 77, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Courts always open, see section 452 of Title 28, Judiciary and Judicial Procedure. ------DocID 25148 Document 1390 of 1438------ -CITE- 18 USC Rule 57 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 57. Rules by District Courts -STATUTE- Each district court by action of a majority of the judges thereof may from time to time, after giving appropriate public notice and an opportunity to comment, make and amend rules governing its practice not inconsistent with these rules. A local rule so adopted shall take effect upon the date specified by the district court and shall remain in effect unless amended by the district court or abrogated by the judicial council of the circuit in which the district is located. Copies of the rules and amendments so made by any district court shall upon their promulgation be furnished to the judicial council and the Administrative Office of the United States Courts and be made available to the public. In all cases not provided for by rule, the district judges and magistrates may regulate their practice in any manner not inconsistent with these rules or those of the district in which they act. -SOURCE- (As amended Dec. 27, 1948, eff. Oct. 20, 1949; Dec. 4, 1967, eff. July 1, 1968; Apr. 29, 1985, eff. Aug. 1, 1985.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). This rule is substantially a restatement of 28 U.S.C. 731 (now 2071) (Rules of practice in district courts). A similar provision is found in Rule 83 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). Note to Subdivision (b). 1. One of the purposes of this rule is to abrogate any existing requirement of conformity to State procedure on any point whatsoever. The Federal Rules of Civil Procedure (28 U.S.C., Appendix) have been held to repeal the Conformity Act, Sibbach v. Wilson, 312 U.S. 1, 10. 2. While the rules are intended to constitute a comprehensive procedural code for criminal cases in the Federal courts, nevertheless it seemed best not to endeavor to prescribe a uniform practice as to some matters of detail, but to leave the individual courts free to regulate them, either by local rules or by usage. Among such matters are the mode of impaneling a jury, the manner and order of interposing challenges to jurors, the manner of selecting the foreman of a trial jury, the matter of sealed verdicts, the order of counsel's arguments to the jury, and other similar details. NOTES OF ADVISORY COMMITTEE ON RULES - 1948 AMENDMENT To incorporate nomenclature provided for by Revised Title 28, U.S.C., Sec. 43(a). NOTES OF ADVISORY COMMITTEE ON RULES - 1968 AMENDMENT The provisions relating to the court of appeals are included in Rule 47 of the Federal Rules of Appellate Procedure. NOTES OF ADVISORY COMMITTEE ON RULES - 1985 AMENDMENT Rule 57 has been reformulated to correspond to Fed.R.Civ.P. 83, including the proposed amendments thereto. The purpose of the reformulation is to emphasize that the procedures for adoption of local rules by a district court are the same under both the civil and the criminal rules. In particular, the major purpose of the reformulation is to enhance the local rulemaking process by requiring appropriate public notice of proposed rules and an opportunity to comment on them. See Committee Note to Fed.R.Civ.P. 83. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Local rules not inconsistent with court rules, see rule 83, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Administrative Office of United States courts, see section 601 et seq. of Title 28, Judiciary and Judicial Procedure. Appeal rules in criminal codes, see various rules of courts of appeals. Local rules of criminal procedures, see various local rules of district courts. Rule-making power generally, see section 2071 of Title 28, Judiciary and Judicial Procedure. ------DocID 25149 Document 1391 of 1438------ -CITE- 18 USC Rule 58 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 58. Procedure for Misdemeanors and Other Petty Offenses -STATUTE- (a) Scope. (1) In General. This rule governs the procedure and practice for the conduct of proceedings involving misdemeanors and other petty offenses, and for appeals to judges of the district courts in such cases tried by magistrates. (2) Applicability of Other Federal Rules of Criminal Procedure. In proceedings concerning petty offenses for which no sentence of imprisonment will be imposed the court may follow such provisions of these rules as it deems appropriate, to the extent not inconsistent with this rule. In all other proceedings the other rules govern except as specifically provided in this rule. (3) Definition. The term 'petty offenses for which no sentence of imprisonment will be imposed' as used in this rule, means any petty offenses as defined in 18 U.S.C. Sec. 19 as to which the court determines, that, in the event of conviction, no sentence of imprisonment will actually be imposed. (b) Pretrial Procedures. (1) Trial Document. The trial of a misdemeanor may proceed on an indictment, information, or complaint or, in the case of a petty offense, on a citation or violation notice. (2) Initial Appearance. At the defendant's initial appearance on a misdemeanor or other petty offense charge, the court shall inform the defendant of: (A) The (FOOTNOTE 1) charge, and the maximum possible penalties provided by law, including payment of a special assessment under 18 U.S.C. Sec. 3013, and restitution under 18 U.S.C. Sec. 3663; (FOOTNOTE 1) So in original. Probably should not be capitalized. (B) the right to retain counsel; (C) unless the charge is a petty offense for which appointment of counsel is not required, the right to request the assignment of counsel if the defendant is unable to obtain counsel; (D) the right to remain silent and that any statement made by the defendant may be used against the defendant; (E) the right to trial, judgment, and sentencing before a judge of the district court, unless the defendant consents to trial, judgment, and sentencing before a magistrate; (F) unless the charge is a petty offense, the right to trial by jury before either a magistrate or a judge of the district court; and (G) if the defendant is held in custody and charged with a misdemeanor other than a petty offense, the right to a preliminary examination in accordance with 18 U.S.C. Sec. 3060, and the general circumstances under which the defendant may secure pretrial release. (3) Consent and Arraignment. (A) Trial Before a Magistrate. If the defendant signs a written consent to be tried before the magistrate which specifically waives trial before a judge of the district court, the magistrate shall take the defendant's plea. The defendant may plead not guilty, guilty, or with the consent of the magistrate, nolo contendere. (B) Failure to Consent. If the defendant does not consent to trial before the magistrate, the defendant shall be ordered to appear before a judge of the district court for further proceedings on notice. (c) Additional Procedures Applicable Only to Petty Offenses for Which No Sentence of Imprisonment Will Be Imposed. With respect to petty offenses for which no sentence of imprisonment will be imposed, the following additional procedures are applicable: (1) Plea of Guilty or Nolo Contendere. No plea of guilty or nolo contendere shall be accepted unless the court is satisfied that the defendant understands the nature of the charge and the maximum possible penalties provided by law. (2) Waiver of Venue for Plea and Sentence. A defendant who is arrested, held, or present in a district other than that in which the indictment, information, complaint, citation or violation notice is pending against that defendant may state in writing a wish to plead guilty or nolo contendere, to waive venue and trial in the district in which the proceeding is pending, and to consent to disposition of the case in the district in which that defendant was arrested, is held, or is present. Unless the defendant thereafter pleads not guilty, the prosecution shall be had as if venue were in such district, and notice of the same shall be given to the magistrate in the district where the proceeding was originally commenced. The defendant's statement of a desire to plead guilty or nolo contendere is not admissible against the defendant. (3) Sentence. The court shall afford the defendant an opportunity to be heard in mitigation. The court shall then immediately proceed to sentence the defendant, except that in the discretion of the court, sentencing may be continued to allow an investigation by the probation service or submission of additional information by either party. (4) Notification of Right to Appeal. After imposing sentence in a case which has gone to trial on a plea of not guilty, the court shall advise the defendant of the defendant's right to appeal including any right to appeal the sentence. There shall be no duty on the court to advise the defendant of any right of appeal after sentence is imposed following a plea of guilty or nolo contendere, except that the court shall advise the defendant of any right to appeal the sentence. (d) Securing the Defendant's Appearance; Payment in Lieu of Appearance. (1) Forfeiture of Collateral. When authorized by local rules of the district court, payment of a fixed sum may be accepted in suitable cases in lieu of appearance and as authorizing the termination of the proceedings. Local rules may make provision for increases in fixed sums not to exceed the maximum fine which could be imposed. (2) Notice to Appear. If a defendant fails to pay a fixed sum, request a hearing, or appear in response to a citation or violation notice, the clerk or a magistrate may issue a notice for the defendant to appear before the court on a date certain. The notice may also afford the defendant an additional opportunity to pay a fixed sum in lieu of appearance, and shall be served upon the defendant by mailing a copy to the defendant's last known address. (3) Summons or Warrant. Upon an indictment or a showing by one of the other documents specified in (b)(1) (FOOTNOTE 2) of probable cause to believe that an offense has been committed and that the defendant has committed it, the court may issue an arrest warrant or, if no warrant is requested by the attorney for the prosecution, a summons. The showing of probable cause shall be made in writing upon oath or under penalty for perjury, but the affiant need not appear before the court. If the defendant fails to appear before the court in response to a summons, the court may summarily issue a warrant for the defendant's immediate arrest and appearance before the court. (FOOTNOTE 2) So in original. Probably should be 'subdivision (b)(1)'. (e) Record. Proceedings under this rule shall be taken down by a reporter or recorded by suitable sound equipment. (f) New Trial. The provisions of Rule 33 shall apply. (g) Appeal. (1) Decision, Order, Judgment or Sentence by a District Judge. An appeal from a decision, order, judgment or conviction or sentence by a judge of the district court shall be taken in accordance with the Federal Rules of Appellate Procedure. (2) Decision, Order, Judgment or Sentence by a Magistrate. (A) Interlocutory Appeal. A decision or order by a magistrate which, if made by a judge of the district court, could be appealed by the government or defendant under any provision of law, shall be subject to an appeal to a judge of the district court provided such appeal is taken within 10 days of the entry of the decision or order. An appeal shall be taken by filing with the clerk of court a statement specifying the decision or order from which an appeal is taken and by serving a copy of the statement upon the adverse party, personally or by mail, and by filing a copy with the magistrate. (B) Appeal From Conviction or Sentence. An appeal from a judgment of conviction or sentence by a magistrate to a judge of the district court shall be taken within 10 days after entry of the judgment. An appeal shall be taken by filing with the clerk of court a statement specifying the judgment from which an appeal is taken, and by serving a copy of the statement upon the United States Attorney, personally or by mail, and by filing a copy with the magistrate. (C) Record. The record shall consist of the original papers and exhibits in the case together with any transcript, tape, or other recording of the proceedings and a certified copy of the docket entries which shall be transmitted promptly to the clerk of court. For purposes of the appeal, a copy of the record of such proceedings shall be made available at the expense of the United States to a person who establishes by affidavit the inability to pay or give security therefor, and the expense of such copy shall be paid by the Director of the Administrative Office of the United States Courts. (D) Scope of Appeal. The defendant shall not be entitled to a trial de novo by a judge of the district court. The scope of the appeal shall be the same as an appeal from a judgment of a district court to a court of appeals. (3) Stay of Execution; Release Pending Appeal. The provisions of Rule 38 relating to stay of execution shall be applicable to a judgment of conviction or sentence. The defendant may be released pending appeal in accordance with the provisions of law relating to release pending appeal from a judgment of a district court to a court of appeals. -SOURCE- (Added May 1, 1990, eff. Dec. 1, 1990.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES - 1990 AMENDMENT This new rule is largely a restatement of the Rules of Procedure for the Trial of Misdemeanors before United States Magistrates which were promulgated in 1980 to replace the Rules for the Trial of Minor Offenses before United States Magistrates (1970). The Committee believed that a new single rule should be incorporated into the Rules of Criminal Procedure where those charged with its execution could readily locate it and realize its relationship with the other Rules. A number of technical changes have been made throughout the rule and unless otherwise noted, no substantive changes were intended in those amendments. The Committee envisions no major changes in the way in which the trial of misdemeanors and petty offenses are currently handled. The title of the rule has been changed by deleting the phrase 'Before United States Magistrates' to indicate that this rule may be used by district judges as well as magistrates. The phrase 'and Petty Offenses' has been added to the title and elsewhere throughout the rule because the term 'misdemeanor' does not include an 'infraction.' See 18 U.S.C. Sec. 3559(a). A petty offense, however, is defined in 18 U.S.C. Sec. 19 as a Class B misdemeanor, a Class C misdemeanor, or an infraction, with limitations on fines of no more than $5,000 for an individual and $10,000 for an organization. Subdivision (a) is an amended version of current Magistrates Rule 1. Deletion of the phrase 'before United States Magistrates under 18 U.S.C. Sec. 3401' in Rule 1(a) will enable district judges to use the abbreviated procedures of this rule. Consistent with that change, the term 'magistrate' is amended to read 'the court,' wherever appropriate throughout the rule, to indicate that both judges and magistrates may use the rule. The last sentence in (a)(1) has been amended to reflect that the rule also governs an appeal from a magistrate's decision to a judge of the district court. An appeal from a district judge's decision would be governed by the Federal Rules of Appellate Procedure. Subdivision (a)(2) rephrases prior language in Magistrate Rule 1(b). Subdivision (a)(3) adds a statutory reference to 18 U.S.C. Sec. 19, which defines a petty offense as a 'Class B misdemeanor, a Class C misdemeanor, or an infraction' with the $5,000 and $10,000 fine limitations noted supra. The phrase 'regardless of the penalty authorized by law' has been deleted. Subdivision (b) is an amended version of current Magistrates Rule 2. The last sentence in current Rule 2(a) has been deleted because 18 U.S.C. Sec. 3401(a), provides that a magistrate will have jurisdiction to try misdemeanor cases when specially designated to do so by the district court or courts served by the Magistrate. Subdivision (b)(2) reflects the standard rights advisements currently included in Magistrates Rule 2 with several amendments. Subdivision (b)(2)(A) specifically requires that the defendant be advised of all penalties which may be imposed upon conviction, including specifically a special assessment and restitution. A number of technical, nonsubstantive, changes have been made in the contents of advisement of rights. A substantive change is reflected in subdivision (b)(2)(G), currently Magistrates Rule 2(b)(7), and (8). That rule currently provides that, unless the prosecution is on an indictment or information, a defendant who is charged with a misdemeanor other than a petty offense has a right to a preliminary hearing, if the defendant does not consent to be tried by the magistate. As amended, only a defendant in custody has a right to a preliminary hearing. Subdivision (b)(3)(A) is based upon Magistrates Rule 2(c) and has been amended by deleting the last sentence, which provides that trial may occur within 30 days 'upon written consent of the defendant.' The change is warranted because the Speedy Trial Act does not apply to petty offenses. See 18 U.S.C. Sec. 3172(2). Subdivision (b)(3)(B), 'Failure to Consent,' currently appears in Magistrates Rule 3(a). The first sentence has been amended to make it applicable to all misdemeanor and petty offense defendants who fail to consent. The last sentence of Rule 3(a) has been deleted entirely. Because the clerk is responsible for all district court case files, including those for misdemeanor and petty offense cases tried by magistrates, it is not necessary to state that the file be transmitted to the clerk of court. Subdivision (c) is an amended version of current Magistrates Rule 3 with the exception of Rule 3(a), which, as noted supra is now located in subdivision (b)(3)(B) of the new rule. The phrase 'petty offense for which no sentence of imprisonment will be imposed' has been deleted because the heading for subdivision (c) limits its application to those petty offenses. The Committee recognizes that subdivision (c)(2) might result in attempted forum shopping. See, e.g., United States v. Shaw, 467 F. Supp. 86 (W.D. La. 1979), affm'd, 615 F. 2d 251 (5th Cir. 1980). In order to maintain a streamlined and less formal procedure which is consistent with the remainder of the Rule, subdivision (c)(2) does not require the formal 'consent' of the United States Attorneys involved before a waiver of venue may be accomplished. Cf. Rule 20 (Transfer From the District for Plea and Sentence). The Rule specifically envisions that there will be communication and coordination between the two districts involved. To that end, reasonable efforts should be made to contact the United States Attorney in the district in which the charges were instituted. Subdivision (c)(4), formerly Rule 3(d), now specifically provides that the defendant be advised of the right to appeal the sentence. This subdivision is also amended to provide for advising the defendant of the right to appeal a sentence under the Sentencing Reform Act when the defendant is sentenced following a plea of guilty. Both amendments track the language of Rule 32(a)(2), as amended by the Sentencing Reform Act. Subdivision (d) is an amended version of Magistrates Rule 4. The amendments are technical in nature and no substantive change is intended. Subdivision (e) consists of the first sentence of Magistrates Rule 5. The second sentence of that Rule was deleted as being inconsistent with 28 U.S.C. Sec. 753(b) which gives the court discretion to decide how the proceedings will be recorded. The third sentence is deleted to preclude routine waivers of a verbatim record and to insure that all petty offenses are recorded. Subdivision (f) replaces Magistrates Rule 6 and simply incorporates by reference Rule 33. Subdivision (g) is an amended version of Magistrates Rule 7. Because the new rule may be used by both magistrates and judges, subdivision (g)(1) was added to make it clear that the Federal Rules of Appellate Procedure govern any appeal in a case tried by a district judge pursuant to the new rule. Subdivision (g)(2)(B), based upon Magistrates Rule 7(b), now provides for appeal of a sentence by a magistrate and is thus consistent with the provisions of 18 U.S.C. Sec. 3742(f). Finally, subdivision (g)(3) is based upon Magistrates Rule 7(d) but has been amended to provide that a stay of execution is applicable, if an appeal is taken from a sentence as well as from a conviction. This change is consistent with the recent amendment of Rule 38 by the Sentencing Reform Act. The new rule does not include Magistrates Rules 8 and 9. Rule 8 has been deleted because the subject of local rules is covered in Rule 57. Rule 9, which defined a petty offense, is now covered in 18 U.S.C. Sec. 19. -REFTEXT- REFERENCES IN TEXT The Federal Rules of Appellate Procedure, referred to in subd. (g)(1), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -CHANGE- CHANGE OF NAME Reference to United States magistrate or to magistrate deemed to refer to United States magistrate judge pursuant to section 321 of Pub. L. 101-650, set out as a note under section 631 of Title 28, Judiciary and Judicial Procedure. ------DocID 25150 Document 1392 of 1438------ -CITE- 18 USC Rule 59 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 59. Effective Date -STATUTE- These rules take effect on the day which is 3 months subsequent to the adjournment of the first regular session of the 79th Congress, but if that day is prior to September 1, 1945, then they take effect on September 1, 1945. They govern all criminal proceedings thereafter commenced and so far as just and practicable all proceedings then pending. -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This rule is based on Act of June 29, 1940 (54 Stat. 688; 18 U.S.C. 687 (now 3771)). It is substantially the same as Rule 86 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix). EFFECTIVE DATE OF 1966 AMENDMENTS; TRANSMISSION TO CONGRESS; RESCISSION Sections 2 to 4 of Order of the Supreme Court dated February 26, 1966, provided: '2. That the foregoing amendments and additions to the Rules of Criminal Procedure shall take effect on July 1, 1966, and shall govern all criminal proceedings thereafter commenced and so far as just and practicable all proceedings then pending. '3. That the Chief Justice be, and he hereby is, authorized to transmit to the Congress the foregoing amendments and additions to the Rules of Criminal Procedure in accordance with the provisions of title 18, U.S.C., section 3771. '4. That Rule 19 and subdivision (c) of Rule 45 of the Rules of Criminal Procedure for the United States District Courts, promulgated by this court on December 26, 1944, effective March 21, 1946, are hereby rescinded, effective July 1, 1966.' -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Effective date, see rule 86, Title 28, Appendix, Judiciary and Judicial Procedure. ------DocID 25151 Document 1393 of 1438------ -CITE- 18 USC Rule 60 -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS X -HEAD- Rule 60. Title -STATUTE- These rules may be known and cited as the Federal Rules of Criminal Procedure. -MISC1- SHORT TITLE OF 1975 AMENDMENT Pub. L. 94-64, Sec. 1, July 31, 1975, 89 Stat. 370, provided: 'That this Act (amending rules 4, 9, 11, 12, 12.1, 12.2, 15, 16, 17, 20, 32 and 43 of these rules and enacting provisions set out as a note under rule 4) may be cited as the 'Federal Rules of Criminal Procedure Amendments Act of 1975'.' NOTES OF ADVISORY COMMITTEE ON RULES This rule is similar to Rule 85 of the Federal Rules of Civil Procedure (28 U.S.C., Appendix), which reads as follows: These rules may be known and cited as the Federal Rules of Civil Procedure. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Title, see rule 85, Title 28, Appendix, Judiciary and Judicial Procedure. XXXXX ------DocID 25152 Document 1394 of 1438------ -CITE- 18 USC (APPENDIX OF FORMS) (Abrogated Apr -EXPCITE- TITLE 18 RULES OF CRIMINAL PROCEDURE FOR THE UNITED STATES DISTRICT COURTS (APPENDIX OF FORMS) (Abrogated Apr -HEAD- (APPENDIX OF FORMS) (Abrogated Apr. 28, 1983, eff. Aug. 1, 1983) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Rule 58 and the Appendix of Forms are unnecessary and have been abrogated. Forms of indictment and information are made available to United States Attorneys' offices by the Department of Justice. Forms used by the courts are made available by the Director of the Administrative Office of the United States Courts. ------DocID 25164 Document 1395 of 1438------ -CITE- 19 USC Sec. 12 to 18 -EXPCITE- TITLE 19 CHAPTER 1 -HEAD- Sec. 12 to 18. Repealed. Aug. 2, 1956, ch. 887, Sec. 4(a)(1)-(7), 70 Stat. 947 -MISC1- Sections 12 to 15 provided for appointment by Secretary of the Treasury of 30 special agents for purposes of checking the accounts of collectors and other customs officers for prevention of frauds, authorized regulations for the limitations on their number and compensation and authorized appointment of special agents to reside in foreign territory. Customs agents who perform functions formerly exercised by special agents are covered generally by section 2072 of this title. Section 12 was based on R.S. Sec. 2649. Section 13 was based on acts Mar. 4, 1911, ch. 285, 36 Stat. 1393; Mar. 4, 1923, ch. 251, Sec. 1, 2, 5, 7, 42 Stat. 1453, 1454; Mar. 3, 1927, ch. 348, Sec. 3, 44 Stat. 1382. Section 14 was based on R.S. Sec. 2651. Section 15 was based on R.S. Sec. 2999. Section 16, R.S. 2940, acts Mar. 4, 1923, ch. 251, Sec. 2, 42 Stat. 1453; Jan. 13, 1925, ch. 76, 43 Stat. 748; prescribed qualifications and special oath for customs appraiser at New York. Section 17, R.S. Sec. 2941, prohibited only employees in office of appraiser at New York from engaging or being employed in any commercial activity. Section 18, R.S. Sec. 2942, related to duties of appraiser and assistant appraiser at New York. ------DocID 26028 Document 1396 of 1438------ -CITE- 19 USC CHAPTER 18 -EXPCITE- TITLE 19 CHAPTER 18 -HEAD- CHAPTER 18 - IMPLEMENTATION OF HARMONIZED TARIFF SCHEDULE -MISC1- Sec. 3001. Purposes. 3002. Definitions. 3003. Congressional approval of United States accession to the Convention. (a) Congressional approval. (b) Acceptance of final legal text of Convention by President. (c) Unspecified private remedies not created. (d) Termination. 3004. Enactment of Harmonized Tariff Schedule. (a) Omitted. (b) Modifications to Harmonized Tariff Schedule. (c) Status of Harmonized Tariff Schedule. (d) Interim informational use of Harmonized Tariff Schedule classifications. 3005. Commission review of, and recommendations regarding, Harmonized Tariff Schedule. (a) In general. (b) Agency and public views regarding recommendations. (c) Submission of recommendations. (d) Requirements regarding recommendations. 3006. Presidential action on Commission recommendations. (a) In general. (b) Lay-over period. (c) Effective date of modifications. 3007. Publication of Harmonized Tariff Schedule. (a) In general. (b) Content. 3008. Import and export statistics. 3009. Coordination of trade policy and Convention. 3010. United States participation on Customs Cooperation Council regarding Convention. (a) Principal United States agencies. (b) Development of technical proposals. (c) Availability of Customs Cooperation Council publications. 3011. Transition to Harmonized Tariff Schedule. (a) Existing executive actions. (b) Generalized system of preferences conversion. (c) Import restrictions under Agricultural Adjustment Act. (d) Certain protests and petitions under customs law. 3012. Reference to Harmonized Tariff Schedule. ------DocID 26074 Document 1397 of 1438------ -CITE- 20 USC Sec. 18 -EXPCITE- TITLE 20 CHAPTER 2 -HEAD- Sec. 18. Plans and reports by State boards to be submitted to Department of Education -STATUTE- In order to secure the benefits of the appropriation for any purpose specified in this chapter, the State board shall prepare plans, showing the kinds of vocational education for which it is proposed that the appropriation shall be used; the kinds of schools and equipment; courses of study; methods of instruction; qualifications of teachers; and, in the case of agricultural subjects, the qualifications of supervisors or directors; plans for the training of teachers; and, in the case of agricultural subjects, plans for the supervision of agricultural education, as provided for in section 20 of this title. Such plans shall be submitted by the State board to the Department of Education, and if such Department finds the same to be in conformity with the provisions and purposes of this chapter, the same shall be approved. The State board shall make an annual report to the Department of Education, on or before September 1st of each year, on the work done in the State and the receipts and expenditures of money under the provisions of this chapter. -SOURCE- (Feb. 23, 1917, ch. 114, Sec. 8, 39 Stat. 933; Ex. Ord. No. 6166, Sec. 15, June 10, 1933; 1939 Reorg. Plan No. I, Sec. 201, 204, eff. July 1, 1939, 4 F.R. 2728, 53 Stat. 1424; 1953 Reorg. Plan No. 1, Sec. 5, 8, eff. Apr. 11, 1953, 18 F.R. 2053, 67 Stat. 631; Oct. 17, 1979, Pub. L. 96-88, title III, Sec. 301, title V, Sec. 507, 93 Stat. 677, 692.) -REFTEXT- REFERENCES IN TEXT This chapter, referred to in text, was in the original 'this Act', meaning act Feb. 23, 1917, which was classified to sections 11 to 15 and 16 to 28 of this title. Other sections formerly contained in this chapter were based on other acts, and have been omitted or repealed. -TRANS- TRANSFER OF FUNCTIONS 'Department of Education' substituted in text for 'Department of Health, Education, and Welfare' pursuant to sections 301 and 507 of Pub. L. 96-88, which are classified to sections 3441 and 3507 of this title and which transferred functions and offices (relating to education) of Department of Health, Education, and Welfare to Department of Education. Functions of Federal Security Administrator transferred to Secretary of Health, Education, and Welfare and all agencies of Federal Security Agency transferred to Department of Health, Education, and Welfare by section 5 of Reorg. Plan No. 1 of 1953, set out in the Appendix to Title 5, Government Organization and Employees. Federal Security Agency and office of Administrator abolished by section 8 of Reorg. Plan No. 1 of 1953. Transfer of functions of Federal Board for Vocational Education to Department of the Interior under Ex. Ord. No. 6166, set out as a note under section 901 of title 5, and from there to Federal Security Agency by Reorg. Plan No. I of 1939, and in 1946 abolishment of Board and its functions by Reorg. Plan No. 2 of 1946, see notes set out under section 11 of this title. ------DocID 26440 Document 1398 of 1438------ -CITE- 20 USC CHAPTER 18 -EXPCITE- TITLE 20 CHAPTER 18 -HEAD- CHAPTER 18 - GRANTS FOR TEACHING IN THE EDUCATION OF HANDICAPPED CHILDREN ------DocID 28256 Document 1399 of 1438------ -CITE- 21 USC Sec. 18 -EXPCITE- TITLE 21 CHAPTER 1 SUBCHAPTER II -HEAD- Sec. 18. Suspension of importation of adulterated articles -STATUTE- Whenever the President is satisfied that there is good reason to believe that any importation is being made, or is about to be made, into the United States, from any foreign country, of any article used for human food or drink that is adulterated to an extent dangerous to the health or welfare of the people of the United States, or any of them, he may issue his proclamation suspending the importation of such articles from such country for such period of time as he may think necessary to prevent such importation; and during such period it shall be unlawful to import into the United States from the countries designated in the proclamation of the President any of the articles the importation of which is so suspended. -SOURCE- (Aug. 30, 1890, ch. 839, Sec. 4, 26 Stat. 415.) ------DocID 28756 Document 1400 of 1438------ -CITE- 21 USC CHAPTER 18 -EXPCITE- TITLE 21 CHAPTER 18 -HEAD- CHAPTER 18 - PRESIDENT'S MEDIA COMMISSION ON ALCOHOL AND DRUG ABUSE PREVENTION -MISC1- Sec. 1301. Establishment. 1302. Duties of Commission. 1303. Membership. (a) Number and appointment. (b) Terms. (c) Basic pay and expenses. 1304. Meetings. (a) In general. (b) Moderator. (c) Quorum and procedure. (d) Voting. 1305. Director and staff; experts and consultants. (a) Director and staff. (b) Experts and consultants. (c) Staff of Federal agencies. 1306. Powers of Commission. (a) Hearings and sessions. (b) Obtaining official data. (c) Gifts. (d) Mails. (e) Administrative support services. 1307. Report. 1308. Termination. ------DocID 29014 Document 1401 of 1438------ -CITE- 22 USC Sec. 277d-18 -EXPCITE- TITLE 22 CHAPTER 7 SUBCHAPTER IV -HEAD- Sec. 277d-18. Construction, operation, and maintenance of works -STATUTE- The United States Commissioner is authorized to construct, operate, and maintain all works provided for in said convention and sections 277d-17 to 277d-25 of this title, and to turn over the operation and maintenance of any such works to any Federal agency, or any State, county, municipality, district, or other political subdivision within which such project or works may be in whole or in part situated, upon such terms, conditions, and requirements as the Commissioner may deem appropriate. -SOURCE- (Pub. L. 88-300, Sec. 2, Apr. 29, 1964, 78 Stat. 184.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 277d-17, 277d-22, 277d-24, 277d-25 of this title. ------DocID 29668 Document 1402 of 1438------ -CITE- 22 USC CHAPTER 18 -EXPCITE- TITLE 22 CHAPTER 18 -HEAD- CHAPTER 18 - UNITED STATES INFORMATION AND EDUCATIONAL EXCHANGE PROGRAMS -MISC1- SUBCHAPTER I - GENERAL PROVISIONS Sec. 1431. Congressional declaration of objectives. 1432. Information on United States participation in United Nations. 1433. Definitions. 1434. Repealed. 1435. Delegation of authority by Director. 1436. Restriction on disclosure of information. 1437. Utilization of private agencies. 1438. Veterans' preference. 1439. Repealed. 1440. Regulation of similar type international activities of State Department. 1441. Omitted. 1442. Informational media guaranties. (a) Authorization to make. (b) Assumption of notes issued pursuant to section 1509(c)(2) of this title; advances. (c) Limitations of time; total of guaranties outstanding. (d) Sale of foreign currencies; special account; availability. (e) Deposit of fees; availability. (f) Advance payments. (g) Separate accounts; transfers. (h) Appropriations for restoration of realized impairment to capital; liquidation of notes. SUBCHAPTER II - INTERCHANGE OF PERSONS, KNOWLEDGE, AND SKILLS BETWEEN UNITED STATES AND FOREIGN COUNTRIES 1446. Repealed. 1447. Books and materials. 1448. Assistance to certain institutions abroad founded or sponsored by United States citizens. SUBCHAPTER III - ASSIGNMENT OF SPECIALISTS 1451. Assignment of Government employees to requesting countries; governing regulations. 1452. Status and allowances of assigned personnel. 1453. Acceptance of office under foreign governments of assigned personnel; oath of allegiance. SUBCHAPTER IV - PARTICIPATION BY GOVERNMENT AGENCIES 1456. Utilization of facilities and personnel of other Government agencies; reimbursement to agencies; report to Congress. 1457. Rendition of technical and other services to foreign governments; limitations. 1458. Policy governing rendition of services. SUBCHAPTER V - DISSEMINATION ABROAD OF INFORMATION ABOUT THE UNITED STATES 1461. General authorization. (a) Dissemination of information abroad. (b) Dissemination of information within United States. 1461-1. Mission of United States Information Agency. 1461-1a. Ban on domestic activities by United States Information Agency. 1461a. Omitted. 1461b. Indemnification of owners of short-wave radio facilities against loss or damage. 1461c. Omitted. 1462. Policies governing information activities. 1463. Voice of America broadcasts; principles governing communications. 1464. Voice of America/Europe. 1464a. USIA satellite and television. (a) In general. (b) Broadcast principles. (c) Programs. (d) Costs. (e) Allocation of funds. 1464b. Voice of America hiring practices. (a) Prohibition. (b) Exception. (c) Report. SUBCHAPTER V-A - RADIO BROADCASTING TO CUBA 1465. Congressional findings and declaration of purposes. 1465a. Additional functions of United States Information Agency. (a) Radio broadcasting to Cuba. (b) Broadcasting as part of Voice of America. (c) Location of broadcast facilities; frequency; leased time from nongovernmental shortwave stations. (d) Changes in frequencies to other AM bands; jamming and interference. (e) Voice of America: Cuba Service; Voice of America: Radio Marti program. (f) Use of other facilities. 1465b. Cuba Service of Voice of America. 1465c. Advisory Board for Cuba Broadcasting. (a) Establishment; membership; chairperson. (b) Review; recommendations. (c) Terms; vacancies. (d) Ex officio members. (e) Compensation; travel expenses. (f) Procurement powers of Board. (g) Indefinite life span of Board. (h) Authorization of appropriations. 1465d. Assistance from other government agencies. 1465e. Compensation for Cuban interference with broadcasting in United States. (a) Interim assistance to United States broadcasters. (b) Money payments pursuant to authority from Federal Communications Commission. (c) Regulations and procedures. (d) Authorization of appropriations. (e) Four-year availability for appropriated funds. (f) Presidential task force. (g) Effective date. 1465f. Authorization of appropriations. 1465g. Independent evaluation of Cuba Service. SUBCHAPTER V-B - TELEVISION BROADCASTING TO CUBA 1465aa. Findings and purposes. 1465bb. Television broadcasting to Cuba. (a) Television broadcasting to Cuba. (b) Voice of America standards. (c) USIA Television Marti. (d) Frequent assignment. (e) Interference with domestic broadcasting. (f) Monitoring of interference. (g) Task force. 1465cc. Television Marti Service of United States Information Agency. (a) Television Marti Service. (b) Use of existing facilities of USIA. (c) USIA authority. 1465dd. Assistance from other Government agencies. 1465ee. Authorization of appropriations. (a) Authorization of appropriations. (b) Limitation. 1465ff. Definitions. SUBCHAPTER VI - ADVISORY COMMISSIONS TO FORMULATE POLICIES 1466 to 1468. Omitted. 1469. United States Advisory Commission on Public Diplomacy. (a) Establishment. (b) Staff. (c) Duties and responsibilities. (d) Limitation on authority. SUBCHAPTER VII - ADMINISTRATIVE PROCEDURE 1471. Authority of Director of United States Information Agency. 1472. United States Information Agency and other Government agencies. (a) Authority of agencies. (b) Contracts for telecommunication activities, etc.; availability of appropriations; cancellation costs. 1473. Use of existing Government property and facilities. 1474. Additional authority of Director of United States Information Agency or other Government agency authorized to administer provisions. 1475. Travel expenses. 1475a. Replacement of passenger motor vehicles. 1475b. Seal of United States Information Agency; judicial notice. 1475c. Acting Associate Directors. 1475d. Compensation for disability or death. 1475e. Use of certain fees and payments. 1475f. Debt collection. (a) Contract authority. (b) Disclosure of delinquent debt to credit reporting agencies. SUBCHAPTER VIII - APPROPRIATIONS AND OTHER FUNDS 1476. Prior authorizations by Congress. 1477. Transfer of funds. 1477a. Omitted. 1477b. Nondiscretionary personnel costs and currency fluctuations. (a) Availability of appropriations until expended. (b) Additional appropriations. (c) Appropriations authorization based on currency fluctuations. 1477c. Notification of reprogramings and grants; covered programs, projects, or activities; award of program grants. (a) Availability of appropriated funds. (b) Notification to Congressional committees. (c) Period of availability of appropriated funds. 1478. Reimbursement of program expenses from sources other than appropriations; disposition of receipts. 1479. Advancement of funds, property, or services by foreign governments; disposition; availability; return of unexpended balances or property. 1480. Repealed. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 2054, 2056, 2075, 2275, 2458, 2681 of this title. ------DocID 31501 Document 1403 of 1438------ -CITE- 24 USC Sec. 18 -EXPCITE- TITLE 24 CHAPTER 1 -HEAD- Sec. 18. Rules and regulations for Army and Navy Hospital -STATUTE- The Army and Navy General Hospital at Hot Springs, Arkansas, shall be subject to such rules, regulations, and restrictions as shall be provided by the President of the United States and shall remain under the jurisdiction and control of the Department of the Army. -SOURCE- (June 30, 1882, ch. 254, Sec. 1, 22 Stat. 121; June 18, 1930, ch. 525, Sec. 2, 46 Stat. 781; July 26, 1947, ch. 343, title II, Sec. 205(a), 61 Stat. 501.) -MISC1- AMENDMENTS 1930 - Act June 18, 1930, provided that the hospital was to be subject to the jurisdiction and control of the Department of War. -CHANGE- CHANGE OF NAME Department of War designated Department of the Army and title of Secretary of War changed to Secretary of the Army by act July 26, 1947, ch. 343, title II, Sec. 205(a), 61 Stat. 501. Section 205(a) of act July 26, 1947, was repealed by act Aug. 10, 1956, ch. 1041, Sec. 53, 70A Stat. 641. Section 1 of act Aug. 10, 1956 enacted 'Title 10, Armed Forces', which in sections 3010 to 3013 continued the Department of the Army under the administrative supervision of a Secretary of the Army. -EXEC- EX. ORD. NO. 10272. DELEGATION OF AUTHORITY TO THE SECRETARY OF THE ARMY Ex. Ord. No. 10272, July 10, 1951, 16 F.R. 6711, provided: By virtue of the authority vested in me by section 1 of the act of August 8, 1950, c. 646, 64 Stat. 419 (section 301 of Title 3 The President), and as President of the United States, it is hereby ordered that the Secretary of the Army be, and he is hereby, designated and empowered to exercise the authority vested in the President by section 1 of the act of June 30, 1882, 22 Stat. 117, 121, as amended (this section), to provide rules, regulations, and restrictions with respect to the Army and Navy hospital at Hot Springs, Arkansas: Provided, That the rules, regulations, and restrictions prescribed under the authority of this order shall, so far as feasible, be uniform with those obtaining with respect to other hospitals under the jurisdiction of the Department of the Army, and that those prescribed by the Executive order of August 25, 1892, as amended by Executive Order No. 6885 of October 23, 1934, shall continue in force and effect until amended, modified, or revoked by the Secretary of the Army in action taken pursuant to this order. Harry S. Truman. ------DocID 32418 Document 1404 of 1438------ -CITE- 25 USC Sec. 640d-18 -EXPCITE- TITLE 25 CHAPTER 14 SUBCHAPTER XXII -HEAD- Sec. 640d-18. Reduction of livestock within joint use area -STATUTE- (a) Institution of conservation practices Notwithstanding any provision of this subchapter, or any order of the District Court pursuant to section 640d-2 or 640d-3 of this title, the Secretary is authorized and directed to immediately commence reduction of the numbers of all the livestock now being grazed upon the lands within the joint use area and complete such reductions to carrying capacity of such lands, as determined by the usual range capacity standards as established by the Secretary after December 22, 1974. The Secretary is directed to institute such conservation practices and methods within such area as are necessary to restore the grazing potential of such area to the maximum extent feasible. (b) Survey location of monuments and fencing of boundaries The Secretary, upon the date of issuance of an order of the District Court pursuant to sections 640d-7 and 640d-2 or 640d-3 of this title, shall provide for the survey location of monuments, and fencing of boundaries of any lands partitioned pursuant to sections 640d-7 and 640d-2 or 640d-3 of this title. (c) Completion of surveying, monumenting, and fencing operations and livestock reduction program (1) Surveying, monumenting, and fencing as required by subsection (b) of this section shall be completed within twelve months after July 8, 1980, with respect to lands partitioned pursuant to section 640d-3 of this title and within twelve months after a final order of partition with respect to any lands partitioned pursuant to section 640d-7 of this title. (2) The livestock reduction program required under subsection (a) of this section shall be completed within eighteen months after July 8, 1980. -SOURCE- (Pub. L. 93-531, Sec. 19, Dec. 22, 1974, 88 Stat. 1721; Pub. L. 96-305, Sec. 8, July 8, 1980, 94 Stat. 932.) -MISC1- AMENDMENTS 1980 - Subsec. (c). Pub. L. 96-305 added subsec. (c). -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 640d-24 of this title. ------DocID 33068 Document 1405 of 1438------ -CITE- 25 USC CHAPTER 18 -EXPCITE- TITLE 25 CHAPTER 18 -HEAD- CHAPTER 18 - INDIAN HEALTH CARE -MISC1- GENERAL PROVISIONS Sec. 1601. Congressional findings. 1602. Congressional declaration of policy. 1603. Definitions. SUBCHAPTER I - INDIAN HEALTH PROFESSIONAL PERSONNEL 1611. Congressional statement of purpose. 1612. Health professions recruitment program for Indians. (a) Grants for education and training. (b) Application for grant; submittal and approval; preference; payment. (c) Authorization of appropriations. 1613. Health professions preparatory scholarship program for Indians. (a) Requirements. (b) Purposes and duration of grants; preprofessional and pregraduate education. (c) Covered expenses. (d) Basis for denial of assistance. (e) Authorization of appropriations. 1613a. Indian health professions scholarships. (a) General authority. (b) Recipients; active duty service obligation. (c) 'Indian' defined. (d) Authorization of appropriations. 1614. Indian health service extern programs. (a) Employment of scholarship grantees during nonacademic periods. (b) Employment of medical and other students during nonacademic periods. (c) Employment without regard to competitive personnel system or agency personnel limitation; compensation. (d) Authorization of appropriations. 1615. Continuing education allowances. (a) Discretionary authority; scope of activities. (b) Authorization of appropriations. 1616. Community Health Representative Program. 1616a. Indian Health Service Loan Repayment Program. (a) Establishment. (b) Eligibility. (c) Application and contract forms. (d) Vacancies; priority. (e) Approval. (f) Contract terms. (g) Loan repayment purposes; maximum amount; tax liability reimbursement; schedule of payments. (h) Effect on employment ceiling of Department of Health and Human Services. (i) Recruiting programs. (j) Prohibition of assignment to other government departments. (k) Staff needs of health programs administered by Indian tribes. (l) Voluntary termination of study or dismissal from educational institution; collection of damages. (m) Cancellation or waiver of obligations; bankruptcy discharge. (n) Annual report. (o) Authorization of appropriations. 1616b. Travel expenses for recruitment. 1616c. Tribal recruitment and retention program. (a) Projects funded on competitive basis. (b) Eligibility. (c) Authorization of appropriations. 1616d. Advanced training and research. (a) Establishment of program. (b) Obligated service. (c) Eligibility. (d) Regulations. 1616e. Nursing program. (a) Grants. (b) Purposes. (c) Application. (d) Preference. (e) Service obligation. (f) Authorization of appropriations. 1616f. Tribal culture and history. (a) Program established. (b) Tribally-controlled community colleges. (c) Authorization of appropriations. 1616g. INMED program. (a) Grants. (b) University of North Dakota. (c) Regulations; contents of recruitment program. (d) Report to Congress. (e) Authorization of appropriations. 1616h. Health training programs of community colleges. (a) Grants. (b) Eligibility. (c) Agreements and technical assistance. (d) Advanced training. (e) Definitions. (f) Authorization of appropriations. 1616i. Additional incentives for health professionals. (a) Incentive special pay. (b) List of positions; bonus pay. (c) Work schedules. (d) Report to Congress. (e) Authorization of appropriations. 1616j. Retention bonus. (a) Eligibility. (b) Rates; maximum rate. (c) Time of payment. (d) Refund; interest. (e) Authorization of appropriations. SUBCHAPTER II - HEALTH SERVICES 1621. Improvement of Indian health status. (a) Approved expenditures. (b) Effect on other appropriations; allocation to service units. (c) Health resources deficiency levels. (d) Programs administered by Indian tribe. (e) Report to Congress. (f) Statement for Presidential budget. (g) Continuation of Service responsibilities for backlogs and parity. (h) Authorization of appropriations. 1621a. Catastrophic Health Emergency Fund. (a) Establishment; administration; purpose. (b) Regulations; procedures for payment. (c) Effect on other appropriations. (d) Reimbursements to Fund. (e) Authorization of appropriations. 1621b. Health promotion and disease prevention services. (a) Authorization. (b) Evaluation statement for Presidential budget. (c) Demonstration project; authorization of appropriations. 1621c. Diabetes prevention, treatment, and control. (a) Incidence and complications. (b) Screening. (c) Model diabetes projects. (d) Control officer; registry of patients. (e) Authorization of appropriations. 1621d. Repealed. 1621e. Reimbursement from certain third parties of costs of health services. (a) Right of recovery. (b) Recovery against State with workers' compensation laws or no-fault automobile accident insurance program. (c) Prohibition of State law or contract provision impeding right of recovery. (d) Right to damages. (e) Intervention or separate civil action. 1621f. Crediting of reimbursements. 1621g. Health services research. 1621h. Mental health prevention and treatment services. (a) National plan for Indian Mental Health Services. (c) Memorandum of agreement. (d) Community mental health plan. (e) Mental health training and community education programs. (f) Staffing. (g) Staff recruitment and retention. (h) Mental Health Technician program. (i) Mental health research. (j) Facilities assessment. (k) Annual report. (l) Mental health demonstration grant program. 1622. Grants to and contracts with tribal organizations. (a) Access to health services. (b) Terms and conditions. (c) Authorization of appropriations. SUBCHAPTER III - HEALTH FACILITIES 1631. Consultation; closure of facilities; reports. (a) Consultation; standards for accreditation. (b) Closure; report on proposed closure. (c) Construction information in Presidential budget. (d) Annual report on health facility priority system. (e) Funds appropriated subject to sections 450f and 450g(b) of this title. 1632. Safe water and sanitary waste disposal facilities. (a) Congressional findings. (b) Authority; assistance; transfer of funds. (c) 10-year plan. (d) Tribal capability. (e) User fees. (f) Eligibility of programs administered by Indian tribes. (g) Annual report; sanitation deficiency levels. (h) Authorization of appropriations. 1633. Preference to Indians and Indian firms. (a) Discretionary authority; covered activities. (b) Pay rates. 1634. Expenditure of non-Service funds for renovation. (a) Authority of Secretary. (b) Requirements. (c) Higher priority project. (d) Recovery for non-use as Service facility. 1635. Repealed. 1636. Bethel, Alaska, Hospital. (a) Judicial review. (b) Exchange of real property. (c) Purchase at fair market value. (d) Identification of real property and lands. 1637. Indian health care delivery demonstration project. (a) Health care delivery demonstration projects. (b) Use of funds. (c) Criteria. (d) Technical assistance. (e) Service to ineligible persons. (f) Equitable treatment. (g) Equitable integration of facilities. (h) Report to Congress. (i) Authorization of appropriations. SUBCHAPTER IV - HEALTH SERVICES FOR URBAN INDIANS 1651. Purpose. 1652. Contracts with urban Indian organizations. 1653. Contracts for provision of health care and referral services. (a) Requirements. (b) Criteria for selection of organizations to enter into contracts. (c) Grants for health promotion and disease prevention services. (d) Grants for immunization services. (e) Grants for mental health services. (f) Grants for prevention and treatment of child abuse. 1654. Contracts for determination of unmet health care needs. (a) Authority. (b) Requirements. (c) Renewal. 1655. Evaluations; contract renewals. (a) Contract compliance and performance. (b) Annual onsite evaluation. (c) Noncompliance or unsatisfactory performance. (d) Contract renewals. 1656. Other contract requirements. (a) Federal regulations; exceptions. (b) Payment. (c) Revision or amendment. (d) Existing Government facilities. (e) Uniform provision of services and assistance. (f) Eligibility for health care or referral services. 1657. Reports and records. (a) Quarterly reports. (b) Audit by Secretary and Comptroller General. (c) Cost of annual private audit. (d) Health status, services, and areas of unmet needs; child welfare. 1658. Limitation on contract authority. 1659. Facilities renovation. 1660. Urban Health Programs Branch. (a) Establishment. (b) Staff, services, and equipment. SUBCHAPTER V - ORGANIZATIONAL IMPROVEMENTS 1661. Establishment of Indian Health Service as an agency of Public Health Service. (a) Establishment. (b) Agency status. (c) Duties. (d) Authority of Secretary. 1662. Automated management information system. (a) Establishment; report to Congress. (b) Provisions to Indian tribes and organizations; reimbursement. (c) Access to records. SUBCHAPTER VI - MISCELLANEOUS PROVISIONS 1671. Annual report to President and Congress; review of programs and expenditures; assessments and recommendations. 1672. Rules and regulations. (a) Formulation, etc. (b) Revision and amendment; publication in Federal Register. 1673. Plan of implementation; submittal to Congress. 1674. Leases with Indian tribes. 1675. Availability of funds. 1676. Limitation on use of funds appropriated to Indian Health Service. 1677. Nuclear resource development health hazards. (a) Study. (b) Health care plan; development. (c) Reports to Congress. (d) Intergovernmental Task Force; establishment and functions. (e) Medical care. (f) Authorization of appropriation. 1678. Arizona as a contract health service delivery area. (a) Designation. (b) Curtailment of health services prohibited. 1679. Eligibility of California Indians. (a) Report to Congress. (b) Eligible Indians. (c) Scope of eligibility. 1680. California as a contract health service delivery area. 1680a. Contract health facilities. 1680b. National Health Service Corps. 1680c. Health services for ineligible persons. (a) Individuals not otherwise eligible. (b) Health facilities providing health service. (c) Purposes served in providing health services to otherwise ineligible individuals. (d) Extension of hospital privileges to non-Service health care practitioners. (e) 'Eligible Indian' defined. 1680d. Infant and maternal mortality; fetal alcohol syndrome. (a) Plan development and implementation. (b) Budget statement. 1680e. Contract health services for the Trenton Service Area. (a) Service to Turtle Mountain Band. (b) Band member eligibility not expanded. 1680f. Indian Health Service and Veterans' Administration health facilities and services sharing. (a) Feasibility study and report. (b) Nonimpairment of service quality, eligibility, or priority of access. (c) Cross utilization of services. (d) Right to health services. 1680g. Reallocation of base resources. (a) Report to Congress. (b) Appropriated amounts. 1680h. Demonstration projects for tribal management of health care services. (a) Establishment; grants. (b) Health care contracts. (c) Waiver of procurement laws. (d) Termination; evaluation and report. (e) Authorization of appropriations. 1680i. Child sexual abuse treatment programs. (a) Demonstration programs. (b) Authorization of appropriations. 1680j. Pueblo substance abuse treatment project for San Juan Pueblo, New Mexico. (a) Grants. (b) Authorization of appropriations. 1681. Billing of Indians by Indian Health Service. 1682. Subrogation of claims by Indian Health Service. 1683. Indian Catastrophic Health Emergency Fund. ------DocID 36996 Document 1406 of 1438------ -CITE- 28 USC APPENDIX - RULES OF APPELLATE PROCEDURE Rule 18 -EXPCITE- TITLE 28 APPENDIX FEDERAL RULES OF APPELLATE PROCEDURE TITLE IV -HEAD- Rule 18. Stay pending review -STATUTE- Application for a stay of a decision or order of an agency pending direct review in the court of appeals shall ordinarily be made in the first instance to the agency. A motion for such relief may be made to the court of appeals or to a judge thereof, but the motion shall show that application to the agency for the relief sought is not practicable, or that application has been made to the agency and denied, with the reasons given by it for denial, or that the action of the agency did not afford the relief which the applicant had requested. The motion shall also show the reasons for the relief requested and the facts relied upon, and if the facts are subject to dispute the motion shall be supported by affidavits or other sworn statements or copies thereof. With the motion shall be filed such parts of the record as are relevant to the relief sought. Reasonable notice of the motion shall be given to all parties to the proceeding in the court of appeals. The court may condition relief under this rule upon the filing of a bond or other appropriate security. The motion shall be filed with the clerk and normally will be considered by a panel or division of the court, but in exceptional cases where such procedure would be impracticable due to the requirements of time, the application may be made to and considered by a single judge of the court. -MISC1- NOTES OF ADVISORY COMMITTEE ON APPELLATE RULES While this rule has no counterpart in present rules regulating review of agency proceedings, it merely assimilates the procedure for obtaining stays in agency proceedings with that for obtaining stays in appeals from the district courts. The same considerations which justify the requirement of an initial application to the district court for a stay pending appeal support the requirement of an initial application to the agency pending review. See Note accompanying Rule 8. Title 5, U.S.C. Sec. 705 (5 U.S.C.A. Sec. 705 (1966 Pamphlet)) confers general authority on both agencies and reviewing courts to stay agency action pending review. Many of the statutes authorizing review of agency action by the courts of appeals deal with the question of stays, and at least one, the Act of June 15, 1936, 49 Stat. 1499 (7 U.S.C. Sec. 10a), prohibits a stay pending review. The proposed rule in nowise affects such statutory provisions respecting stays. By its terms, it simply indicates the procedure to be followed when a stay is sought. -CROSS- CROSS REFERENCES Administrative procedure, generally, see section 551 et seq. of Title 5, Government Organization and Employees. Federal Communications Commission, Civil Aeronautics Board and Federal Reserve Board, review of orders, see section 21 of Title 15, Commerce and Trade. Federal Power Act, review of orders under, see section 825l of Title 16, Conservation. Federal Trade Commission, review of orders, see sections 21 and 45 of Title 15, Commerce and Trade. Interstate Commerce Commission, review of orders, see sections 1253 and 2321 et seq. of this title and section 21 of Title 15. Orders of Federal agencies, see section 2341 et seq. of this title. ------DocID 37059 Document 1407 of 1438------ -CITE- 28 USC APPENDIX - RULES OF CIVIL PROCEDURE Rule 18 -EXPCITE- TITLE 28 APPENDIX FEDERAL RULES OF CIVIL PROCEDURE IV -HEAD- Rule 18. Joinder of Claims and Remedies -STATUTE- (a) Joinder of Claims. A party asserting a claim to relief as an original claim, counterclaim, cross-claim, or third-party claim, may join, either as independent or as alternate claims, as many claims, legal, equitable, or maritime, as the party has against an opposing party. (b) Joinder of Remedies; Fraudulent Conveyances. Whenever a claim is one heretofore cognizable only after another claim has been prosecuted to a conclusion, the two claims may be joined in a single action; but the court shall grant relief in that action only in accordance with the relative substantive rights of the parties. In particular, a plaintiff may state a claim for money and a claim to have set aside a conveyance fraudulent as to that plaintiff, without first having obtained a judgment establishing the claim for money. -SOURCE- (As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES Note to Subdivision (a). 1. Recent development, both in code and common law states, has been toward unlimited joinder of actions. See Ill.Rev.Stat. (1937) ch. 110, Sec. 168; N.J.S.A. 2:27-37, as modified by N.J.Sup.Ct.Rules, Rule 21, 2 N.J.Misc. 1208 (1924); N.Y.C.P.A. (1937) Sec. 258 as amended by Laws of 1935, ch. 339. 2. This provision for joinder of actions has been patterned upon (former) Equity Rule 26 (Joinder of Causes of Action) and broadened to include multiple parties. Compare the English practice, English Rules Under the Judicature Act (The Annual Practice, 1937) O. 18, r.r. 1-9 (noting rules 1 and 6). The earlier American codes set forth classes of joinder, following the now abandoned New York rule. See N.Y.C.P.A. Sec. 258 before amended in 1935; Compare Kan.Gen.Stat.Ann. (1935) Sec. 60-601; Wis.Stat. (1935) Sec. 263.04 for the more liberal practice. 3. The provisions of this rule for the joinder of claims are subject to Rule 82 (Jurisdiction and Venue Unaffected). For the jurisdictional aspects of joinder of claims, see Shulman and Jaegerman, Some Jurisdictional Limitations on Federal Procedure (1936), 45 Yale L.J. 393, 397-410. For separate trials of joined claims, see Rule 42(b). Note to Subdivision (b). This rule is inserted to make it clear that in a single action a party should be accorded all the relief to which he is entitled regardless of whether it is legal or equitable or both. This necessarily includes a deficiency judgment in foreclosure actions formerly provided for in (former) Equity Rule 10 (Decree for Deficiency in Foreclosures, Etc.). In respect to fraudulent conveyances the rule changes the former rule requiring a prior judgment against the owner (Braun v. American Laundry Mach. Co., 56 F.2d 197 (S.D.N.Y. 1932)) to conform to the provisions of the Uniform Fraudulent Conveyance Act, Sec. 9 and 10. See McLaughlin, Application of the Uniform Fraudulent Conveyance Act, 46 Harv.L.Rev. 404, 444 (1933). NOTES OF ADVISORY COMMITTEE ON RULES - 1966 AMENDMENT The Rules 'proceed upon the theory that no inconvenience can result from the joinder of any two or more matters in the pleadings, but only from trying two or more matters together which have little or nothing in common.' Sunderland, The New Federal Rules, 45 W.Va.L.Q. 5, 13 (1938); see Clark, Code Pleading 58 (2d ed. 1947). Accordingly, Rule 18(a) has permitted a party to plead multiple claims of all types against an opposing party, subject to the court's power to direct an appropriate procedure for trying the claims. See Rules 42(b), 20(b), 21. The liberal policy regarding joinder of claims in the pleadings extends to cases with multiple parties. However, the language used in the second sentence of Rule 18(a) - 'if the requirements of Rules 19 (necessary joinder of parties), 20 (permissive joinder of parties), and 22 (interpleader) are satisfied' - has led some courts to infer that the rules regulating joinder of parties are intended to carry back to Rule 18(a) and to impose some special limits on joinder of claims in multiparty cases. In particular, Rule 20(a) has been read as restricting the operation of Rule 18(a) in certain situations in which a number of parties have been permissively joined in an action. In Federal Housing Admr. v. Christianson, 26 F.Supp. 419 (D.Conn. 1939), the indorsee of two notes sued the three comakers of one note, and sought to join in the action a count on a second note which had been made by two of the three defendants. There was no doubt about the propriety of the joinder of the three parties defendant, for a right to relief was being asserted against all three defendants which arose out of a single 'transaction' (the first note) and a question of fact or law 'common' to all three defendants would arise in the action. See the text of Rule 20(a). The court, however, refused to allow the joinder of the count on the second note, on the ground that this right to relief, assumed to arise from a distinct transaction, did not involve a question common to all the defendants but only two of them. For analysis of the Christianson case and other authorities, see 2 Barron & Holtzoff, Federal Practice & Procedure, Sec. 533.1 (Wright ed. 1961); 3 Moore's Federal Practice, par. 18.04(3) (2d ed. 1963). If the court's view is followed, it becomes necessary to enter at the pleading stage into speculations about the exact relation between the claim sought to be joined against fewer than all the defendants properly joined in the action, and the claims asserted against all the defendants. Cf. Wright, Joinder of Claims and Parties Under Modern Pleading Rules, 36 Minn.L.Rev. 580, 605-06 (1952). Thus if it could be found in the Christianson situation that the claim on the second note arose out of the same transaction as the claim on the first or out of a transaction forming part of a 'series,' and that any question of fact or law with respect to the second note also arose with regard to the first, it would be held that the claim on the second note could be joined in the complaint. See 2 Barron & Holtzoff, supra, at 199; see also id. at 198 n. 60.4; cf. 3 Moore's Federal Practice, supra, at 1811. Such pleading niceties provide a basis for delaying and wasteful maneuver. It is more compatible with the design of the Rules to allow the claim to be joined in the pleading, leaving the question of possible separate trial of that claim to be later decided. See 2 Barron & Holtzoff, supra, Sec. 533.1; Wright, supra, 36 Minn.L.Rev. at 604-11; Developments in the Law - Multiparty Litigation in the Federal Courts, 71 Harv. 874, 970-71 (1958); Commentary, Relation Between Joinder of Parties and Joinder of Claims, 5 F.R.Serv. 822 (1942). It is instructive to note that the court in the Christianson case, while holding that the claim on the second note could not be joined as a matter of pleading, held open the possibility that both claims would later be consolidated for trial under Rule 42(a). See 26 F.Supp. 419. Rule 18(a) is now amended not only to overcome the Christianson decision and similar authority, but also to state clearly as a comprehensive proposition, that a party asserting a claim (an original claim, counterclaim, cross-claim, or third-party claim) may join as many claims as he has against an opposing party. See Noland Co., Inc. v. Graver Tank & Mfg. Co., 301 F.2d 43, 49-51 (4th Cir. 1962); but cf. C. W. Humphrey Co. v. Security Alum. Co., 31 F.R.D. 41 (E.D.Mich. 1962) This permitted joinder of claims is not affected by the fact that there are multiple parties in the action. The joinder of parties is governed by other rules operating independently. It is emphasized that amended Rule 18(a) deals only with pleading. As already indicated, a claim properly joined as a matter of pleading need not be proceeded with together with the other claim if fairness or convenience justifies separate treatment. Amended Rule 18(a), like the rule prior to amendment, does not purport to deal with questions of jurisdiction or venue which may arise with respect to claims properly joined as a matter of pleading. See Rule 82. See also the amendment of Rule 20(a) and the Advisory Committee's Note thereto. Free joinder of claims and remedies is one of the basic purposes of unification of the admiralty and civil procedure. The amendment accordingly provides for the inclusion in the rule of maritime claims as well as those which are legal and equitable in character. NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT The amendments are technical. No substantive change is intended. -CROSS- FORMS Claim for debt and to set aside fraudulent conveyance, see form 13, Appendix of Forms. CROSS REFERENCES Counterclaims, see rule 13. General rules of pleading, see rule 8. One form of action, see rule 2. Separate trial of joined claims, see rule 42. Severance of claim against party, see rule 21. ------DocID 37158 Document 1408 of 1438------ -CITE- 28 USC APPENDIX - RULES OF CIVIL PROCEDURE Form 18 -EXPCITE- TITLE 28 APPENDIX FEDERAL RULES OF CIVIL PROCEDURE APPENDIX OF FORMS -HEAD- Form 18. Complaint for Interpleader and Declaratory Relief -STATUTE- 1. Allegation of jurisdiction. 2. On or about June 1, 1935, plaintiff issued to G. H. a policy of life insurance whereby plaintiff promised to pay to K. L. as beneficiary the sum of XXX dollars upon the death of G. H. The policy required the payment by G. H. of a stipulated premium on June 1, 1936, and annually thereafter as a condition precedent to its continuance in force. 3. No part of the premium due June 1, 1936, was ever paid and the policy ceased to have any force or effect on July 1, 1936. 4. Thereafter, on September 1, 1936, G. H. and K. L. died as the result of a collision between a locomotive and the automobile in which G. H. and K. L. were riding. 5. Defendant C. D. is the duly appointed and acting executor of the will of G. H.; defendant E. F. is the duly appointed and acting executor of the will of K. L.; defendant X. Y. claims to have been duly designated as beneficiary of said policy in place of K. L. 6. Each of defendants, C. D., E. F., and X. Y. is claiming that the above-mentioned policy was in full force and effect at the time of the death of G. H.; each of them is claiming to be the only person entitled to receive payment of the amount of the policy and has made demand for payment thereof. 7. By reason of these conflicting claims of the defendants, plaintiff is in great doubt as to which defendant is entitled to be paid the amount of the policy, if it was in force at the death of G. H. Wherefore plaintiff demands that the court adjudge: (1) That none of the defendants is entitled to recover from plaintiff the amount of said policy or any part thereof. (2) That each of the defendants be restrained from instituting any action against plaintiff for the recovery of the amount of said policy or any part thereof. (3) That, if the court shall determine that said policy was in force at the death of G. H., the defendants be required to interplead and settle between themselves their rights to the money due under said policy, and that plaintiff be discharged from all liability in the premises except to the person whom the court shall adjudge entitled to the amount of said policy. (4) That plaintiff recover its costs. -SOURCE- (As amended Jan. 21, 1963, eff. July 1, 1963.) -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES - 1963 AMENDMENT This form was amended in 1963 by deleting the stated dollar amount and substituting a blank, to be properly filled in by the pleader. See Note of Advisory Committee under Form 3. ------DocID 37159 Document 1409 of 1438------ -CITE- 28 USC APPENDIX - RULES OF CIVIL PROCEDURE Form 18-A -EXPCITE- TITLE 28 APPENDIX FEDERAL RULES OF CIVIL PROCEDURE APPENDIX OF FORMS -HEAD- Form 18-A. Notice and Acknowledgment for Service by Mail -STATUTE- UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK CIVIL ACTION, FILE NUMBER XX A. B., Plaintiff Notice and Acknowledgment v. W of Receipt of Summons C.D., Defendant and Complaint NOTICE To: (insert the name and address of the person to be served.) The enclosed summons and complaint are served pursuant to Rule 4(c)(2)(C)(ii) of the Federal Rules of Civil Procedure. You must complete the acknowledgment part of this form and return one copy of the completed form to the sender within 20 days. You must sign and date the acknowledgment. If you are served on behalf of a corporation, unincorporated association (including a partnership), or other entity, you must indicate under your signature your relationship to that entity. If you are served on behalf of another person and you are authorized to receive process, you must indicate under your signature your authority. If you do not complete and return the form to the sender within 20 days, you (or the party on whose behalf you are being served) may be required to pay any expenses incurred in serving a summons and complaint in any other manner permitted by law. If you do complete and return this form, you (or the party on whose behalf you are being served) must answer the complaint within 20 days. If you fail to do so, judgment by default will be taken against you for the relief demanded in the complaint. I declare, under penalty of perjury, that this Notice and Acknowledgment of Receipt of Summons and Complaint will have been mailed on (insert date). XXXXXXXXXXXXXXXXXXXXX Signature XXXXXXXXXXXXXXXXXXXXX Date of Signature ACKNOWLEDGMENT OF RECEIPT OF SUMMONS AND COMPLAINT I declare, under penalty of perjury, that I received a copy of the summons and of the complaint in the above-captioned matter at (insert address). XXXXXXXXXXXXXXXXXXXXX Signature XXXXXXXXXXXXXXXXXXXXX Relationship to Entity/Authority to Receive Service of Process XXXXXXXXXXXXXXXXXXXXX Date of Signature -SOURCE- (Added Pub. L. 97-462, Sec. 3, Jan. 12, 1983, 96 Stat. 2528, and amended Apr. 29, 1985, eff. Aug. 1, 1985.) -MISC1- EFFECTIVE DATE Form 18-A effective 45 days after Jan. 12, 1983, see section 4 of Pub. L. 97-462, set out as an Effective Date of 1983 Amendment note under section 2071 of this title. ------DocID 37282 Document 1410 of 1438------ -CITE- 28 USC APPENDIX - RULES OF THE SUPREME COURT Rule 18 -EXPCITE- TITLE 28 APPENDIX RULES OF THE SUPREME COURT OF THE UNITED STATES PART IV -HEAD- Rule 18. Appeal from a United States District Court -STATUTE- .1. A direct appeal from a decision of a United States district court, when authorized by law, is commenced by filing a notice of appeal with the clerk of the district court within 30 days after the entry of the judgment sought to be reviewed. The time may not be extended. The notice of appeal shall specify the parties taking the appeal, shall designate the judgment, or part thereof, appealed from and the date of its entry, and shall specify the statute or statutes under which the appeal is taken. A copy of the notice of appeal shall be served on all parties to the proceeding pursuant to Rule 29 and proof of service must be filed in the district court with the notice of appeal. .2. All parties to the proceeding in the district court shall be deemed parties to the appeal, but a party having no interest in the outcome of the appeal may so notify the Clerk of this Court and shall serve a copy of the notice on all other parties. Parties interested jointly, severally, or otherwise in the judgment may appeal separately; or any two or more may join in an appeal. .3. Not more than 60 days after the filing of the notice of appeal in the district court, counsel for the appellant shall file, with proof of service as prescribed by Rule 29, 40 printed copies of a statement as to jurisdiction and pay the docket fee prescribed by Rule 38. The jurisdictional statement shall follow, insofar as applicable, the form for a petition for a writ of certiorari prescribed by Rule 14. The appendix must also include a copy of the notice of appeal showing the date it was filed in the district court. The jurisdictional statement and the appendices thereto must be produced in conformity with Rule 33, except that a party proceeding in forma pauperis may proceed in the manner prescribed in Rule 39. A Justice of this Court may, for good cause shown, extend the time for filing a jurisdictional statement for a period not exceeding 60 days. An application to extend the time to file a jurisdictional statement must set out the basis of jurisdiction in this Court, must identify the judgment to be reviewed, must include a copy of the opinion, any order respecting rehearing, and the notice of appeal, and must set forth specific reasons why the granting of an extension of time is justified. For the time and manner of presenting the application, see Rules 21, 22, and 30. An application to extend the time to file a jurisdictional statement is not favored. .4. The clerk of the district court shall retain possession of the record pending notification from the Clerk of this Court that the record is to be certified and transmitted. See Rule 12.5. .5. After a notice of appeal has been filed, but before the case is docketed in this Court, the parties may dismiss the appeal by stipulation filed in the district court, or the district court may dismiss the appeal upon motion of the appellant and notice to all parties. If a notice of appeal has been filed, but the case has not been docketed in this Court within the time prescribed for docketing or any enlargement thereof, the district court may dismiss the appeal upon the motion of the appellee and notice to all parties and may make any order with respect to costs as may be just. If an appellee's motion to dismiss the appeal is not granted, the appellee may have the case docketed in this Court and may seek to have the appeal dismissed by filing a motion pursuant to Rule 21. If the appeal is dismissed, the Court may give judgment for costs against the appellant. .6. Within 30 days after receipt of the jurisdictional statement, the appellee may file 40 printed copies of a motion to dismiss, to affirm, or, in the alternative, to affirm and dismiss. The motion shall comply in all respects with Rules 21 and 33, except that a party proceeding in forma pauperis may proceed in the manner provided in Rule 39. The Court may permit the appellee to defend a judgment on any ground that the law and record permit and that would not expand the relief granted. .7. Upon the filing of the motion, or the expiration of the time allowed therefor, or an express waiver of the right to file, the jurisdictional statement and motion, if any, will be distributed by the Clerk to the Court for its consideration. .8. A brief opposing a motion to dismiss or affirm may be filed by an appellant, but distribution to the Court under paragraph .7 of this Rule will not be delayed pending its receipt. Forty copies, prepared in accordance with Rule 33 and served as prescribed by Rule 29, shall be filed. .9. Any party may file a supplemental brief at any time while a jurisdictional statement is pending, calling attention to new cases, new legislation, or other intervening matter not available at the time of the party's last filing. Forty copies, prepared in accordance with Rule 33 and served as prescribed by Rule 29, shall be filed. .10. After consideration of the papers distributed under this Rule, the Court may summarily dispose of the appeal on the merits, note probable jurisdiction, or postpone jurisdiction to the hearing on the merits. If not disposed of summarily, the case will stand for briefing and oral argument on the merits. If consideration of jurisdiction is postponed, counsel, at the outset of their briefs and at oral argument, shall address the question of jurisdiction. -CROSS- CROSS REFERENCES Direct appeals from decisions of district court of three judges, see section 1253 of this title. Time for appeal and docketing, see section 2101 of this title. ------DocID 37340 Document 1411 of 1438------ -CITE- 28 USC APPENDIX - RULES OF CLAIMS COURT Rule 18 -EXPCITE- TITLE 28 APPENDIX RULES OF THE UNITED STATES CLAIMS COURT TITLE IV -HEAD- Rule 18. Joinder of Claims and Remedies -STATUTE- (a) Joinder of Claims. A party asserting a claim to relief as an original claim, counterclaim, or third-party claim, may join, either as independent or as alternate claims, as many claims as the party has against an opposing party. (b) Joinder of Remedies. Whenever a claim is one heretofore cognizable only after another claim has been prosecuted to a conclusion, the two claims may be joined in a single action; but the court shall grant relief in that action only in accordance with the relative substantive rights of the parties. ------DocID 37445 Document 1412 of 1438------ -CITE- 28 USC APPENDIX - RULES OF THE COURT OF INTERNATIONAL TRADE Rule 18 -EXPCITE- TITLE 28 APPENDIX RULES OF THE UNITED STATES COURT OF INTERNATIONAL TRADE TITLE IV -HEAD- Rule 18. Joinder of Claims and Remedies -STATUTE- (a) Joinder of Claims. A party asserting a claim to relief as an original claim, counterclaim, cross-claim, or third-party claim, may join, either as independent or as alternate claims, as many claims, legal or equitable, as the party has against an opposing party, except that in an action described in 28 U.S.C. Sec. 1581(a), a party may join claims only if they involve a common issue. (b) Joinder of Remedies. Whenever a claim is one heretofore cognizable only after another claim has been prosecuted to a conclusion, the two claims may be joined in a single action; but the court shall grant relief in that action only in accordance with the relative substantive rights of the parties. In particular, a plaintiff may state a claim for money and a claim to have set aside a conveyance fraudulent as to that plaintiff, without first having obtained a judgment establishing the claim for money. -SOURCE- (As amended July 28, 1988, eff. Nov. 1, 1988.) ------DocID 37588 Document 1413 of 1438------ -CITE- 29 USC Sec. 18 to 18c -EXPCITE- TITLE 29 CHAPTER 2A -HEAD- Sec. 18 to 18c. Transferred -COD- CODIFICATION Section 18, acts Apr. 9, 1912, ch. 73, Sec. 1, 37 Stat. 79; Mar. 4, 1913, ch. 141, Sec. 3, 37 Stat. 737, which established a Children's Bureau in Department of Labor, was transferred to section 191 of Title 42, The Public Health and Welfare. Section 18a, acts Apr. 9, 1912, ch. 73, Sec. 2, 37 Stat. 79; Mar. 4, 1913, ch. 141, Sec. 3, 6, 37 Stat. 737, 738; Feb. 27, 1925, ch. 364, title IV, 43 Stat. 1050, which created office of chief of Children's Bureau, and enumerated powers and duties of said Bureau, was transferred to section 192 of Title 42. Section 18b, acts Apr. 9, 1912, ch. 73, Sec. 3, 37 Stat. 80; Mar. 4, 1913, ch. 141, Sec. 3, 6, 37 Stat. 737, 738, which created office of Assistant Chief of Children's Bureau, was transferred to section 193 of Title 42. Section 18c, acts Apr. 9, 1912, ch. 73, Sec. 4, 37 Stat. 80; Mar. 4, 1913, ch. 141, Sec. 3, 37 Stat. 737, which related to quarters for Children's Bureau, was transferred to section 194 of Title 42. ------DocID 38018 Document 1414 of 1438------ -CITE- 29 USC CHAPTER 18 -EXPCITE- TITLE 29 CHAPTER 18 -HEAD- CHAPTER 18 - EMPLOYEE RETIREMENT INCOME SECURITY PROGRAM -MISC1- SUBCHAPTER I - PROTECTION OF EMPLOYEE BENEFIT RIGHTS SUBTITLE A - GENERAL PROVISIONS Sec. 1001. Congressional findings and declaration of policy. (a) Benefit plans as affecting interstate commerce and the Federal taxing power. (b) Protection of interstate commerce and beneficiaries by requiring disclosure and reporting, setting standards of conduct, etc., for fiduciaries. (c) Protection of interstate commerce, the Federal taxing power, and beneficiaries by vesting of accrued benefits, setting minimum standards of funding, requiring termination insurance. 1001a. Additional Congressional findings and declaration of policy. (a) Effects of multiemployer pension plans. (b) Modification of multiemployer plan termination insurance provisions and replacement of program. (c) Policy. 1001b. Findings and declaration of policy. (a) Findings. (b) Additional findings. (c) Declaration of policy. 1002. Definitions. 1003. Coverage. SUBTITLE B - REGULATORY PROVISIONS PART 1 - REPORTING AND DISCLOSURE 1021. Duty of disclosure and reporting. (a) Summary plan description and information to be furnished to participants and beneficiaries. (b) Plan description, modifications and changes, and reports to be filed with Secretary of Labor. (c) Terminal and supplementary reports. (d) Notice of failure to meet minimum funding standards. (e) Notice of transfer of excess pension assets to health benefits accounts. (f) Cross reference. 1022. Plan description and summary plan description. 1023. Annual reports. (a) Publication and filing. (b) Financial statement. (c) Information to be furnished by administrator. (d) Actuarial statement. (e) Statement from insurance company, insurance service, or other similar organizations which sell or guarantee plan benefits. 1024. Filing and furnishing of information. (a) Filing of annual report, plan description, summary plan description, and modifications and changes with Secretary. (b) Publication of summary plan description and annual report to participants and beneficiaries of plan. (c) Statement of rights. (d) Cross references. 1025. Reporting of participant's benefit rights. (a) Statement furnished by administrator to participants and beneficiaries. (b) One-per-year limit on reports. (c) Individual statement furnished by administrator to participants setting forth information in administrator's Internal Revenue registration statement and notification of forfeitable benefits. (d) Plans to which more than one unaffiliated employer is required to contribute; regulations. 1026. Reports made public information. 1027. Retention of records. 1028. Reliance on administrative interpretations. 1029. Forms. (a) Information required on forms. (b) Information not required on forms. (c) Format and content of summary plan description, annual report, etc., required to be furnished to plan participants and beneficiaries. 1030. Alternative methods of compliance. 1031. Repeal and effective date. PART 2 - PARTICIPATION AND VESTING 1051. Coverage. 1052. Minimum participation standards. 1053. Minimum vesting standards. (a) Nonforfeitability requirements. (b) Computation of period of service. (c) Plan amendments altering vesting schedule. (d) Nonforfeitable benefits after lesser period and in greater amounts than required. (e) Consent for distribution; present value; covered distributions. 1054. Benefit accrual requirements. (a) Satisfaction of requirements by pension plans. (b) Enumeration of plan requirements. (c) Employee's accrued benefits derived from employer and employee contributions. (d) Employee service which may be disregarded in determining employee's accrued benefits under plan. (e) Opportunity to repay full amount of distributions which have been reduced through disregarded employee service. (f) Employer treated as maintaining a plan. (g) Decrease of accrued benefits through amendment of plan. (h) Notice of significant reduction in benefit accruals. (i) Cross reference. 1055. Requirement of joint and survivor annuity and preretirement survivor annuity. (a) Required contents for applicable plans. (b) Applicable plans. (c) Plans meeting requirements of section. (d) 'Qualified joint and survivor annuity' defined. (e) 'Qualified preretirement survivor annuity' defined. (f) Marriage requirements for plan. (g) Distribution of present value of annuity; written consent; determination of present value. (h) Definitions. (i) Increased costs from providing annuity. (j) Use of participant's accrued benefit as security for loan as not preventing distribution. (k) Spousal consent. (l) Regulations; consultation of Secretary of the Treasury with Secretary of Labor. 1056. Form and payment of benefits. (a) Commencement date for payment of benefits. (b) Decrease in plan benefits by reason of increases in benefit levels under Social Security Act or Railroad Retirement Act of 1937. (c) Forfeiture of accrued benefits derived from employer contributions. (d) Assignment or alienation of plan benefits. 1057. Temporary variances from certain vesting requirements. 1058. Mergers and consolidations of plans or transfers of plan assets. 1059. Recordkeeping and reporting requirements. 1060. Multiple employer plans. (a) Plan maintained by more than one employer. (b) Maintenance of plan of predecessor employer. (c) Plan maintained by controlled group of corporations. (d) Plan of trades or businesses under common control. 1061. Effective dates. PART 3 - FUNDING 1081. Coverage. (a) Plans excepted from applicability of this part. (b) 'Insurance contract plan' defined. (c) Applicability of this part to terminated multiemployer plans. (d) Financial assistance from Pension Benefit Guaranty Corporation. 1082. Minimum funding standards. (a) Avoidance of accumulated funding deficiency. (b) Funding standard account. (c) Methods. (d) Additional funding requirements for plans which are not multiemployer plans. (e) Quarterly contributions required. (f) Imposition of lien where failure to make required contributions. (g) Qualified transfers to health benefit accounts. (h) Cross reference. 1083. Variance from minimum funding standard. (a) Waiver of requirements in event of business hardship. (b) Matters considered in determining business hardship. (c) 'Waived funding deficiency' defined. (d) Special rules. (e) Notice of filing of application for waiver. (f) Cross reference. 1084. Extension of amortization periods. (a) Determinations by Secretary in granting extension. (b) Amendment of plan. (c) Notice of filing of application for extension. 1085. Alternative minimum funding standard. (a) Maintenance of account. (b) Operation of account. (c) Interest. 1085a. Security for waivers of minimum funding standard and extensions of amortization period. (a) Security may be required. (b) Consultation with the Pension Benefit Guaranty Corporation. (c) Exception for certain waivers and extensions. 1085b. Security required upon adoption of plan amendment resulting in significant underfunding. (a) In general. (b) Form of security. (c) Amount of security. (d) Release of security. (e) Notice. (f) Definitions. 1086. Effective dates. PART 4 - FIDUCIARY RESPONSIBILITY 1101. Coverage. 1102. Establishment of plan. (a) Named fiduciaries. (b) Requisite features of plan. (c) Optional features of plan. 1103. Establishment of trust. (a) Benefit plan assets to be held in trust; authority of trustees. (b) Exceptions. (c) Assets of plan not to inure to benefit of employer; allowable purposes of holding plan assets. (d) Termination of plan. 1104. Fiduciary duties. (a) Prudent man standard of care. (b) Indicia of ownership of assets outside jurisdiction of district courts. (c) Control over assets by participant or beneficiary. (d) Plan terminations. 1105. Liability for breach of co-fiduciary. (a) Circumstances giving rise to liability. (b) Assets held by two or more trustees. (c) Allocation of fiduciary responsibility; designated persons to carry out fiduciary responsibilities. (d) Investment managers. 1106. Prohibited transactions. (a) Transactions between plan and party in interest. (b) Transactions between plan and fiduciary. (c) Transfer of real or personal property to plan by party in interest. 1107. Limitation with respect to acquisition and holding of employer securities and employer real property by certain plans. (a) Percentage limitation. (b) Exception. (c) Election. (d) Definitions. (e) Marketable obligations. (f) Maximum percentage of stock held by plan; time of holding or acquisition; necessity of legally binding contract. 1108. Exemptions from prohibited transactions. (a) Grant of exemptions. (b) Enumeration of transactions exempted from section 1106 prohibitions. (c) Fiduciary benefits and compensation not prohibited by section 1106. (d) Owner-employees; family members; shareholder employees. (e) Acquisition or sale by plan of qualifying employer securities; acquisition, sale, or lease by plan of qualifying employer real property. (f) Applicability of statutory prohibitions to mergers or transfers. 1109. Liability for breach of fiduciary duty. 1110. Exculpatory provisions; insurance. 1111. Persons prohibited from holding certain positions. (a) Conviction or imprisonment. (b) Penalty. (c) Definitions. (d) Salary of person barred from employee benefit plan office during appeal of conviction. 1112. Bonding. (a) Requisite bonding of plan officials. (b) Unlawful acts. (c) Conflict of interest prohibited in procuring bonds. (d) Exclusiveness of statutory basis for bonding requirement for persons handling funds or other property of employee benefit plans. (e) Regulations. 1113. Limitation of actions. 1114. Effective date. PART 5 - ADMINISTRATION AND ENFORCEMENT 1131. Criminal penalties. 1132. Civil enforcement. (a) Persons empowered to bring a civil action. (b) Plans qualified under Internal Revenue Code; maintenance of actions involving delinquent contributions. (c) Administrator's refusal to supply requested information; penalty for failure to provide annual report in complete form. (d) Status of employee benefit plan as entity. (e) Jurisdiction. (f) Amount in controversy; citizenship of parties. (g) Attorney's fees and costs; awards in actions involving delinquent contributions. (h) Service upon Secretary of Labor and Secretary of the Treasury. (i) Administrative assessment of civil penalty. (j) Direction and control of litigation by Attorney General. (k) Jurisdiction of actions against the Secretary of Labor. (l) Civil penalties on violations by fiduciaries. 1133. Claims procedure. 1134. Investigative authority. (a) Investigation and submission of reports, books, etc. (b) Frequency of submission of books and records. (c) Other provisions applicable relating to attendance of witnesses and production of books, records, etc. 1135. Regulations. 1136. Coordination and responsibility of agencies enforcing this subchapter and related Federal laws. (a) Coordination with other agencies and departments. (b) Responsibility for detecting and investigating civil and criminal violations of this subchapter and related Federal laws. 1137. Administration. 1138. Appropriations. 1139. Separability. 1140. Interference with protected rights. 1141. Coercive interference. 1142. Advisory Council on Employee Welfare and Pension Benefit Plans. (a) Establishment; membership; terms; appointment and reappointment; vacancies; quorum. (b) Duties and functions. (c) Executive secretary; secretarial and clerical services. (d) Compensation. (e) Termination. 1143. Research, studies, and reports. (a) Authorization to undertake research and surveys. (b) Submission of annual report to Congress; contents. (c) Cooperation with Congress. 1143a. Studies by Comptroller General. (1) In general. (2) Access to books, documents, etc. (3) Definitions. (4) Effective date. 1144. Other laws. (a) Supersedure; effective date. (b) Construction and application. (c) Definitions. (d) Alteration, amendment, modification, invalidation, impairment, or supersedure of any law of the United States prohibited. 1145. Delinquent contributions. PART 6 - CONTINUATION COVERAGE UNDER GROUP HEALTH PLANS 1161. Plans must provide continuation coverage to certain individuals. (a) In general. (b) Exception for certain plans. 1162. Continuation coverage. 1163. Qualifying event. 1164. Applicable premium. 1165. Election 1166. Notice requirements. (a) In general. (b) Alternative means of compliance with requirements for notification of multiemployer plans by employers. (c) Rules relating to notification of qualified beneficiaries by plan administrator. 1167. Definitions and special rules. 1168. Regulations. SUBCHAPTER II - JURISDICTION, ADMINISTRATION, ENFORCEMENT; JOINT PENSION TASK FORCE, ETC. SUBTITLE A - JURISDICTION, ADMINISTRATION, AND ENFORCEMENT 1201. Procedures in connection with the issuance of certain determination letters by the Secretary of the Treasury covering qualifications under Internal Revenue Code. (a) Additional material required of applicants. (b) Opportunity to comment on application. (c) Intervention by Pension Benefit Guaranty Corporation or Secretary of Labor into declaratory judgment action under section 7476 of title 26, action by Corporation authorized. (d) Notification and information by Secretary of the Treasury to Secretary of Labor upon issuance by Secretary of the Treasury of a determination letter to applicant. (e) Effective date. 1202. Procedures with respect to continued compliance with Internal Revenue requirements relating to participation, vesting, and funding standards. (a) Notification by Secretary of the Treasury to Secretary of Labor of issuance of a preliminary notice of intent to disqualify or of commencement of proceedings to determine satisfaction of requirements. (b) Notification to Secretary of Labor before Secretary of the Treasury sends notice of deficiency under section 4971 of title 26; waiver of imposition of tax; requests for investigation; consultation. (c) Extended application of regulations prescribed by Secretary of the Treasury relating to minimum participation standards, minimum vesting standards, and minimum funding standards. (d) Opportunity afforded Secretary of the Treasury to intervene in cases involving construction or application of minimum standards; review of briefs filed by Pension Benefit Guaranty Corporation or Secretary of Labor. (e) Consultative requirements respecting promulgation of proposed or final regulations. 1203. Procedures in connection with prohibited transactions. (a) Notification to Secretary of Labor; opportunity to comment on imposition of tax under section 4975 of title 26; waiver; requests for investigations. (b) Consultation. (c) Transmission of information to Secretary of the Treasury. 1204. Coordination between the Department of the Treasury and the Department of Labor. SUBTITLE B - JOINT PENSION, PROFIT-SHARING, AND EMPLOYEE STOCK OWNERSHIP PLAN TASK FORCE; STUDIES PART 1 - JOINT PENSION, PROFIT-SHARING, AND EMPLOYEE STOCK OWNERSHIP PLAN TASK FORCE 1221. Establishment. 1222. Duties. PART 2 - OTHER STUDIES 1231. Congressional study. 1232. Protection for employees under Federal procurement, construction, and research contracts and grants. (a) Study and investigation by Secretary of Labor. (b) Consultation. (c) Regulations. (d) Congressional review of regulations; resolution of disapproval. SUBTITLE C - ENROLLMENT OF ACTUARIES 1241. Joint Board for the Enrollment of Actuaries. 1242. Enrollment by Board; standards and qualifications; suspension or termination of enrollment. SUBCHAPTER III - PLAN TERMINATION INSURANCE SUBTITLE A - PENSION BENEFIT GUARANTY CORPORATION 1301. Definitions. 1302. Pension Benefit Guaranty Corporation. (a) Establishment within Department of Labor. (b) Powers of corporation. (c) Omitted. (d) Board of directors; compensation; reimbursement for expenses. (e) Meetings. (f) Adoption of bylaws; amendment, alteration; publication in the Federal Register. (g) Exemption from taxation. (h) Advisory committee to corporation. 1303. Operation of corporation. (a) Investigatory authority; audit of statistically significant number of terminating plans. (b) Discovery powers vested in board members or officers designated by the chairman. (c) Contempt. (d) Cooperation with other governmental agencies. (e) Civil actions by corporation; jurisdiction; process; expeditious handling of case; costs; limitation on actions. (f) Civil actions against corporation; appropriate court; award of costs and expenses; limitation on actions; jurisdiction; removal of actions. 1304. Repealed. 1305. Pension benefit guaranty funds. (a) Establishment of four revolving funds on books of Treasury of the United States. (b) Credits to funds; availability of funds; investment of moneys in excess of current needs. (c) Authority to issue notes or other obligations; purchase by Secretary of the Treasury as public debt transaction. (d) Establishment of fifth fund; purpose, availability, etc. (e) Establishment of sixth fund; purpose, availability, etc. (f) Deposit of premiums into separate revolving fund. (g) Other use of funds; deposits of repayments. (h) Voting by corporation of stock paid as liability. 1306. Premium rates. (a) Schedules for premium rates and bases for application; establishment, coverage, etc. (b) Revised schedule; Congressional procedures applicable. (c) Rates for plans for basic benefits. 1307. Payment of premiums. (a) Premiums payable when due; accrual; waiver or reduction. (b) Late payment charge; waiver. (c) Civil action to recover premium penalty and interest. (d) Basic benefits guarantee not stopped by designated payor's failure to pay premiums when due. (e) Designated payor. 1308. Annual report by the corporation. 1309. Portability assistance. SUBTITLE B - COVERAGE 1321. Coverage. (a) Plans covered. (b) Plans not covered. (c) Definitions. 1322. Single-employer plan benefits guaranteed. (a) Nonforfeitable benefits. (b) Exceptions. (c) Payment by corporation to participants and beneficiaries of recovery percentage of outstanding amount of benefit liabilities. (d) Authorization to guarantee other classes of benefits. (e) Nonforfeitability of preretirement survivor annuity. 1322a. Multiemployer plan benefits guaranteed. (a) Benefits of covered plans subject to guarantee. (b) Benefits or benefit increases not eligible for guarantee. (c) Determinations respecting amount of guarantee. (d) Amount of guarantee of reduced benefit. (e) Ineligibility of benefits for guarantee. (f) Study, report, etc., respecting premium increase in existing basic-benefit guarantee levels; Congressional procedures applicable for revision of schedules. (g) Guarantee of payment of other classes of benefits and establishment of terms and conditions of guarantee; promulgation of regulations for establishment of supplemental program to guarantee benefits otherwise ineligible; status of benefits; applicability of revised schedule of premiums. (h) Applicability to nonforfeitable benefits accrued as of July 30, 1980; manner and extent of guarantee. 1322b. Aggregate limit on benefits guaranteed; criteria applicable. 1323. Plan fiduciaries. SUBTITLE C - TERMINATIONS 1341. Termination of single-employer plans. (a) General rules governing single-employer plan terminations. (b) Standard termination of single-employer plans. (c) Distress termination of single-employer plans. (d) Sufficiency. (e) Limitation on the conversion of a defined benefit plan to a defined contribution plan. 1341a. Termination of multiemployer plans. (a) Determinative factors. (b) Date of termination. (c) Duties of plan sponsor of amended plan. (d) Duties of plan sponsor of nonoperative plan. (e) Amount of contribution of employer under amended plan for each plan year subsequent to plan termination date. (f) Payment of benefits; reporting requirements for terminated plans and rules and standards for administration of such plans. 1342. Institution of termination proceedings by the corporation. (a) Authority to institute proceedings to terminate a plan. (b) Appointment of trustee. (c) Adjudication that plan must be terminated. (d) Powers of trustee. (e) Filing of application notwithstanding pendency of other proceedings. (f) Exclusive jurisdiction; stay of other proceedings. (g) Venue. (h) Compensation of trustee and professional service personnel appointed or retained by trustee. 1343. Reportable events. (a) Notification that event has occurred. (b) Enumeration of reportable events. (c) Notification to corporation by Secretary of the Treasury. (d) Notification to corporation by Secretary of Labor. 1344. Allocation of assets. (a) Order of priority of participants and beneficiaries. (b) Adjustment of allocations; reallocations; mandatory contributions; establishment of subclasses and categories. (c) Increase or decrease in value of assets. (d) Distribution of residual assets; restrictions on reversions pursuant to recently amended plans; assets attributable to employee contributions; calculation of remaining assets. 1345. Recapture of payments. (a) Authorization to recover benefits. (b) Recoverable amount. (c) Payments made on or after death or disability of participant; waiver of recovery in case of hardship. 1346. Reports to trustee. 1347. Restoration of plans. 1348. Termination date. 1349. Repealed. SUBTITLE D - LIABILITY 1361. Amounts payable by corporation. 1362. Liability for termination of single-employer plans under a distress termination or a termination by corporation. (a) In general. (b) Liability to corporation. (c) Liability to section 1342 trustee. (d) Definitions. (e) Treatment of substantial cessation of operations. 1363. Liability of substantial employer for withdrawal from single-employer plans under multiple controlled groups. (a) Single-employer plans with two or more contributing sponsors. (b) Computation of liability. (c) Bond in lieu of payment of liability; 5-year termination period. (d) Alternate appropriate procedure. (e) Indemnity agreement. 1364. Liability on termination of single-employer plans under multiple controlled groups. 1365. Annual report of plan administrator. 1366. Annual notification to substantial employers. 1367. Recovery of liability for plan termination. 1368. Lien for liability. (a) Creation of lien. (b) Term of lien. (c) Priority. (d) Civil action; limitation period. (e) Release or subordination. (f) Definitions. 1369. Treatment of transactions to evade liability; effect of corporate reorganization. (a) Treatment of transactions to evade liability. (b) Effect of corporate reorganization. 1370. Enforcement authority relating to terminations of single-employer plans. (a) In general. (b) Status of plan as party to action and with respect to legal process. (c) Jurisdiction and venue. (d) Right of corporation to intervene. (e) Awards of costs and expenses. (f) Limitation on actions. 1371. Penalty for failure to timely provide required information. SUBTITLE E - SPECIAL PROVISIONS FOR MULTIEMPLOYER PLANS PART 1 - EMPLOYER WITHDRAWALS 1381. Withdrawal liability established; criteria and definitions. 1382. Determination and collection of liability; notification of employer. 1383. Complete withdrawal. (a) Determinative factors. (b) Building and construction industry. (c) Entertainment industry. (d) Other determinative factors. (e) Date of complete withdrawal. (f) Special liability withdrawal rules for industries other than construction and entertainment industries; procedures applicable to amend plans. 1384. Sale of assets. (a) Complete or partial withdrawal not occurring as a result of sale and subsequent cessation of covered operations or cessation of obligation to contribute to covered operations; continuation of liability of seller. (b) Liability of purchaser. (c) Variances or exemptions from continuation of liability of seller; procedures applicable. (d) 'Unrelated party' defined. 1385. Partial withdrawals. (a) Determinative factors. (b) Criteria applicable. (c) Retail food industry. (d) Continuation of liability of employer for partial withdrawal under amended plan. 1386. Adjustment for partial withdrawal; determination of amount; reduction for partial withdrawal liability; procedures applicable. 1387. Reduction or waiver of complete withdrawal liability; procedures and standards applicable. 1388. Reduction of partial withdrawal liability. (a) Obligation of employer for payments for partial withdrawal for plan years beginning after the second consecutive plan year following the partial withdrawal year; criteria applicable; furnishing of bond in lieu of payment of partial withdrawal liability. (b) Obligation of employer for payments for partial withdrawal for plan years beginning after the second consecutive plan year; other criteria applicable. (c) Pro rata reduction of amount of partial withdrawal liability payment of employer for plan year following partial withdrawal year. (d) Building and construction industry; entertainment industry. (e) Reduction or elimination of partial withdrawal liability under any conditions; criteria; procedures applicable. 1389. De minimis rule. (a) Reduction of unfunded vested benefits allocable to employer withdrawn from plan. (b) Amendment of plan for reduction of amount of unfunded vested benefits allocable to employer withdrawn from plan. (c) Nonapplicability. (d) Presumption of employer withdrawal from plan pursuant to agreement or arrangement applicable in action or proceeding to determine or collect withdrawal liability. 1390. Nonapplicability of withdrawal liability for certain temporary contribution obligation periods; exception. 1391. Methods for computing withdrawal liability. (a) Determination of amount of unfunded vested benefits allocable to employer withdrawn from plan. (b) Factors determining computation of amount of unfunded vested benefits allocable to employer withdrawn from plan. (c) Amendment of multiemployer plan for determination respecting amount of unfunded vested benefits allocable to employer withdrawn from plan; factors determining computation of amount. (d) Method of calculating allocable share of employer of unfunded vested benefits set forth in subsection (c)(3) of this section; applicability of certain statutory provisions. (e) Reduction of liability of withdrawn employer in case of transfer of liabilities to another plan incident to withdrawal or partial withdrawal of employer. (f) Computations applicable in case of withdrawal following merger of multiemployer plans. 1392. Obligation to contribute. (a) 'Obligation to contribute' defined. (b) Payments of withdrawal liability not considered contributions. (c) Transactions to evade or avoid liability. 1393. Actuarial assumptions. (a) Use by plan actuary in determining unfunded vested benefits of a plan for computing withdrawal liability of employer. (b) Factors determinative of unfunded vested benefits of plan for computing withdrawal liability of employer. (c) Determination of amount of unfunded vested benefits. 1394. Application of plan amendments; exception. 1395. Plan notification to corporation of potentially significant withdrawals. 1396. Special rules for plans under section 404(c) of Title 26. (a) Amount of withdrawal liability; determinative factors. (b) Covered plans. (c) Amount of liability of employer; 'a year of signatory service' defined. 1397. Application of part in case of certain pre-1980 withdrawals; adjustment of covered plan. 1398. Withdrawal not to occur because of change in business form or suspension of contributions during labor dispute. 1399. Notice, collection, etc., of withdrawal liability. (a) Furnishing of information by employer to plan sponsor. (b) Notification, demand for payment, and review upon complete or partial withdrawal by employer. (c) Payment requirements; amount, etc. (d) Applicability of statutory prohibitions. 1400. Approval of amendments. (a) Amendment of covered multiemployer plan; procedures applicable. (b) Amendment respecting methods for computing withdrawal liability. (c) Criteria for disapproval by corporation. 1401. Resolution of disputes. (a) Arbitration proceedings; matters subject to arbitration, procedures applicable, etc. (b) Alternative collection proceedings; civil action subsequent to arbitration award; conduct of arbitration proceedings. (c) Presumption respecting finding of fact by arbitrator. (d) Payments by employer prior and subsequent to determination by arbitrator; adjustments; failure of employer to make payments. (e) Furnishing of information by plan sponsor to employer respecting computation of withdrawal liability of employer; fees. 1402. Reimbursements for uncollectible withdrawal liability. (a) Required supplemental program to reimburse for payments due from employers uncollectible as a result of employer involvement in bankruptcy case or proceedings; program participation, premiums, etc. (b) Discretionary supplemental program to reimburse for payments due from employers uncollectible for other appropriate reasons. (c) Payment of cost of program. (d) Terms and conditions, limitations, etc., of supplemental program. (e) Arrangements by corporation with private insurers for implementation of program; election of coverage by participating plans with private insurers. 1403. Withdrawal liability payment fund. (a) Establishment of or participation in fund by plan sponsors. (b) Definitions. (c) Payments to plan; amount, criteria, etc. (d) Application of payments by plan. (e) Subrogation of fund to rights of plan. (f) Discharge of rights of fiduciary of fund; standards applicable, etc. (g) Prohibition on payments from fund to plan where certain labor negotiations involve employer withdrawn or partially withdrawn from plan and continuity of labor organization representing employees continues. (h) Purchase of insurance by employer. (i) Promulgation of regulations for establishment and maintenance of fund. 1404. Alternative method of withdrawal liability payments. 1405. Limitation on withdrawal liability. (a) Unfunded vested benefits allocable to employer in bona fide sale of assets of employer in arms-length transaction to unrelated party; maximum amount; determinative factors. (b) Unfunded vested benefits allocable to insolvent employer undergoing liquidation or dissolution; maximum amount; determinative factors. (c) Property not subject to enforcement of liability; precondition. (d) Insolvency of employer; liquidation or dissolution value of employer. (e) One or more withdrawals of employer attributable to same sale, liquidation, or dissolution. PART 2 - MERGER OR TRANSFER OF PLAN ASSETS OR LIABILITIES 1411. Mergers and transfers between multiemployer plans. (a) Authority of plan sponsor. (b) Criteria. (c) Actions not deemed violation of section 1106(a) or (b)(2) of this title. (d) Nature of plan to which liabilities are transferred. 1412. Transfers between a multiemployer plan and a single-employer plan. (a) General authority. (b) Accrued benefit of participant or beneficiary not lower immediately after effective date of transfer or merger. (c) Liability of multiemployer plan to corporation where single-employer plan terminates within 60 months after effective date of transfer; amount of liability, exemption, etc. (d) Guarantee of benefits under single-employer plan. (e) Transfer of liabilities by multiemployer plan to single-employer plan. (f) Additional requirements by corporation for protection of interests of plan participants, beneficiaries and corporation; approval by corporation of transfer of assets or liabilities to single-employer plan from plan in reorganization; covered transfers in connection with termination. 1413. Partition. (a) Authority of corporation. (b) Authority of plan sponsor upon application to corporation for partition order; procedures applicable to corporation. (c) Authority of corporation notwithstanding pendency of partition proceeding. (d) Scope of partition order. (e) Nature of plan created by partition. (f) Authority of corporation to obtain decree partitioning plan and appointing trustee for terminated portion of partitioned plan. 1414. Asset transfer rules. (a) Applicability and scope. (b) Exemption of de minimis transfers. (c) Written reciprocity agreements. 1415. Transfers pursuant to change in bargaining representative. (a) Authority to transfer from old plan to new plan pursuant to employee participation in another multiemployer plan after certified change of representative. (b) Notification by employer of plan sponsor of old plan; notification by plan sponsor of old plan of employer and plan sponsor of new plan; appeal by new plan to prevent transfer; further proceedings. (c) Reduction of amount of withdrawal liability of employer upon transfer of appropriate amount of assets and liabilities by plan sponsor of old plan to new plan. (d) Escrow payments by employer upon complete or partial withdrawal and prior to transfer. (e) Prohibition on transfer of assets to new plan by plan sponsor of old plan; exemptions. (f) Agreement between plan sponsors of old plan and new plan to transfer in compliance with other statutory provisions; reduction of withdrawal liability of employer from old plan; amount of withdrawal liability of employer to new plan. (g) Definitions. PART 3 - REORGANIZATION; MINIMUM CONTRIBUTION REQUIREMENT FOR MULTIEMPLOYER PLANS 1421. Reorganization status. (a) Reorganization index of plan for plan year greater than zero. (b) Determination of reorganization index of plan for plan year; applicable factors, definitions, etc. (c) Payment of benefits to participants. (d) Terminated multiemployer plans. 1422. Notice of reorganization and funding requirements. 1423. Minimum contribution requirement. (a) Maintenance of funding standard account; amount of accumulated funding deficiency. (b) Determination of amount; applicable factors. (c) Current contribution base; valuation contribution base. (d) Maximum amount; amount of funding standard requirement; applicability to plan amendments increasing benefits. (e) Adjustment of vested benefits charge. (f) Waiver of accumulated funding deficiency. (g) Statutory methods applicable for determinations. 1424. Overburden credit against minimum contribution requirement. (a) Applicability of overburden credit to determinations. (b) Determination of overburden status of plan. (c) Amount of overburden credit. (d) Amount of overburden factor. (e) Definitions; determinative factors. (f) Eligibility of plan for overburden credit for plan year. (g) Overburden credit where 2 or more multiemployer plans merge. 1425. Adjustments in accrued benefits. (a) Amendment of multiemployer plan in reorganization to reduce or eliminate accrued benefits attributable to employer contributions ineligible for guarantee of corporation; adjustment of vested benefits charge to reflect plan amendment. (b) Reduction of accrued benefits; notice by plan sponsors to plan participants and beneficiaries. (c) Recoupment by plan of excess benefit payment. (d) Amendment of plan to increase or restore accrued benefits previously reduced or rate of future benefit accruals; conditions, applicable factors, etc. (e) 'Inactive participant' defined. (f) Promulgation of rules; contents, etc. 1426. Insolvent plans. (a) Suspension of payments of benefits; conditions, amount, etc. (b) Determination of insolvency status for plan year; definitions. (c) Determination by plan sponsor of plan in reorganization of resource benefit level of plan for each insolvency year; uniform application of suspension of benefits; adjustments of benefit payments. (d) Applicability and determinations respecting plan assets; time for determinations of resource benefit level and level of basic benefits. (e) Notice, etc., requirements of plan sponsor of plan in reorganization regarding insolvency and resource benefit levels. (f) Financial assistance from corporation; conditions and criteria applicable. PART 4 - FINANCIAL ASSISTANCE 1431. Assistance by corporation. (a) Authority; procedure applicable; amount. (b) Conditions; repayment terms. (c) Assistance pending final determination of application. PART 5 - BENEFITS AFTER TERMINATION 1441. Benefits under certain terminated plans. (a) Amendment of plan by plan sponsor to reduce benefits, and suspension of benefit payments. (b) Determinations respecting value of nonforfeitable benefits under terminated plan and value of assets of plan. (c) Amendment of plan by plan sponsor to reduce benefits for conservation of assets; factors applicable. (d) Suspension of benefit payments; determinative factors; powers and duties of plan sponsor; retroactive benefit payments. PART 6 - ENFORCEMENT 1451. Civil actions. (a) Persons entitled to maintain actions. (b) Failure of employer to make withdrawal liability payment within prescribed time. (c) Jurisdiction of Federal and State courts. (d) Venue and service of process. (e) Costs and expenses. (f) Time limitations. (g) Service of complaint on corporation; intervention by corporation. 1452. Penalty for failure to provide notice. 1453. Election of plan status. (a) Authority, time, and criteria. (b) Requirements. (c) Effective date. SUBTITLE F - TRANSITION RULES AND EFFECTIVE DATES 1461. Effective date; special rules. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 441 of this title; title 7 section 2; title 15 sections 77b, 631b; title 18 section 1027; title 20 section 1085; title 26 sections 412, 414; title 26 section 404; title 31 section 9502; title 45 section 743. ------DocID 38767 Document 1415 of 1438------ -CITE- 30 USC CHAPTER 18 -EXPCITE- TITLE 30 CHAPTER 18 -HEAD- CHAPTER 18 - COAL RESEARCH AND DEVELOPMENT -MISC1- Sec. 661. Definitions. 662. Office of Coal Research; powers and duties. 663. Advisory committees. (a) Minutes of meetings. (b) Availability of minutes or reports. (c) Compensation; travel expenses. (d) Exemption from conflict-of-interest statutes. 664. Director of Coal Research; appointment. 665. Sites for conducting research; availability of personnel and facilities. 666. Public-availability requirement; national defense; patent agreements. 667. Reports to President and Congress. 668. Authorization of appropriations. (a) Fiscal year beginning July 1, 1960. (b) Fiscal years beginning after June 30, 1961. (c) Availability of sums. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 42 section 5814. ------DocID 40363 Document 1416 of 1438------ -CITE- 33 USC Sec. 857-18 -EXPCITE- TITLE 33 CHAPTER 17 SUBCHAPTER I -HEAD- Sec. 857-18. Authorization of appropriations -STATUTE- There are authorized to be appropriated for purposes of carrying out sections 857-13 to 857-18 of this title not to exceed $520,000 for the fiscal year ending September 30, 1978, $572,000 for the fiscal year ending September 30, 1979, $565,000 for the fiscal year ending September 30, 1980, $600,000 for the fiscal year ending September 30, 1981, and $555,000 for the fiscal year ending September 30, 1982. Such sums as may be appropriated under this section shall remain available until expended. -SOURCE- (Pub. L. 95-63, Sec. 8, July 5, 1977, 91 Stat. 267; Pub. L. 95-304, Sec. 1(2), June 29, 1978, 92 Stat. 347; Pub. L. 96-26, June 21, 1979, 93 Stat. 74; Pub. L. 97-87, Sec. 1(3), Dec. 1, 1981, 95 Stat. 1134.) -MISC1- PRIOR PROVISIONS Provisions similar to those contained in this section which authorized appropriations, beginning with an authorization of $200,000 for the fiscal year ending June 30, 1972, for the operation of the National Advisory Committee on Oceans and Atmosphere as originally established on Aug. 16, 1971, were contained in section 857-12 of this title prior to repeal of that section by section 7(a) of Pub. L. 95-63. AMENDMENTS 1981 - Pub. L. 97-87 inserted provisions authorizing appropriations of not to exceed $555,000 for fiscal year ending Sept. 30, 1982, and provided that such sums as might be appropriated under authority of this section remain available until expended. 1979 - Pub. L. 96-26 substituted provisions authorizing appropriations of $565,000 for fiscal year ending Sept. 30, 1980, and $600,000 for fiscal year ending Sept. 30, 1981, for provisions directing that sums appropriated under this section remain available until expended. 1978 - Pub. L. 95-304 inserted provisions authorizing appropriations for fiscal year ending Sept. 30, 1979. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 857-13, 857-17 of this title. ------DocID 40411 Document 1417 of 1438------ -CITE- 33 USC CHAPTER 18 -EXPCITE- TITLE 33 CHAPTER 18 -HEAD- CHAPTER 18 - LONGSHORE AND HARBOR WORKERS' COMPENSATION -MISC1- Sec. 901. Short title. 902. Definitions. 903. Coverage. (a) Disability or death; injuries occurring upon navigable waters of United States. (b) Government officers and employees. (c) Intoxication; willful intention to kill. (d) Small vessels. (e) Credit for benefits paid under other laws. 904. Liability for compensation. 905. Exclusiveness of liability. (a) Employer liability; failure of employer to secure payment of compensation. (b) Negligence of vessel. (c) Outer Continental Shelf. 906. Compensation. (a) Time for commencement. (b) Maximum rate of compensation. (c) Applicability of determinations. 907. Medical services and supplies. (a) General requirement. (b) Physician selection; administrative supervision; change of physicians and hospitals. (c) Physicians and health care providers not authorized to render medical care or provide medical services. (d) Request of treatment or services prerequisite to recovery of expenses; formal report of injury and treatment; suspension of compensation for refusal of treatment or examination; justification. (e) Physical examination; medical questions; report of physical impairment; review or reexamination; costs. (f) Place of examination; exclusion of physicians other than examining physician of Secretary; good cause for conclusions of other physicians respecting impairment; examination by employer's physician; suspension of proceedings and compensation for refusal of examination. (g) Fees and charges for examinations, treatment, or service; limitation; regulations. (h) Third party liability. (i) Physicians' ineligibility for subsection (e) physical examinations and reviews because of workmen's compensation claim employment or fee acceptance or participation. (j) Procedure; judicial review. (k) Refusal of treatment on religious grounds. 908. Compensation for disability. 909. Compensation for death. 910. Determination of pay. 911. Guardian for minor or incompetent. 912. Notice of injury or death. (a) Time limitation. (b) Form and content. (c) Delivery requirements. (d) Failure to give notice. 913. Filing of claims. (a) Time to file. (b) Failure to file. (c) Effect on incompetents and minors. (d) Tolling provision. 914. Payment of compensation. (a) Manner of payment. (b) Period of installment payments. (c) Notification of commencement or suspension of payment. (d) Right to compensation controverted. (e) Additional compensation for overdue installment payments payable without award. (f) Additional compensation for overdue installment payments payable under terms of award. (g) Notice of payment; penalty. (h) Investigations, examinations, and hearings for controverted, stopped, or suspended payments. (i) Deposit by employer. (j) Reimbursement for advance payments. (k) Receipt for payment. 915. Invalid agreements. 916. Assignment and exemption from claims of creditors. 917. Lien against compensation. 918. Collection of defaulted payments; special fund. 919. Procedure in respect of claims. (a) Filing of claim. (b) Notice of claim. (c) Investigations; order for hearing; notice; rejection or award. (d) Provisions governing conduct of hearing; administrative law judges. (e) Filing and mailing of order rejecting claim or making award. (f) Awards after death of employee. (g) Transfer of case. (h) Physical examination of injured employee. 920. Presumptions. 921. Review of compensation orders. (a) Effectiveness and finality of orders. (b) Benefits Review Board; establishment; members; chairman; quorum; voting; questions reviewable; record; conclusiveness of findings; stay of payments; remand. (c) Court of appeals; jurisdiction; persons entitled to review; petition; record; determination and enforcement; service of process; stay of payments. (d) District court; jurisdiction; enforcement of orders; application of beneficiaries of awards or deputy commissioner; process for compliance with orders. (e) Institution of proceedings for suspension, setting aside, or enforcement of compensation orders. 921a. Appearance of attorneys for Secretary, deputy commissioner, or Board. 922. Modification of awards. 923. Procedure before deputy commissioner or Board. 924. Witnesses. 925. Witness fees. 926. Costs in proceedings brought without reasonable grounds. 927. Powers of deputy commissioners or Board. 928. Fees for services. (a) Attorney's fee; successful prosecution of claim. (b) Attorney's fee; successful prosecution for additional compensation; independent medical evaluation of disability controversy; restriction of other assessments. (c) Approval; payment; lien. (d) Costs; witnesses' fees and mileage; prohibition against diminution of compensation to claimant. (e) Unapproved fees; solicitation; penalty. 929. Record of injury or death. 930. Reports to Secretary. (a) Time for sending; contents; copy to deputy commissioner. (b) Additional reports. (c) Use as evidence. (d) Compliance by mailing. (e) Penalty for failure or refusal to send report. (f) Tolling provision. 931. Penalty for misrepresentation. (a) Felony; fine; imprisonment. (b) List of persons disqualified from representing claimants. (c) False statements or representation to reduce, deny, or terminate benefits. 932. Security for compensation. 933. Compensation for injuries where third persons are liable. (a) Election of remedies. (b) Acceptance of compensation operating as assignment. (c) Payment into section 944 fund operating as assignment. (d) Institution of proceedings or compromise by assignee. (e) Recoveries by assignee. (f) Institution of proceedings by person entitled to compensation. (g) Compromise obtained by person entitled to compensation. (h) Subrogation. (i) Right to compensation as exclusive remedy. 934. Compensation notice. 935. Substitution of carrier for employer. 936. Insurance policies. 937. Certificate of compliance with chapter. 938. Penalties. (a) Failure to secure payment of compensation. (b) Avoiding payment of compensation. (c) Effect on other liability of employer. 939. Administration by Secretary. (a) Prescribing rules and regulations; appointing and fixing compensation of employees; making expenditures. (b) Establishing compensation districts. (c) Furnishing information and assistance; directing vocational rehabilitation. 940. Deputy commissioners. (a) Appointment; use of personnel and facilities of boards, commissions, or other agencies; expenses and salaries. (b) Appointment in Territories and District of Columbia; compensation. (c) Transfers to other districts; temporary details. (d) Maintaining offices. (e) Records and papers. (f) Conflict of interest. 941. Safety rules and regulations. (a) Safe place of employment; installation of safety devices and safeguards. (b) Studies and investigations by Secretary. (c) Inspection of places and practices of employment. (d) Requests for advice; variations from safety rules and regulations. (e) Jurisdiction to restrain violations. (f) Violations and penalties. (g) Inapplicability to certain employments. 942. Annual report. 943. Repealed. 944. Special fund. (a) Establishment; administration; custody, trust. (b) Disbursements; bond of custodian. (c) Payments into fund. (d) Investigations; records, availability; recordkeeping; provisions of sections 49 and 50 of title 15 applicable to Secretary. (e) Depositories; investments. (f) Limitation of liability. (g) Audit by Comptroller General; finality of payment determinations; credits of disbursing officers. (h) Civil actions for civil penalties and unpaid assessments. (i) Proceeds available for certain payments. (j) Audit to Congress. 945 to 947. Repealed. 948. Laws inapplicable. 948a. Discrimination against employees who bring proceedings; penalties; deposit of payments in special fund; civil actions; entitlement to restoration of employment and compensation, qualifications requirement; liability of employer for penalties and payments; insurance policy exemption from liability. 949. Effect of unconstitutionality. 950. Separability. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 5 section 8171; title 30 sections 931, 932; title 42 sections 251, 1651, 1653, 1702; title 43 section 1333. ------DocID 41045 Document 1418 of 1438------ -CITE- 35 USC CHAPTER 18 -EXPCITE- TITLE 35 PART II CHAPTER 18 -HEAD- CHAPTER 18 - PATENT RIGHTS IN INVENTIONS MADE WITH FEDERAL ASSISTANCE -MISC1- Sec. 200. Policy and objective. 201. Definitions. 202. Disposition of rights. 203. March-in rights. 204. Preference for United States industry. 205. Confidentiality. 206. Uniform clauses and regulations. 207. Domestic and foreign protection of federally owned inventions. 208. Regulations governing Federal licensing. 209. Restrictions on licensing of federally owned inventions. 210. Precedence of chapter. 211. Relationship to antitrust laws. 212. Disposition of rights in educational awards. AMENDMENTS 1984 - Pub. L. 98-620, title V, Sec. 501(15), Nov. 8, 1984, 98 Stat. 3368, added item 212. 1982 - Pub. L. 97-256, title I, Sec. 101(5), Sept. 8, 1982, 96 Stat. 816, redesignated chapter 38, as added by Pub. L. 96-517, Sec. 6(a), Dec. 12, 1980, 94 Stat. 3018, comprising sections 200 to 211, as chapter 18, and transferred chapter 18, as so redesignated, to end of this part from end of part IV. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 15 sections 278k, 3705, 5308; title 30 section 1226. ------DocID 41141 Document 1419 of 1438------ -CITE- 36 USC Sec. 18 -EXPCITE- TITLE 36 CHAPTER 1A -HEAD- Sec. 18. Corporation created; purposes -STATUTE- Mary Park Foster (Mrs. John W. Foster), of Indiana; Mary Virginia Ellet Cabell (Mrs. William D. Cabell), of Virginia; Helen Mason Boynton (Mrs. Henry V. Boynton), of Ohio; Henrietta Greely (Mrs. A. W. Greely), of Washington, District of Columbia; Lelie Dent Saint Clair (Mrs. F. O. Saint Clair), of Maryland; Regina M. Knott (Mrs. A. Leo Knott), of Maryland; Sara Agnes Rice Pryor (Mrs. Roger A. Pryor), of New York; Sarah Ford Judd Goode (Mrs. G. Brown Goode), of Washington, District of Columbia; Mary Desha, of Kentucky; Sue Virginia Field (Mrs. Stephen J. Field), of California; Sallie Kennedy Alexander (Mrs. Thomas Alexander), of Washington, District of Columbia; Rosa Wright Smith, of Washington, District of Columbia; Sarah C. J. Hagan (Mrs. Hugh Hagan), of Georgia; Mary Stiner Putnam (Mrs. John Risley Putnam), of New York; Mary Leighton Shields (Mrs. George H. Shields), of Missouri; Ellen Hardin Walworth, of New York; Mary E. MacDonald (Mrs. Marshall MacDonald), of Virginia; Eugenia Washington, of Virginia; Alice M. Clarke (Mrs. A. Howard Clarke), of Massachusetts; Clara Barton, of Washington, District of Columbia; Mary S. Lockwood, of Washington, District of Columbia; Frances B. Hamlin (Mrs. Teunis S. Hamlin), of Washington, District of Columbia; Martha C. B. Clarke (Mrs. Arthur E. Clarke), of New Hampshire; Lucia E. Blount (Mrs. Henry Blount), of Indiana; Jennie A. O. Keim (Mrs. Randolph De B. Keim), of Connecticut; Louise Ward McAllister, of New York; Effie Ream Osborne (Mrs. Frank Stuart Osborne), of Illinois; Marie Devereux, of Washington, District of Columbia; Belinda O. Wilbour (Mrs. Joshua Wilbour), of Rhode Island; Georgina E. Shippen (Mrs. W. W. Shippen), of New Jersey; Julia K. Hogg (Mrs. N. B. Hogg), of Pennsylvania; Katherine C. Breckinridge (Mrs. Clifton R. Breckinridge), of Arkansas; Sara Isabella Hubbard (Mrs. Adolphus S. Hubbard), of California; Mary L. D. Putnam (Mrs. Charles E. Putnam), of Iowa; Delia Clayborne Buckner (Mrs. Simon B. Buckner), of Kentucky; Emily Marshall Eliot (Mrs. Samuel Eliot), of Massachusetts; Lucy Grey Henry (Mrs. William Wirt Henry), of Virginia; Elizabeth Blair Lee, of Maryland, Mrs. Francis P. Burrows (Mrs. Julius C. Burrows), Mrs. Mary H. McMillan (Mrs. James McMillan), Mrs. Emma Gregory Hull (Mrs. J. A. T. Hull), Mrs. Mary B. K. Washington (Mrs. Joseph Washington), and their associates and successors, are created a body corporate and politic, in the District of Columbia, by the name of The National Society of the Daughters of the American Revolution, for patriotic, historical, and educational purposes, to perpetuate the memory and spirit of the men and women who achieved American independence, by the acquisition and protection of historical spots and the erection of monuments; by the encouragement of historical research in relation to the Revolution and the publication of its results; by the preservation of documents and relics, and of the records of the individual services of Revolutionary soldiers and patriots, and by the promotion of celebrations of all patriotic anniversaries; to carry out the injunction of Washington, in his farewell address to the American people, 'to promote, as an object of primary importance, institutions for the general diffusion of knowledge,' thus developing an enlightened public opinion and affording to young and old such advantages as shall develop in them the largest capacity for performing the duties of American citizens; to cherish, maintain, and extend the institutions of American freedom; to foster true patriotism and love of country, and to aid in securing for mankind all the blessings of liberty. -SOURCE- (Feb. 20, 1896, ch. 23, Sec. 1, 29 Stat. 8.) ------DocID 41515 Document 1420 of 1438------ -CITE- 36 USC CHAPTER 18 -EXPCITE- TITLE 36 CHAPTER 18 -HEAD- CHAPTER 18 - NATIONAL CONFERENCE OF STATE SOCIETIES, WASHINGTON, DISTRICT OF COLUMBIA -MISC1- Sec. 401. Corporation created. 402. Purposes of corporation. 403. Powers of corporation. 404. Headquarters and principal office; territorial scope of activities; agent for service of process. 405. Membership. 406. Officers. 407. Board of representatives. (a) Composition; powers. (b) Election of officers; tenure. (c) Composition of initial board. 408. Acquisition of assets and liabilities of existing organization. 409. Distribution of income or assets to members. 410. Propaganda activities prohibited. 411. Nonpolitical nature of corporation. 412. Liability for acts of officers and agents. 413. Books and records; inspection. 414. Prohibition against issuance of stock or payment of dividends. 415. Loans to officers; liability. 416. Repealed. 417. Use of assets on dissolution or liquidation. 418. Exclusive right to name, seals, emblems, and badges. 419. Agents for service of process. 420. 'State' defined. 421. Reservation of right to amend or repeal chapter. ------DocID 43818 Document 1421 of 1438------ -CITE- 40 USC Sec. 15 to 18 -EXPCITE- TITLE 40 CHAPTER 1 -HEAD- Sec. 15 to 18. Repealed. Oct. 31, 1951, ch. 654, Sec. 1(80), (81), 65 Stat. 704 -MISC1- Section 15, acts Feb. 13, 1923, ch. 72, 42 Stat. 1239; Feb. 26, 1925, ch. 339, Sec. 1-6, 43 Stat. 983, 984; Ex. Ord. No. 6166, Sec. 2, eff. June 10, 1933; Mar. 2, 1934, ch. 38, 48 Stat. 389; 1939 Reorg. Plan No. I, Sec. 301, 303, eff. July 1, 1939, 4 F.R. 2729, 53 Stat. 1426, 1427, transferred care, maintenance, and protection of Labor Department Buildings to the Federal Works Administrator. Section 16, acts Apr. 4, 1924, ch. 84, title I, 43 Stat. 66; Feb. 26, 1925, ch. 339, Sec. 1-6, 43 Stat. 983, 984; Ex. Ord. No. 6166, Sec. 2, eff. June 10, 1933; Mar. 2, 1934, ch. 38, 48 Stat. 389; 1939 Reorg. Plan No. I, Sec. 301, 303, eff. July 1, 1939, 4 F.R. 2729, 53 Stat. 1426, 1427, transferred care, maintenance, and protection of Treasury Department Annex building to the Federal Works Administrator. Section 17, acts Feb. 13, 1923, ch. 72, 42 Stat. 1240; Feb. 26, 1925, ch. 339, Sec. 1-6, 43 Stat. 983, 984; Ex. Ord. No. 6166, Sec. 2, eff. June 10, 1933; Mar. 2, 1934, ch. 38, 48 Stat. 389; 1939 Reorg. Plan No. I, Sec. 301, 303, eff. July 1, 1939, 4 F.R. 2729, 53 Stat. 1426, 1427, transferred care, maintenance, and protection of Civil Service Commission buildings to the Federal Works Administrator. Section 18, acts Feb. 13, 1923, ch. 72, 42 Stat. 1240; Feb. 26, 1925, ch. 339, Sec. 1-6, 43 Stat. 983, 984; Ex. Ord. No. 6166, Sec. 2, eff. June 10, 1933; Mar. 2, 1934, ch. 38, 48 Stat. 389; 1939 Reorg. Plan No. I, Sec. 301, 303, eff. July 1, 1939, 4 F.R. 2729, 53 Stat. 1426, 1427, transferred care, maintenance, and protection of Interstate Commerce Commission buildings to the Federal Works Administrator. ------DocID 44428 Document 1422 of 1438------ -CITE- 40 USC CHAPTER 18 -EXPCITE- TITLE 40 CHAPTER 18 -HEAD- CHAPTER 18 - NATIONAL VISITOR CENTER FACILITIES; UNION STATION REDEVELOPMENT; CAPITOL GUIDE SERVICE -MISC1- SUBCHAPTER I - UNION STATION PART A - NATIONAL VISITOR CENTER Sec. 801. National Visitor Center; designation; parking facility; authorization of agreements and leases for use of Union Station. 802. Terms and conditions of agreements and leases. (a) General provisions. (b) Other terms and conditions. (c) Supplemental alterations and construction; competitive bidding or negotiated contract; Federal title; purchase option; limitation of fund. 803. Administration. 804. Interpretive transportation services; Federal areas. 805. Continuing study of needs of visitors to Washington metropolitan area; facility recommendations; annual report. 806. Repeals. 807. Authorization of appropriations. 808. Labor standards. 809. Steam for Union Station-National Visitor Center complex; contract; costs. PART B - UNION STATION REDEVELOPMENT 811. Assignment of right, title, and interest in the Union Station complex to the Secretary of Transportation. (a) Reservation of certain rights by the Secretary; definition. (b) Installation of new roofs and drainage systems. (c) Permission to the Secretary of Transportation to carry out certain activities. (d) Secretary to be relieved of certain obligations upon assignment and roof installation. 812. Rehabilitation and redevelopment of the Union Station complex; goals. 813. Authorization of appropriations. 814. Studies to determine feasibility of rehabilitation and improvements; implementation of recommendations. (a) Engineering survey. (b) Planning and market feasibility studies to assess commercial development potential. (c) Time for completion of studies. (d) Availability of appropriated funds. (e) Reports to Congress; commitment of Federal funds. 815. Development agreements. (a) Agreements with developers. (b) Selection of developers. (c) Modification or waiver of application of regulations. (d) Other agreements and contracts; assignment. 816. Acquisition and maintenance of property. 817. Union Station Fund; establishment; administration; authority of the Secretary to use income received toward expenses. 818. Parking facility; completion with interstate highway funds; limitation on apportionment of funds excepted; agreement with District of Columbia for the administration of the project. 819. Waiver or release of obligations under other provisions. (a) Release of Washington Terminal Company from its obligation to construct a new railroad passenger station. (b) Waiver of statutory and contractual restrictions on the use of the parking facility. (c) Use of funds appropriated under other provisions without matching funds requirement. (d) Architect of Capitol authorized to supply steam or chilled water to the Union Station complex. SUBCHAPTER II - ADVISORY COMMISSION 821. National Visitor Facilities Advisory Commission; establishment; functions. 822. Composition of Commission. (a) Tenure; Chairman. (b) Compensation and travel expenses. (c) Staff and facilities. 823. Reports and recommendations. SUBCHAPTER III - CAPITOL VISITOR CENTER 831. Capitol educational and informational center and information and distribution stations; operation agreements. SUBCHAPTER IV - CAPITOL GUIDE SERVICE 851. Capitol Guide Service. (a) Establishment; designation; supervision of Capitol Guide Board; membership of Board. (b) Guided tours; regulations. (c) Duties of Capitol Guide Board; positions of Guide in Capitol Guide Service; establishment and revision; Chief; Deputy Chief, and Assistant Chief Guide and Guides: appointment, duties, pay, and termination of employment. (d) Uniforms. (e) Acceptance of fees; prohibition. (f) Personnel detail. (g) Historical and educational information. (h) Regulations for operation of Service. (i) Disciplinary action. (j) Expenses; payment from contingent fund until availability of appropriations. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 49 App. section 1653. ------DocID 45468 Document 1423 of 1438------ -CITE- 42 USC Sec. 300d-18 -EXPCITE- TITLE 42 CHAPTER 6A SUBCHAPTER X Part B -HEAD- Sec. 300d-18. Determination of amount of allotment -STATUTE- (a) Minimum allotment Subject to the extent of amounts made available in appropriations Acts, the amount of an allotment under section 300d-11(a) of this title for a State for a fiscal year shall be the greater of - (1) the amount determined under subsection (b)(1) of this section; and (2) $250,000 in the case of each of the several States, the District of Columbia, and the Commonwealth of Puerto Rico, and $50,000 in the case of each of the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands. (b) Determination under formula (1) In general The amount referred to in subsection (a)(1) of this section for a State for a fiscal year is the sum of - (A) an amount determined under paragraph (2); and (B) an amount determined under paragraph (3). (2) Amount relating to population The amount referred to in subparagraph (A) of paragraph (1) for a State for a fiscal year is the product of - (A) an amount equal to 80 percent of the amounts appropriated under section 300d-32(a) of this title for the fiscal year and available for allotment under section 300d-11(a) of this title; and (B) a percentage equal to the quotient of - (i) an amount equal to the population of the State; divided by (ii) an amount equal to the population of all States. (3) Amount relating to square mileage The amount referred to in subparagraph (B) of paragraph (1) for a State for a fiscal year is the product of - (A) an amount equal to 20 percent of the amounts appropriated under section 300d-32(a) of this title for the fiscal year and available for allotment under section 300d-11(a) of this title; and (B) a percentage equal to the quotient of - (i) an amount equal to the lesser of 266,807 and the amount of the square mileage of the State; divided by (ii) an amount equal to the sum of the respective amounts determined for the States under clause (i). (c) Disposition of certain funds appropriated for allotments (1) In general Amounts described in paragraph (2) shall, in accordance with paragraph (3), be allotted by the Secretary to States receiving payments under section 300d-11(a) of this title for the fiscal year (other than any State referred to in paragraph (2)(C)). (2) Type of amounts The amounts referred to in paragraph (1) are any amounts made available pursuant to 300d-32(b)(3) of this title that are not paid under section 300d-11(a) of this title to a State as a result of - (A) the failure of the State to submit an application under section 300d-17 of this title; (B) the failure, in the determination of the Secretary, of the State to prepare within a reasonable period of time such application in compliance with such section; or (C) the State informing the Secretary that the State does not intend to expend the full amount of the allotment made for the State. (3) Amount The amount of an allotment under paragraph (1) for a State for a fiscal year shall be an amount equal to the product of - (A) an amount equal to the amount described in paragraph (2) for the fiscal year involved; and (B) the percentage determined under subsection (b)(2) of this section for the State. -SOURCE- (July 1, 1944, ch. 373, title XII, Sec. 1218, as added Nov. 16, 1990, Pub. L. 101-590, Sec. 3, 104 Stat. 2924.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 300d-11, 300d-32 of this title. ------DocID 45660 Document 1424 of 1438------ -CITE- 42 USC Sec. 300aa-18 -EXPCITE- TITLE 42 CHAPTER 6A SUBCHAPTER XIX Part 2 subpart a -HEAD- Sec. 300aa-18. Repealed. Pub. L. 100-203, title IV, Sec. 4303(d)(2)(B), Dec. 22, 1987, 101 Stat. 1330-222 -MISC1- Section, act July 1, 1944, ch. 373, title XXI, Sec. 2118, as added Nov. 14, 1986, Pub. L. 99-660, title III, Sec. 311(a), 100 Stat. 3771, provided for annual increases for inflation of compensation under subsections (a)(2) and (a)(4) of section 300aa-15 of this title and civil penalty under section 300aa-27(b) of this title. ------DocID 45699 Document 1425 of 1438------ -CITE- 42 USC Sec. 300cc-18 -EXPCITE- TITLE 42 CHAPTER 6A SUBCHAPTER XXI Part B -HEAD- Sec. 300cc-18. Development of model protocols for clinical care of infected individuals -STATUTE- (a) In general (1) The Secretary may make grants to public and nonprofit private entities for the establishment of projects to develop model protocols for the clinical care of individuals infected with the etiologic agent for acquired immune deficiency syndrome. (2) The Secretary may not make a grant under paragraph (1) unless - (A) the applicant for the grant is a provider of comprehensive primary care; or (B) the applicant for the grant agrees, with respect to the project carried out pursuant to paragraph (1), to enter into a cooperative arrangement with an entity that is a provider of comprehensive primary care. (b) Requirement of provision of certain services The Secretary may not make a grant under subsection (a) of this section unless the applicant for the grant agrees that, with respect to patients participating in the project carried out with the grant, services provided pursuant to the grant will include - (1) monitoring, in clinical laboratories, of the condition of such patients; (2) clinical intervention for infection with the etiologic agent for acquired immune deficiency syndrome, including measures for the prevention of conditions arising from the infection; (3) information and counseling on the availability of treatments for such infection approved by the Commissioner of Food and Drugs, on the availability of treatments for such infection not yet approved by the Commissioner, and on the reports issued by the Clinical Research Review Committee under section 300cc-3(c)(2)(B) of this title; (4) support groups; and (5) information on, and referrals to, entities providing appropriate social support services. (c) Limitation on imposition of charges for services The Secretary may not make a grant under subsection (a) of this section unless the applicant for the grant agrees that, if the applicant will routinely impose a charge for providing services pursuant to the grant, the applicant will not impose the charge on any individual seeking such services who is unable to pay the charge. (d) Evaluation and reports (1) The Secretary may not make a grant under subsection (a) of this section unless the applicant for the grant agrees, with respect to the project carried out pursuant to subsection (a) of this section, to submit to the Secretary - (A) information sufficient to assist in the replication of the model protocol developed pursuant to the project; and (B) such reports as the Secretary may require. (2) The Secretary shall provide for evaluations of projects carried out pursuant to subsection (a) of this section and shall annually submit to the Congress a report describing such projects. The report shall include the findings made as a result of such evaluations and may include any recommendations of the Secretary for appropriate administrative and legislative initiatives with respect to the program established in this section. (e) Authorization of appropriations For the purpose of carrying out this section, there are authorized to be appropriated such sums as may be necessary for each of the fiscal years 1989 through 1991. -SOURCE- (July 1, 1944, ch. 373, title XXIII, Sec. 2318, as added Nov. 4, 1988, Pub. L. 100-607, title II, Sec. 201(4), 102 Stat. 3073.) ------DocID 45736 Document 1426 of 1438------ -CITE- 42 USC Sec. 300ee-18 -EXPCITE- TITLE 42 CHAPTER 6A SUBCHAPTER XXIII Part A -HEAD- Sec. 300ee-18. Failure to comply with agreements -STATUTE- (a) Repayment of payments (1) The Secretary may, subject to subsection (c) of this section, require a State to repay any payments received by the State under section 300ee-11(a) of this title that the Secretary determines were not expended by the State in accordance with the agreements required to be contained in the application submitted by the State pursuant to section 300ee-13 of this title. (2) If a State fails to make a repayment required in paragraph (1), the Secretary may offset the amount of the repayment against the amount of any payment due to be paid to the State under section 300ee-11(a) of this title. (b) Withholding of payments (1) The Secretary may, subject to subsection (c) of this section, withhold payments due under section 300ee-11(a) of this title if the Secretary determines that the State involved is not expending amounts received under such section in accordance with the agreements required to be contained in the application submitted by the State pursuant to section 300ee-13 of this title. (2) The Secretary shall cease withholding payments from a State under paragraph (1) if the Secretary determines that there are reasonable assurances that the State will expend amounts received under section 300ee-11(a) of this title in accordance with the agreements referred to in such paragraph. (3) The Secretary may not withhold funds under paragraph (1) from a State for a minor failure to comply with the agreements referred to in such paragraph. (c) Opportunity for hearing Before requiring repayment of payments under subsection (a)(1) of this section, or withholding payments under subsection (b)(1) of this section, the Secretary shall provide to the State an opportunity for a hearing conducted within the State. (d) Prompt response to serious allegations The Secretary shall promptly respond to any complaint of a substantial or serious nature that a State has failed to expend amounts received under section 300ee-11(a) of this title in accordance with the agreements required to be contained in the application submitted by the State pursuant to section 300ee-13 of this title. (e) Investigations (1) The Secretary shall conduct in several States in each fiscal year investigations of the expenditure of payments received by the States under section 300ee-11(a) of this title in order to evaluate compliance with the agreements required to be contained in the applications submitted to the Secretary pursuant to section 300ee-13 of this title. (2) The Comptroller General of the United States may conduct investigations of the expenditure of funds received under section 300ee-11(a) of this title by a State in order to ensure compliance with the agreements referred to in paragraph (1). (3) Each State, and each entity receiving funds from payments made to a State under section 300ee-11(a) of this title, shall make appropriate books, documents, papers, and records available to the Secretary and the Comptroller General of the United States, or any of their duly authorized representatives, for examination, copying, or mechanical reproduction on or off the premises of the appropriate entity upon a reasonable request therefor. (4)(A) In conducting any investigation in a State, the Secretary and the Comptroller General of the United States may not make a request for any information not readily available to the State, or to an entity receiving funds from payments made to the State under section 300ee-11(a) of this title, or make an unreasonable request for information to be compiled, collected, or transmitted in any form not readily available. (B) Subparagraph (A) shall not apply to the collection, compilation, or transmittal of data in the course of a judicial proceeding. -SOURCE- (July 1, 1944, ch. 373, title XXV, formerly title XV, Sec. 2508, as added Nov. 4, 1988, Pub. L. 100-607, title II, Sec. 221, 102 Stat. 3099, amended Nov. 18, 1988, Pub. L. 100-690, title II, Sec. 2619(f) ((g)), 102 Stat. 4243, and renumbered title XXV, Aug. 16, 1989, Pub. L. 101-93, Sec. 5(e)(1), 103 Stat. 612.) -MISC1- PRIOR PROVISIONS A prior section 2508 of act July 1, 1944, was successively renumbered by subsequent acts, see section 300aaa-7 of this title. AMENDMENTS 1988 - Subsec. (a). Pub. L. 100-690, Sec. 2619(f)(1) ((g)(1)), substituted '300ee-13 of this title' for '300ee-17 of this title'. Subsec. (b). Pub. L. 100-690, Sec. 2619(f)(2) ((g)(2)), inserted 'of payments' after 'Withholding' in heading and substituted '300ee-13 of this title' for '300ee-17 of this title' in par. (1). Subsecs. (d), (e)(1). Pub. L. 100-690, Sec. 2619(f)(3), (4) ((g)(3), (4)), substituted '300ee-13 of this title' for '300ee-17 of this title'. EFFECTIVE DATE OF 1988 AMENDMENT Amendment by Pub. L. 100-690 effective immediately after enactment of Pub. L. 100-607, which was approved Nov. 4, 1988, see section 2600 of Pub. L. 100-690, set out as a note under section 242m of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 300ee-16 of this title. ------DocID 45759 Document 1427 of 1438------ -CITE- 42 USC Sec. 300ff-18 -EXPCITE- TITLE 42 CHAPTER 6A SUBCHAPTER XXIV Part A -HEAD- Sec. 300ff-18. Authorization of appropriations -STATUTE- There are authorized to be appropriated to make grants under this part, $275,000,000 in each of the fiscal years 1991 and 1992, and such sums as may be necessary in each of the fiscal years 1993 through 1995. -SOURCE- (July 1, 1944, ch. 373, title XXVI, Sec. 2608, as added Aug. 18, 1990, Pub. L. 101-381, title I, Sec. 101(3), 104 Stat. 585.) -MISC1- PRIOR PROVISIONS A prior section 2608 of act July 1, 1944, was renumbered by subsequent act, see section 300aaa-7 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 300ff-13, 300ff-15 of this title. ------DocID 46648 Document 1428 of 1438------ -CITE- 42 USC CHAPTER 18 -EXPCITE- TITLE 42 CHAPTER 18 -HEAD- CHAPTER 18 - YOUTH MEDALS -MISC1- Sec. 1921. Establishment of medals for bravery; rules and regulations; conditions governing awards. 1922. Establishment of medals for character and service; condition governing awards. 1923. Names of medals; presentation. 1924. Certificate of commendation accompanying awards; limitation on number of yearly awards. 1925. Report to Congress. 1926. Authorization of appropriations. ------DocID 46727 Document 1429 of 1438------ -CITE- 42 USC Sec. 1962d-18 -EXPCITE- TITLE 42 CHAPTER 19B SUBCHAPTER IV -HEAD- Sec. 1962d-18. Study of depletion of natural resources of regions of Colorado, Kansas, New Mexico, Oklahoma, Texas, and Nebraska utilizing Ogallala aquifer; plans; reports to Congress; authorization of appropriation -STATUTE- In order to assure an adequate supply of food to the Nation and to promote the economic vitality of the High Plains Region, the Secretary of Commerce (hereinafter referred to in this section as the 'Secretary'), acting through the Economic Development Administration, in cooperation with the Secretary of the Army, acting through the Chief of Engineers, and appropriate Federal, State, and local agencies, and the private sector, is authorized and directed to study the depletion of the natural resources of those regions of the States of Colorado, Kansas, New Mexico, Oklahoma, Texas, and Nebraska presently utilizing the declining water resources of the Ogallala acquifer, and to develop plans to increase water supplies in the area and report thereon to Congress, together with any recommendations for further congressional action. In formulating these plans, the Secretary is directed to consider all past and ongoing studies, plans, and work on depleted water resources in the region, and to examine the feasibility of various alternatives to provide adequate water supplies in the area including, but not limited to, the transfer of water from adjacent areas, such portion to be conducted by the Chief of Engineers to assure the continued economic growth and vitality of the region. The Secretary shall report on the costs of reasonably available options, the benefits of various options, and the costs of inaction. If water transfer is found to be a part of a reasonable solution, the Secretary, as part of his study, shall include a recommended plan for allocating and distributing water in an equitable fashion, taking into account existing water rights and the needs for future growth of all affected areas. An interim report, with recommendations, shall be transmitted to the Congress no later than October 1, 1978, and a final report, with recommendations, shall be transmitted to Congress not later than July 1, 1980. A sum of $6,000,000 is authorized to be appropriated for the purposes of carrying out this section. -SOURCE- (Pub. L. 94-587, Sec. 193, Oct. 22, 1976, 90 Stat. 2943.) -COD- CODIFICATION Section was enacted as part of the Water Resources Development Act of 1976, and not as part of the Water Resources Planning Act which comprises this chapter. ------DocID 50992 Document 1430 of 1438------ -CITE- 43 USC Sec. 18 -EXPCITE- TITLE 43 CHAPTER 1 -HEAD- Sec. 18. Copies of papers filed -STATUTE- Whenever any person claiming to be interested in or entitled to land, under any grant or patent from the United States, applies to the Department of the Interior for copies of papers filed and remaining therein, in anywise affecting the title to such land, it shall be the duty of the Secretary of the Interior to cause such copies to be made out and authenticated, under his hand and the seal of the Bureau of Land Management, for the person so applying. -SOURCE- (R.S. Sec. 460; 1946 Reorg. Plan No. 3, Sec. 403, eff. July 16, 1946, 11 F.R. 7876, 60 Stat. 1100.) -COD- CODIFICATION R.S. Sec. 460 derived from acts Jan. 23, 1823, ch. 6, 3 Stat. 721; July 4, 1836, ch. 352, Sec. 7, 5 Stat. 111. -TRANS- TRANSFER OF FUNCTIONS For transfer of functions of other officers, employees, and agencies of Department of the Interior, with certain exceptions, to Secretary of the Interior, with power to delegate, see Reorg. Plan No. 3 of 1950, Sec. 1, 2, eff. May 24, 1950, 15 F.R. 3174, 64 Stat. 1262, set out under section 1451 of this title. 'Bureau of Land Management' substituted for 'General Land Office' on authority of section 403 of Reorg. Plan No. 3 of 1946. See note set out under section 1 of this title. -CROSS- FEDERAL RULES OF CIVIL PROCEDURE Proof of official records, see rule 44, Title 28, Appendix, Judiciary and Judicial Procedure. CROSS REFERENCES Authenticated copies of official papers to be furnished, on request and on payment of a fee, by Secretary of Interior or other department head, see sections 1460, 1461, and 1462 of this title and section 1733 of Title 28, Judiciary and Judicial Procedure. Government records and papers; copies, see section 1733 of Title 28. ------DocID 51747 Document 1431 of 1438------ -CITE- 43 USC CHAPTER 18 -EXPCITE- TITLE 43 CHAPTER 18 -HEAD- CHAPTER 18 - SURVEY OF PUBLIC LANDS -MISC1- Sec. 751. Rules of survey. 751a. Survey system extended to Alaska. 751b. Surveys in Nome and Fairbanks districts. 752. Boundaries and contents of public lands; how ascertained. 753. Lines of division of half quarter sections; how run. 754 to 756. Repealed. 757. Cost of survey of private land claims to be reported and paid. 758. Delivery of patent contingent on refund of cost of survey. 759. Survey for and by settlers in township. 760. Deposit for expenses deemed an appropriation. 761. Repayment of excess of deposits to cover cost of surveys of mineral lands. 762. Deposits made by settlers for surveys to go in part payment of lands. 763. Deposits in Louisiana applicable to resurveys. 764, 765. Repealed. 766. Geological surveys, extension of public surveys, expenses of subdividing. 767 to 769. Repealed. 770. Rectangular mode of survey; departure from. 771. Repealed. 772. Resurveys or retracements to mark boundaries of undisposed lands. 773. Resurveys or retracements of township lines, etc. 774. Protection of surveyor by marshal. 775. Omitted. ------DocID 53042 Document 1432 of 1438------ -CITE- 45 USC CHAPTER 18 -EXPCITE- TITLE 45 CHAPTER 18 -HEAD- CHAPTER 18 - MILWAUKEE RAILROAD RESTRUCTURING -MISC1- Sec. 901. Congressional findings. 902. Definitions. 903. Sales and transfers. 904. Court approved abandonments and sales. (a) Abandonment of lines of railroad under section 1170 of title 11. (b) Sale or transfer of lines of railroad. (c) Effect on priorities and timing of employee protection payments. 905. Employee or employee-shipper ownership plan. (a) Submission of plan to Commission; approval; findings. (b) Submission of findings to bankruptcy court. (c) Implementation of plan. (d) Judicial review. (e) Furnishing of reports and other information for preparation of plan. 906. Guarantee of trustee certificates. (a) to (c) Omitted. (d) Authorization. (e) Amount of guarantee. (f) Subordination of claims. (g) Availability of funds. (h) Cancellation of United States obligations. 907. Railroad hiring. 908. Employee protection agreements. (a) Agreement between Milwaukee Railroad and labor organizations. (b) Submission of matter to National Mediation Board. (c) Fair and equitable agreements. (d) Payment of benefits and allowances. 909. Supplementary unemployment insurance. (a) Eligible employees. (b) Period of payment. (c) Amount of payment. (d) Filing of application. (e) Insurance as compensation. (f) Employees not covered. (g) Furloughed employees. 910. Repealed. 911. New career training assistance. (a) Eligible employees. (b) Commencement of training as condition. (c) Filing of application; Board determination. (d) Assistance prohibited after April 1, 1984. (e) Definitions. 912. Election. 913. Authorization of appropriations. 914. Obligation guarantees. (a) Authorization. (b) Obligations as administrative expense. (c) Limit on aggregate unpaid principal amount. (d) Limit on total liability. (e) Liability of United States respecting section 908 agreements. (f) Applicability of section 836 of this title. 915. Court approved abandonment and sales in pending cases. (a) Abandonment of lines of railroad under Bankruptcy Act. (b) Sale or transfer of lines of railroad under Bankruptcy Act. (c) Judicial review. (d) Authority of bankruptcy court. (e) Effect on priorities and timing of employee protection payments. 916. Directed service. 917. Applicability of National Environmental Policy Act. 918. Authority of Railroad Retirement Board. 919. Publications and reports. 920. Continuation of service. 921. Office of Rail Public Counsel. 922. Employee stock ownership plan for surviving portion of Milwaukee Railroad. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in sections 231f, 1018 of this title. ------DocID 53687 Document 1433 of 1438------ -CITE- 46 USC APPENDIX - SHIPPING CHAPTER 18 -EXPCITE- TITLE 46 APPENDIX CHAPTER 18 -HEAD- CHAPTER 18 - MERCHANT SEAMEN -MISC1- SUBCHAPTER VII - PROTECTION AND RELIEF Sec. 674. List of crew to be delivered to collector. 675. Certificate to list of crew; record. 676. Rules as to list of crew. 677. Production of copy of list on return of vessel; production of persons named. 688. Recovery for injury to or death of seaman. (a) Application of railway employee statutes; jurisdiction. (b) Limitation for certain aliens; applicability in lieu of other remedy. ------DocID 55234 Document 1434 of 1438------ -CITE- 49 USC APPENDIX - TRANSPORTATION Sec. 18 -EXPCITE- TITLE 49, APPENDIX CHAPTER 1 -HEAD- Sec. 18. Repealed. Pub. L. 95-473, Sec. 4(b), (c), Oct. 17, 1978, 92 Stat. 1466, 1470 -MISC1- Section repealed subject to an exception related to transportation of oil by pipeline. For disposition of this section in revised Title 49, Transportation, see Table at beginning of Title 49. See, also, notes following Table. Prior to repeal, section read as follows: Sec. 18. Employees; appointment and compensation; witness fees; expenses (1) Commissioners' salaries; secretary and employees; compensation; witness fees Each commissioner shall receive an annual salary, payable in the same manner as the judges of the courts of the United States. The Commission shall appoint a secretary. The Commission shall have authority to employ and fix the compensation of such other employees as it may find necessary to the proper performance of its duties. Until otherwise provided by law, the Commission may hire suitable offices for its use, and shall have authority to procure all necessary office supplies. Witnesses summoned before the Commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States. (2) Expenses of Commission All of the expenses of the Commission, including all necessary expenses for transportation incurred by the commissioners, or by their employees under their orders, in making any investigation, or upon official business in any other places than in the city of Washington, shall be allowed and paid on the presentation of itemized vouchers therefor approved by the chairman of the Commission. (Feb. 4, 1887, ch. 104, pt. I, Sec. 17, 18, 24, 24 Stat. 386, 387; Mar. 2, 1889, ch. 382, Sec. 7, 25 Stat. 861; June 29, 1906, ch. 3591, Sec. 8, 34 Stat. 595; Aug. 9, 1917, ch. 50, Sec. 1-3, 40 Stat. 270; Feb. 28, 1920, ch. 91, Sec. 433, 440, 41 Stat. 493, 497.) ------DocID 55450 Document 1435 of 1438------ -CITE- 49 USC APPENDIX - TRANSPORTATION CHAPTER 18 -EXPCITE- TITLE 49, APPENDIX CHAPTER 18 -HEAD- CHAPTER 18 - AIRWAYS MODERNIZATION ------DocID 56160 Document 1436 of 1438------ -CITE- 50 USC CHAPTER 18 -EXPCITE- TITLE 50 CHAPTER 18 -HEAD- CHAPTER 18 - AIR-WARNING SCREEN -MISC1- Sec. 491. Establishment and development of land-based air warning and control installations and facilities; extent of appropriation; procurement of communication services. 492. Acquisition of land. 493. Authorization of appropriations. 494. Supervision and control of project. ------DocID 56384 Document 1437 of 1438------ -CITE- 50 USC APPENDIX - WAR AND NATIONAL DEFENSE Sec. 18 -EXPCITE- TITLE 50 APPENDIX TRADING WITH THE ENEMY ACT OF 1917 ACT OCT -HEAD- Sec. 18. Jurisdiction of courts of Philippines and Canal Zone of offenses -STATUTE- The several courts of first instance in the Philippine Islands and the district court of the Canal Zone shall have jurisdiction of offenses under this Act (sections 1 to 6, 7 to 39, and 41 to 44 of this Appendix) committed within their respective districts, and concurrent jurisdiction with the district courts of the United States of offenses under this Act (said sections) committed upon the high seas and of conspiracies to commit such offenses as defined by section thirty-seven of the Act entitled 'An Act to codify, revise, and amend the penal laws of the United States,' approved March fourth, nineteen hundred and nine, and the provisions of such section for the purpose of this Act (said sections) are extended to the Philippine Islands and to the Canal Zone. -SOURCE- (Oct. 6, 1917, ch. 106, Sec. 18, 40 Stat. 425.) -REFTEXT- REFERENCES IN TEXT Section thirty-seven of the Act entitled 'An Act to codify, revise, and amend the penal laws of the United States,' approved March fourth, nineteen hundred and nine, referred to in text, enacted section 88 of former Title 18, Criminal Code and Criminal Procedure, and was repealed by act June 25, 1948, ch. 645, Sec. 21, 62 Stat. 862, and reenacted as section 371 of Title 18, Crimes and Criminal Procedure. -TRANS- TERMINATION OF UNITED STATES DISTRICT COURT FOR THE DISTRICT OF THE CANAL ZONE For termination of the United States District Court for the District of the Canal Zone at end of the 'transition period', being the 30-month period beginning Oct. 1, 1979, and ending midnight Mar. 31, 1982, see Paragraph 5 of Article XI of the Panama Canal Treaty of 1977 and sections 3831 and 3841 to 3843 of Title 22, Foreign Relations and Intercourse. -MISC5- PHILIPPINE INDEPENDENCE Proc. No. 2695, eff. July 4, 1946, 11 F.R. 7517, 60 Stat. 1352, issued pursuant to section 1394 of Title 22, Foreign Relations and Intercourse, recognized the independence of the Philippine Islands as of July 4, 1946, and is set out under that section. -CROSS- CROSS REFERENCES Jurisdiction of courts of Philippine Islands continued, see section 1382 of Title 22, Foreign Relations and Intercourse. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in title 28 section 2680. ------DocID 56420 Document 1438 of 1438------ -CITE- 50 USC APPENDIX - WAR AND NATIONAL DEFENSE ACT MAY 18, 1917, CH -EXPCITE- TITLE 50 APPENDIX SELECTIVE DRAFT ACT OF 1917 ACT MAY 18, 1917, CH -HEAD- ACT MAY 18, 1917, CH. 15, 40 STAT. 76 ------End Document Listing------ Thank You For Using I-SEARCH.