Sourcebook 2006

U. S. Sentencing Commission’s
Sourcebook of Federal Sentencing Statistics

 

Introduction

This is the eleventh edition of the United States Sentencing Commission’s Sourcebook of Federal Sentencing Statistics. This Sourcebook contains descriptive statistics on the application of the federal sentencing guidelines and provides selected district, circuit, and national sentencing data. The volume covers fiscal year 2006 (October 1, 2005, through September 30, 2006, hereinafter “2006”). This Sourcebook together with the 2006 Annual Report constitutes the annual report referenced in 28 U.S.C. § 997, as well as the analysis, recommendations, and accounting to Congress referenced in 28 U.S.C. § 994(w)(3).

The Commission has continued its statutory mission to collect data on federal sentencing decisions. The Commission received documentation on 72,585 cases sentenced in 2006 under the Sentencing Reform Act. The Commission coded and assimilated the information from these sentencings into its comprehensive, computerized data collection system.

Background

The Commission collects and analyzes data on federal sentences to support its varied activities. As authorized by Congress, the Commission’s numerous research responsibilities include (1) the establishment of a research and development program to serve as a clearinghouse and information center for the collection, preparation, and dissemination of information on federal sentencing practices; (2) the publication of data concerning the sentencing process; (3) the systematic collection and dissemination of information concerning sentences actually imposed and the relationship of such sentences to the factors set forth in section 3553(a) of title 18, United States Code; and (4) the systematic collection and dissemination of information regarding the effectiveness of sentences imposed (28 U.S.C. § 995(a)(12) and (14) through (16).

The Commission maintains a comprehensive, computerized data collection system which forms the basis for its clearinghouse of federal sentencing information and which contributes to the agency’s research mission.

Pursuant to 28 U.S.C. § 994(w), each chief judge of a district is required to ensure that within 30 days of entry of judgment in a criminal case, the sentencing court submits a report of sentence to the Commission that includes (1) the judgment and commitment order; (2) the statement of reasons; (3) any plea agreement; (4) the indictment or other charging document; (5) the presentence report; and (6) any other information the Commission needs.

On March 9, 2006, the President signed into law the USA PATRIOT Improvement and Reauthorization Act, Pub. L. No. 109–177, which amended section 994(w) with a provision that requires that the statement of reasons for the sentence imposed be “stated on the written statement of reasons form issued by the Judicial Conference and approved by the United States Sentencing Commission.” On May 15, 2006, the Sentencing Commission approved AO Form 245B/C, Rev. 06/05 for individual defendants, and sentencing courts are now required to use this form.

Data from these documents are extracted and coded for input into various databases. It should be noted that data collection is a dynamic rather than a static process. When research questions arise, the Commission either analyzes existing data or adds information to its data collection system.

The Commission’s computerized datasets, without individual identifiers, are available via tape and the Internet through the Inter-University Consortium for Political and Social Research at the University of Michigan (ICPSR) and the Federal Justice Statistics Resource Center.1

Datasets

For each case in its Offender Dataset, the Commission routinely collects case identifiers, sentencing data, demographic variables, statutory information, the complete range of court guideline decisions, and departure and variance information. Throughout 2006, the Commission continued to add data elements to its extensive computerized datafile on defendants sentenced under the guidelines. In addition to its standard data collection, the Commission often codes additional variables to study various distinct issues (e.g., drug offenses, criminal history).

The Commission’s 2006 USSC Offender Dataset contains documentation on 72,585 cases sentenced under the Sentencing Reform Act between October 1, 2005, and September 30, 2006. A “case” is defined as one sentencing event for an individual defendant.

The Organizational Dataset captures information on organizations sentenced under Chapter Eight of the guidelines. The Commission collects available data on organizational structure, size, and economic viability; offense of conviction; mode of adjudication; sanctions imposed (including probation and court-ordered compliance programs); and application of the sentencing guidelines. The Commission received information on 217 organizations that were sentenced under Chapter Eight of the sentencing guidelines in 2006.

While the 2006 reporting year includes cases sentenced between October 1, 2005, and September 30, 2006, it is important to note that the offender and organizational data collected and analyzed in the 2006 Annual Report and 2006 Sourcebook of Sentencing Statistics reflect only cases reported to the Commission (i.e., guidelines cases for which the courts forwarded appropriate documentation to the Commission).

The Appeals Dataset tracks appellate review of sentencing decisions. Information captured in this module includes district, circuit, date of opinion, sentencing issues, and the appellate court’s disposition.2 The Commission also tracks final opinions and orders, both published and unpublished, in federal criminal appeals. In 2006, the Commission gathered information on 10,052 appellate court cases.

The appeals data system uses both the “group” and the “defendant” units of analysis. Each group comprises individual records representing all codefendants participating in a consolidated appeal. Each defendant’s record comprises the sentencing-related issues corresponding to that particular defendant. These records, linked together by a unique Commission-assigned appeals identification number, constitute a single group.


1 Commission datasets can be accessed using the Internet address http://www.ICPSR.umich.edu/ or http://fjsrc.urban.org/index.cfm.

2 See 2006 U.S. Sent’g Comm’n Ann. Rep. p. 32 note 47.

 

Table of Contents

Tables and Figures

Topic Table/Figure Number
Circuit and District Statistics  
  Document Submission Rate of Each Circuit and District Table 1
  Guideline Offenders in Each Circuit and District Table 2
Primary Offense and Offender Characteristics  
  Distribution of Offenders in Each Primary Offense Category Figure A
  Guideline Offenders in Each Primary Offense Category Table 3
  Number of Guideline Offenders in Selected Offense Types Figure B
  Race of Offenders in Each Primary Offense Category Table 4
  Gender of Offenders in Each Primary Offense Category Table 5
  Age Of Offenders in Each Primary Offense Category Table 6
  Age, Race, and Gender of Offenders Table 7
  Education of Offenders in Each Primary Offense Category Table 8
  Citizenship of Offenders in Each Primary Offense Category Table 9
Sentencing Information  

 

Guilty Pleas and Trial Rates Figure C

 

Guilty Pleas and Trials in Each Circuit and District Table 10

 

Guilty Pleas and Trials in Each Primary Offense Category Table 11

 

Distribution of Offenders Receiving Sentencing Options Figure D

 

Offenders Receiving Sentencing Options in Each Primary Offense Category Table 12

 

Average Sentence Length in Each Primary Offense Category Table 13

 

Average Length of Imprisonment for Offenders in Each Criminal History Category by Primary Offense Category Table 14

 

Average Length of Imprisonment in Each General Crime Category Figure E

 

Offenders Receiving Fines and Restitution in Each Primary Offense Category Table 15

 

Type of Sentence Imposed on Offenders in Each Sentencing Zone Table 16

 

Imprisonment Rates of Offenders Eligible for Non-Prison Sentences in Selected Offense Types Figure F
Guideline Application  

 

Offenders Sentenced for Each Chapter Two Guideline Table 17

 

Offenders Receiving Each Chapter Three Guideline Adjustment Table 18

 

Offenders Receiving Acceptance of Responsibility Reductions in Each Primary Offense Category Table 19

 

Offenders Receiving Chapter Four Criminal History Points Table 20

 

Offenders in Each Offense Level and Criminal History Category Table 21

 

Offenders Receiving Career Offender/Armed Career Criminal Adjustments in Each Primary Offense Category Table 22
  Offenders in Each Guideline Sentencing Range Table 23
Departures and Sentences Within the Guideline Range

 

National Comparison of Sentence Imposed and Position Relative to the Guideline Range Table N

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (DC Circuit) Table N-DC

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (1st Circuit) Table N-1

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (2nd Circuit) Table N-2

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (3rd Circuit) Table N-3

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (4th Circuit) Table N-4

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (5th Circuit) Table N-5

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (6th Circuit) Table N-6

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (7th Circuit) Table N-7

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (8th Circuit) Table N-8

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (9th Circuit) Table N-9

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (10th Circuit) Table N-10

 

Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (11th Circuit) Table N-11
  Percent of Offenders Receiving Each Type of Departure Figure G
  Reasons Given by Sentencing Courts for Upward Departures from the Guideline Range Table 24
  Reasons Given by Sentencing Courts for Upward Departures With Booker/18 U.S.C. § 3553 Table 24A
  Reasons Given by Sentencing Courts for Sentences Above the Guideline Range With Booker/18 U.S.C. § 3553 Table 24B
  Reasons Given by Sentencing Courts for All Remaining Sentences Above the Guideline Range Table 24C
  Reasons Given by Sentencing Courts for Downward Departures from the Guideline Range Table 25
  Reasons Given by Sentencing Courts for Downward Departures from the Guideline Range With Booker/18 U.S.C. § 3553 Table 25A
  Reasons Given by Sentencing Courts for Sentences Below the Guideline Range With Booker/18 U.S.C. § 3553 Table 25B
  Reasons Given by Sentencing Courts for All Remaining Sentences Below the Guideline Range Table 25C
  Sentences Relative to the Guideline Range by Circuit and District Table 26
  Sentences Relative to the Guideline Range by Each Primary Offense Category Table 27
  Sentences Relative to the Guideline Range by Each Primary Sentencing Guideline Table 28
  Sentences Relative to the Guideline Range in Each Outside of the Range Attribution Category Table 28A
  Within-Range Cases: Position of Sentence for Offenders in Each Primary Offense Category Table 29
  Position of Sentence Within Sentencing Range for Selected Offenses Figure H
  §5K1.1 Substantial Assistance Departure Cases: Degree of Decrease for Offenders in Each Primary Offense Category Table 30
  §5K3.1 Early Disposition Program Departure Cases: Degree of Decrease for Offenders in Each Primary Offense Category Table 30A
  Other Government Sponsored Below Range Cases: Degree of Decrease for Offenders in Each Primary Offense Category Table 31
  Downward Departures from Guideline Range: Degree of Decrease for Offenders in Each Primary Offense Category Table 31A
  Downward Departures With Booker/18 U.S.C. § 3553: Degree of Decrease for Offenders in Each Primary Offense Category Table 31B
  Below Guideline Range With Booker/18 U.S.C. § 3553: Degree of Decrease for Offenders in Each Primary Offense Category Table 31C
  All Remaining Below Guideline Range Cases: Degree of Decrease for Offenders in Each Primary Offense Category Table 31D
  Upward Departures from Guideline Range: Degree of Increase for Offenders in Each Primary Offense Category Table 32
  Upward Departures With Booker/18 U.S.C. § 3553: Degree of Increase for Offenders in Each Primary Offense Category Table 32A
  Above Guideline Range With Booker/18 U.S.C. § 3553: Degree of Increase for Offenders in Each Primary Offense Category Table 32B
  All Remaining Above Guideline Range Cases: Degree of Increase for Offenders In Each Primary Offense Category Table 32C
Drug Cases  

 

Distribution of Guideline Drug Offenses Figure I

 

Primary Drug Type of Offenders Sentenced Under Each Drug Guideline Table 33

 

Race of Drug Offenders for Each Drug Type Table 34

 

Gender of Drug Offenders for Each Drug Type Table 35

 

Citizenship of Drug Offenders for Each Drug Type Table 36

 

Criminal History Category of Drug Offenders for Each Drug Type Table 37

 

Plea and Trial Rates of Drug Offenders for Each Drug Type Table 38

 

Weapon Involvement of Drug Offenders for Each Drug Type Table 39

 

Role Adjustment of Drug Offenders for Each Drug Type Table 40

 

Acceptance of Responsibility of Drug Offenders for Each Drug Type Table 41

 

Mean and Median Drug Amounts (In Grams) for Selected Base Offense Levels and Drug Types Table 42

 

Drug Offenders Receiving Mandatory Minimums for Each Drug Type Table 43

 

Drug Offenders Receiving Safety Valve and Mandatory Minimums for Each Drug Type Table 44

 

Sentences Relative to the Guideline Range for Drug Offenders by Each Drug Type Table 45

 

Average Length of Imprisonment in Each Drug Type Figure J

 

Distribution of Drug Type Figure K

 

Mean Length of Imprisonment for Each Drug Type Figure L
Immigration Cases  

 

Demographic and Offense Information for Immigration Offenses Table 46

 

Age of Offenders Sentenced Under Immigration Guidelines Table 47

 

Citizenship of Offenders Sentenced Under Immigration Guidelines Table 48

 

Criminal History Category and Citizenship of Offenders Sentenced Under Immigration Guidelines Table 49

 

Mean and Median Sentences of Offenders Sentenced under Immigration Guidelines by Departure Status Table 50
Organizational Sentencing Practices  

 

Organizations Receiving Fines or Restitution by Primary Offense Category and Applicability of Chapter Eight Fine Guidelines Table 51

 

Mean and Median Fine or Restitution Imposed on Sentenced Organizations by Primary Offense Category Table 52

 

Chapter Eight Organizational Sentencing Components Table 53

 

Organizations Sentenced Under Chapter Eight: Culpability Factors Table 54
Sentencing Appeals  
  Types of Appeal in Each Circuit and District Table 55

 

Type and Disposition of Appeals Cases Figure M
  Disposition of Defendant Sentencing Appeals in Each Circuit and District Table 56

 

Disposition of Government Sentencing Appeals in Each Circuit and District Table 56A
  Guideline Involved in Issues Appealed by the Defendants Table 57
  Guideline Involved in Issues Appealed by the Government Table 58
  Sentencing Issues Appealed for Selected Guidelines Table 59

 

Offense and Offender Characteristics of Appeals Defendants Table 60

 

Average Length of Imprisonment for Appeals Defendants in Each Primary Offense Category Table 61
 
Appendix A
  Descriptions of Datafiles, Variables, and Footnotes
 
Appendix B
  Selected Sentencing Statistics by District  
 
  • National
Table
 
  • Alaska
Table
 
  • Alabama Middle
Table
 
  • Alabama Northern
Table
 
  • Alabama Southern
Table
 
  • Arkansas Eastern
Table
 
  • Arkansas Western
Table
 
  • Arizona
Table
 
  • California Central
Table
 
  • California Eastern
Table
 
  • California Northern
Table
 
  • California Southern
Table
 
  • Colorado
Table
 
  • Connecticut
Table
 
  • District of Columbia
Table
 
  • Delaware
Table
 
  • Florida Middle
Table
 
  • Florida Northern
Table
 
  • Florida Southern
Table
 
  • Georgia Middle
Table
 
  • Georgia Northern
Table
 
  • Georgia Southern
Table
 
  • Guam
Table
 
  • Hawaii
Table
 
  • Iowa Northern
Table
 
  • Iowa Southern
Table
 
  • Idaho
Table
 
  • Illinois Central
Table
 
  • Illinois Northern
Table
 
  • Illinois Southern
Table
 
  • Indiana Northern
Table
 
  • Indiana Southern
Table
 
  • Kansas
Table
 
  • Kentucky Eastern
Table
 
  • Kentucky Western
Table
 
  • Louisiana Eastern
Table
 
  • Louisiana Middle
Table
 
  • Louisiana Western
Table
 
  • Massachusetts
Table
 
  • Maryland
Table
 
  • Maine
Table
 
  • Michigan Eastern
Table
 
  • Michigan Western
Table
 
  • Minnesota
Table
 
  • Missouri Eastern
Table
 
  • Missouri Western
Table
 
  • Mississippi Northern
Table
 
  • Mississippi Southern
Table
 
  • Montana
Table
 
  • North Carolina Eastern
Table
 
  • North Carolina Middle
Table
 
  • North Carolina Western
Table
 
  • North Dakota
Table
 
  • Nebraska
Table
 
  • New Hampshire
Table
 
  • New Jersey
Table
 
  • New Mexico
Table
 
  • Northern Mariana Islands
Table
 
  • Nevada
Table
 
  • New York Eastern
Table
 
  • New York Northern
Table
 
  • New York Southern
Table
 
  • New York Western
Table
 
  • Ohio Northern
Table
 
  • Ohio Southern
Table
 
  • Oklahoma Eastern
Table
 
  • Oklahoma Northern
Table
 
  • Oklahoma Western
Table
 
  • Oregon
Table
 
  • Pennsylvania Eastern
Table
 
  • Pennsylvania Middle
Table
 
  • Pennsylvania Western
Table
 
  • Puerto Rico
Table
 
  • Rhode Island
Table
 
  • South Carolina
Table
 
  • South Dakota
Table
 
  • Tennessee Eastern
Table
 
  • Tennessee Middle
Table
 
  • Tennessee Western
Table
 
  • Texas Eastern
Table
 
  • Texas Northern
Table
 
  • Texas Southern
Table
 
  • Texas Western
Table
 
  • Utah
Table
 
  • Virginia Eastern
Table
 
  • Virginia Western
Table
 
  • Virgin Islands
Table
 
  • Vermont
Table
 
  • Washington Eastern
Table
 
  • Washington Western
Table
 
  • Wisconsin Eastern
Table
 
  • Wisconsin Western
Table
 
  • West Virginia Northern
Table
 
  • West Virginia Southern
Table
 
  • Wyoming
Table