U. S. Sentencing Commission'’s 2013 Sourcebook of Federal Sentencing Statistics

Introduction

This is the eighteenth 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 2013 (October 1, 2012, through September 30, 2013, hereinafter "2013"). This Sourcebook, together with the 2013 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 80,035 federal felony and Class A misdemeanor cases in fiscal year 2013.[1] The Commission coded and edited information from the sentencing documents in these cases into its comprehensive, computerized data collection system.

Summary

 The volume covers fiscal year 2013 (October 1, 2012, through September 30, 2013, hereinafter "2013").

Background

The Commission collects and analyzes data on federal sentences to support its various 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.[2]

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), the chief judge of each 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 written 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 requests.

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.

In 2012, the Commission began making its datasets available through the Commission's website.[3] The Commission's computerized datasets, without individual identifiers, are also available through the Inter-University Consortium for Political and Social Research at the University of Michigan (ICPSR)[4] and the Federal Justice Statistics Resource Center.[5]

Datasets

<p>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 2013, 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 (<em>e.g.,</em> drug offenses, criminal history).</p><p>The Commission's 2013 USSC Offender Dataset contains documentation on 80,035 felony and Class A misdemeanor cases in which the offender was sentenced between October 1, 2012, and September 30, 2013. A "case" is defined as one sentencing event for an individual defendant.</p><p>The Organizational Dataset contains documentation on organizations sentenced pursuant to Chapter Eight of the <em>Guidelines Manual</em> in 2013. 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 172 organizations sentenced pursuant to Chapter Eight of the <em>Guidelines Manual</em>.</p><p>While the 2013 reporting year includes cases sentenced between October 1, 2012, and September 30, 2013, it is important to note that the individual offender and organizational data collected and analyzed in the <em>2013 Annual Report</em> and <em>2013 Sourcebook of Federal Sentencing Statistics</em> reflect cases for that fiscal year reported to the Commission (i.e., guidelines cases for which the courts forwarded appropriate documentation to the Commission) by February 10, 2014.</p><p>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. The Commission also tracks final opinions and orders, both published and unpublished, in federal criminal appeals. In 2013, the Commission gathered information on 9,258 cases decided by the courts of appeal. Cases involving co-appellants are treated as separate appeals for statistical purposes.</p><p>The Commission implemented a data collection system to track resentencings and other modifications of sentence in 2008. The information collected includes judicial district, reason for resentencing, new sentence, and guideline application information, if available. Information is collected on eight types of resentencings and other modifications of sentence. In 2013, the Commission received documentation on 4,429 resentencings and other modifications of sentence.</p><p>The information in this <em>Sourcebook of Federal Sentencing Statistics</em> can also be found using an on-line resource, the "Interactive Sourcebook of Federal Sentencing Statistics," available at <a href="http://isb.ussc.gov">http://isb.ussc.gov</a>. The Interactive Sourcebook was created in 2012. All of the tables and figures in this <em>Sourcebook</em> are available in the on-line version. Additionally, many other tables and figures providing further analysis of federal sentencing statistics can be found there. These additional tables and figures are not included in the printed <em>Sourcebook</em>. The data in the "Interactive Sourcebook" can be tailored to any district or group of districts, or to a circuit or group of circuits. Users can also change the fiscal year of the data presented, or group multiple years of data into one analysis. All analyses using the on-line tool can be saved into a pdf format for later use or printing.</p><hr align="left" noshade="noshade" size="1" width="200" /><p><sup>1</sup> 28 U.S.C. § 994(w); USSG §1B1.9<br /> <sup>2</sup> 28 U.S.C. §§ 995(a)(12) and (14) – (16).<br /> <sup>3</sup> The Commission's website is <a href="/research-and-publications/commission-datafiles">http://www.ussc.gov/research-and-publications/commission-datafiles</a>.<br /> <sup>4</sup> The Consortium's website address is http://www.ICPSR.umich.edu/.<br /> <sup>5</sup> The data can be found at http://fjsrc.urban.org.</p><hr />

Contents

Circuit and District Statistics
Table 1
Document Submission by Each Circuit and District
Table 2
Guideline Offenders in Each Circuit and District

Primary Offense and Offender Characteristics
Figure A
Offenders in Each Primary Offense Category
Table 3
Change in Guideline Offenders in Each Primary Offense Category
Figure B
Number of Guideline Offenders in Selected Offense Types
Table 4
Race of Offenders in Each Primary Offense Category
Table 5
Gender of Offenders in Each Primary Offense Category
Table 6
Age of Offenders in Each Primary Offense Category
Table 7
Age Race and Gender of Offenders
Table 8
Education of Offenders in Each Primary Offense Category
Table 9
Citizenship of Offenders in Each Primary Offense Category

Sentencing Information
Figure C
Guilty Pleas and Trial Rates
Table 10
Guilty Pleas and Trials in Each Circuit and District
Table 11
Guilty Pleas and Trials in Each Primary Offense Category
Figure D
Distribution of Offenders Receiving Sentencing Options
Table 12
Offenders Receiving Sentencing Options in Each Primary Offense Category
Table 13
Sentence Length in Each Primary Offense Category
Table 14
Length of Imprisonment for Offenders in Each Criminal History Category by Primary Offense Category
Figure E
Length of Imprisonment in Each General Crime Category
Table 15
Offenders Receiving Fines and Restitution in Each Primary Offense Category
Table 16
Type of Sentence Imposed on Offenders in Each Sentencing Zone
Figure F
Imprisonment Rates of Offenders Eligible for Non-Prison Sentences in Selected Offense Types

Guideline Application
Table 17
Offenders Sentenced Under Each Chapter Two Guideline
Table 18
Offenders Receiving Each Chapter Three Guideline Adjustment
Table 19
Offenders Receiving Acceptance of Responsibility Reductions in Each Primary Offense Category
Table 20
Offenders Receiving Chapter Four Criminal History Points
Table 21
Offenders in Each Offense Level and Criminal History Category
Table 22
Offenders Receiving Career Offender Armed Career Criminal Adjustments in Each Primary Offense Category
Table 23
Offenders in Each Guideline Sentencing Range

Departures and Sentences Within the Guideline Range
Table N
National Comparison of Sentence Imposed and Position Relative to the Guideline Range
Table N-DC
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (DC Circuit)
Table N-1
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (1st Circuit)
Table N-2
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (2nd Circuit)
Table N-3
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (3rd Circuit)
Table N-4
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (4th Circuit)
Table N-5
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (5th Circuit)
Table N-6
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (6th Circuit)
Table N-7
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (7th Circuit)
Table N-8
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (8th Circuit)
Table N-9
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (9th Circuit)
Table N-10
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (10th Circuit)
Table N-11
Comparison of Sentence Imposed and Position Relative to the Guideline Range by Circuit (11th Circuit)
Figure G
Comparison of Sentence Imposed and Position of Sentence Relative to the Guideline Range by Year
Table 24
Reasons Given by Sentencing Courts for Upward Departures from the Guideline Range
Table 24A
Reasons Given by Sentencing Courts for Upward Departures With Booker 18 U S C 3553
Table 24B
Reasons Given by Sentencing Courts for Sentences Above the Guideline Range With Booker 18 U S C 3553
Table 25
Reasons Given by Sentencing Courts for Downward Departures from the Guideline Range
Table 25A
Reasons Given by Sentencing Courts for Downward Departures With Booker 18 U S C 3553
Table 25B
Reasons Given by Sentencing Courts for Sentences Below the Guideline Range With Booker 18 U S C 3553
Table 26
Sentences Relative to the Guideline Range by Circuit and District
Table 27
Sentences Relative to the Guideline Range by Each Primary Offense Category
Table 27A
Sentences Relative to the Guideline Range by Each Primary Offense Category
Table 28
Sentences Relative to the Guideline Range by Each Primary Sentencing Guideline
Table 28A
Attribution Category for Cases Outside of the Guideline Range
Table 29
Within Range Cases Position of Sentence for Offenders in Each Primary Offense Category
Figure H
Within Range Cases Position of Sentence for Offenders in Selected Primary Offense Categories
Table 30
5K1 1 Substantial Assistance Departure Cases Degree of Decrease for Offenders in Each Primary Offense Category
Table 30A
5K3 1 Early Disposition Program Departure Cases Degree of Decrease for Offenders in Each Primary Offense Category
Table 31
Other Government Sponsored Below Range Cases Degree of Decrease for Offenders in Each Primary Offense Category
Table 31A
Downward Departures from Guideline Range Degree of Decrease for Offenders in Each Primary Offense Category
Table 31B
Downward Departures With Booker 18 U S C 3553 Degree of Decrease for Offenders in Each Primary Offense Category
Table 31C
Below Guideline Range With Booker 18 U S C 3553 Degree of Decrease for Offenders in Each Primary Offense Category
Table 31D
All Remaining Below Guideline Range Cases Degree of Decrease for Offenders in Each Primary Offense Category
Table 32
Upward Departures from Guideline Range Degree of Increase for Offenders in Each Primary Offense Category
Table 32A
Upward Departures With Booker 18 U S C 3553 Degree of Increase for Offenders in Each Primary Offense Category
Table 32B
Above Guideline Range With Booker 18 U S C 3553 Degree of Increase for Offenders in Each Primary Offense Category
Table 32C
All Remaining Above Guideline Range Cases Degree of Increase for Offenders In Each Primary Offense Category

Drug Cases
Figure I
Distribution of Guideline Drug Offenses
Table 33
Primary Drug Type of Offenders Sentenced Under Drug Guidelines
Table 34
Race of Drug Offenders in Each Drug Type
Table 35
Gender of Drug Offenders in Each Drug Type
Table 36
Citizenship of Drug Offenders in Each Drug Type
Table 37
Criminal History Category of Drug Offenders in Each Drug Type
Table 38
Plea and Trial Rates of Drug Offenders in Each Drug Type
Table 39
Weapon Involvement of Drug Offenders in Each Drug Type
Table 40
Role Adjustment of Drug Offenders in Each Drug Type
Table 41
Acceptance of Responsibility of Drug Offenders in Each Drug Type
Table 42
Drug Amounts (In Grams) for Selected Base Offense Levels and Drug Types
Table 43
Drug Offenders Receiving Mandatory Minimums in Each Drug Type
Table 44
Drug Offenders Receiving Safety Valve and Mandatory Minimums in Each Drug Type
Table 45
Sentences Relative to the Guideline Range for Drug Offenders in Each Drug Type
Figure J
Length of Imprisonment in Each Drug Type
Figure K
Distribution of Drug Type
Figure L
Length of Imprisonment in Each Drug Type

Immigration Cases
Table 46
Demographic and Offense Information for Immigration Offenses
Table 47
Age of Offenders Sentenced Under Immigration Guidelines
Table 48
Citizenship of Offenders Sentenced Under Immigration Guidelines
Table 49
Criminal History Category and Citizenship of Offenders Sentenced Under Immigration Guidelines
Table 50
Sentence Length of Offenders Sentenced Under Immigration Guidelines by Sentence Relative to the Guideline Range

Organizational Sentencing Practices
Table 51
Organizations Receiving Fines or Restitution by Primary Offense Category and Applicability of Chapter Eight Fine Guidelines
Table 52
Fine or Restitution Imposed on Sentenced Organizations by Primary Offense Category
Table 53
Chapter Eight Organizational Sentencing Components
Table 54
Organizations Sentenced Under Chapter Eight Culpability Factors

Sentencing Appeals
Table 55
Types of Appeal in Each Circuit and District
Figure M
Type and Disposition of Appeals Cases
Table 56
Disposition of Defendant Sentencing Appeals in Each Circuit and District
Table 56A
Disposition of Government Sentencing Appeals in Each Circuit and District
Table 57
Guideline Involved in Cases Appealed by the Defendant
Table 58
Guideline Involved in Cases Appealed by the Government
Table 59
Sentencing Issues Appealed for Selected Guidelines and Reasonableness Issues
Table 60
Offense and Offender Characteristics in Appeals Cases
Table 61
Sentence Length for Defendants in Appeals Cases in Each Primary Offense Category

Resentencing and Other Modifications of Sentence
Table 62
Type of Resentencing or Other Modification of Sentence in Each Circuit and District
Figure N
Distribution of Offenders by Type of Resentencing or Other Modification of Sentence

Appendix A
Descriptions of Datafiles Variables and Footnotes

Appendix B
Selected Sentencing Statistics by District
Table
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