U. S. Sentencing Commission's 2006 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

<p>For each case in its <strong>Offender Dataset</strong>, 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 (<em>e.g.</em>, drug offenses, criminal history).</p><p>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.</p><p>The <strong>Organizational Dataset</strong> 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.</p><p>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 <em>2006 Annual Report</em> and <em>2006 Sourcebook of Sentencing Statistics</em> reflect only cases reported to the Commission (<em>i.e</em>., guidelines cases for which the courts forwarded appropriate documentation to the Commission).</p><p>The <strong>Appeals Dataset</strong> 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.<sup>2</sup> 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.</p><p>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.</p><hr align="left" noshade="noshade" size="1" width="200" /><p><sup>1</sup> Commission datasets can be accessed using the Internet address<em> http://www.ICPSR.umich.edu/</em> or <em>http://fjsrc.urban.org/index.cfm.</em></p><p><sup>2</sup> See 2006 U.S. Sent’g Comm’n Ann. Rep. p. 32 note 47.</p><p>&nbsp;</p>

Tables and Figures

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

Primary Offense and Offender Characteristics
Figure A
Distribution of Offenders in Each Primary Offense Category
Table 3
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
Average Sentence Length in Each Primary Offense Category
Table 14
Average Length of Imprisonment for Offenders in Each Criminal History Category by Primary Offense Category
Figure E
Average 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 for 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
Percent of Offenders Receiving Each Type of Departure
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 24C
Reasons Given by Sentencing Courts for All Remaining Sentences Above the Guideline Range
Table 25
Reasons Given by Sentencing Courts for Downward Departures from the Guideline Range
Table 25A
Reasons Given by Sentencing Courts for Downward Departures from the Guideline Range 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 25C
Reasons Given by Sentencing Courts for All Remaining Sentences Below the Guideline Range
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 28
Sentences Relative to the Guideline Range by Each Primary Sentencing Guideline
Table 28A
Sentences Relative to the Guideline Range in Each Outside of the Range Attribution Category
Table 29
Within-Range Cases Position of Sentence for Offenders in Each Primary Offense Category
Figure H
Position of Sentence Within Sentencing Range for Selected Offenses
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 Each Drug Guideline
Table 34
Race of Drug Offenders for Each Drug Type
Table 35
Gender of Drug Offenders for Each Drug Type
Table 36
Citizenship of Drug Offenders for Each Drug Type
Table 37
Criminal History Category of Drug Offenders for Each Drug Type
Table 38
Plea and Trial Rates of Drug Offenders for Each Drug Type
Table 39
Weapon Involvement of Drug Offenders for Each Drug Type
Table 40
Role Adjustment of Drug Offenders for Each Drug Type
Table 41
Acceptance of Responsibility of Drug Offenders for Each Drug Type
Table 42
Mean and Median Drug Amounts (In Grams) for Selected Base Offense Levels and Drug Types
Table 43
Drug Offenders Receiving Mandatory Minimums for Each Drug Type
Table 44
Drug Offenders Receiving Safety Valve and Mandatory Minimums for Each Drug Type
Table 45
Sentences Relative to the Guideline Range for Drug Offenders by Each Drug Type
Figure J
Average Length of Imprisonment in Each Drug Type
Figure K
Distribution of Drug Type
Figure L
Mean Length of Imprisonment for 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
Mean and Median Sentences of Offenders Sentenced under Immigration Guidelines by Departure Status

Organizational Sentencing Practices
Table 51
Organizations Receiving Fines or Restitution by Primary Offense Category and Applicability of Chapter Eight Fine Guidelines
Table 52
Mean and Median 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 Issues Appealed by the Defendants
Table 58
Guideline Involved in Issues Appealed by the Government
Table 59
Sentencing Issues Appealed for Selected Guidelines
Table 60
Offense and Offender Characteristics of Appeals Defendants
Table 61
Average Length of Imprisonment for Appeals Defendants in Each Primary Offense Category

Appendices

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