U.S. Sentencing Commission Final Quarterly Data Report .

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U.S. Sentencing CommissionFinal Quarterly Data ReportFiscal Year 2011

IntroductionAs part of its ongoing mission, the United States Sentencing Commission providesCongress, the judiciary, the executive branch, and the general public with data extracted andanalyzed from sentencing documents submitted by courts to the Commission.1 Data is reportedon an annual basis in the Commission’s Annual Report and Sourcebook of Federal SentencingStatistics.2 After the Supreme Court’s decision in United States v. Booker on January 12, 2005,which rendered the sentencing guidelines advisory instead of mandatory, many people expressedan interest in knowing what changes, if any, in federal sentencing practices would result. TheCommission responded by reconfiguring its data collection, analysis, and reporting efforts toprovide real-time data reporting from the submitted documents.The Commission first reported data on February 10, 2005 to Congress3 and beganreporting data approximately monthly shortly thereafter. The types of data reported increasedover time to accommodate various requests for the additional information. In March 2006, theCommission released a comprehensive report, Final Report on the Impact of United States v.Booker on Federal Sentencing,4 based on cases sentenced one year since the Booker decision.Because the report included additional analyses that had not been included in the monthlyreports, not all the data presented in the report was comparable with the monthly releases, whichmade comparing data over time difficult.In an effort to standardize the Commission’s post-Booker analyses and to facilitate theidentification of emerging trends going forward, the Commission began generating a new set oftables and charts on a quarterly basis for public release on the Commission’s website beginningwith the third quarter of fiscal year 2006. These quarterly data reports are similar in format andmethodology to tables and figures produced in the Sourcebook or in the Commission’s Bookerreport. Some of the figures include data from fiscal years before the Booker decision to facilitateanalysis of sentencing trends over time. Other figures and all of the tables contain cumulativedata (i.e., data from the start of the fiscal year through the most current quarter). Appendix Bcross-references the quarterly table numbers and figure letters as well as the correspondingnumber or letter in the Sourcebook (if it exists in the Sourcebook) so that the quarterly data can1In each felony or Class A misdemeanor case sentenced in federal court, sentencing courts are required to submitthe following documents to the Commission: the Judgment and Commitment Order, the Statement of Reasons, theplea agreement (if applicable), the indictment or other charging document, and the presentence report. See 28 U.S.C.§ 994(w).2Electronic copies of the 1995-2011 Annual Report and Sourcebook of Federal Sentencing Statistics are availableat the Commission’s website, www.ussc.gov.3See www.ussc.gov/bf.htm for an electronic copy of the prepared testimony of Ricardo H. Hinojosa, chair of theUnited States Sentencing Commission, before the Subcommittee on Crime, Terrorism, and Homeland Security,Committee on the Judiciary, United States House of Representatives, February 10, 2005.4See www.ussc.gov/bf.htm for an electronic copy of the Commission’s Final Report on the Impact of United Statesv. Booker on Federal Sentencing.

be compared easily with data from prior fiscal years.5 In Appendix A are descriptions of datafileand variable definitions.5The Commission has tried to maintain the same table numbers and figure letters over the past several years but,due to slight differences in reporting categories between pre- and post-Booker time periods, the numbers and lettersmay not correspond exactly over time. Please refer to the table of contents for each of the prior Sourcebook years todetermine the corresponding table number or figure letter.

CONTENTSInformation on Sentences Relative to the Guideline RangeTable 1: National Comparison of Sentence Imposed and Position Relative to theGuideline Range . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Table 2: Sentences Relative to the Guideline Range by Circuit and District . . . . . . . . . . . . . . . . 2Table 3: Sentences Relative to the Guideline Range by Each Primary Offense Category . . . . . . 8Figure A: Quarterly Data for Within Range and Out of Range Sentences . . . . . . . . . . . . . . . . . 10Figure B: Quarterly Data for Within Range/Government Sponsored and Other Out of RangeSentences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Table 4: Quarterly Data for Within Range and Out of Range Sentences . . . . . . . . . . . . . . . . . . 12Table 5: Sentences Relative to the Guideline Range by Each Primary Sentencing Guideline . 13Table 6: Attribution Category for Cases Outside of the Guideline Range . . . . . . . . . . . . . . . . . 17Table 7: §5K1.1 Substantial Assistance Departure Cases: Degree of Decrease for Offenders inEach Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Table 8: §5K3.1 Early Disposition Program Departure Cases: Degree of Decrease for Offendersin Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Table 9: Other Government Sponsored Below Range Cases: Degree of Decrease for Offendersin Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Table 10: Downward Departures from Guideline Range: Degree of Decrease for Offenders inEach Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Table 11: Downward Departures with Booker/18 U.S.C. § 3553: Degree of Decrease forOffenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23Table 12: Below Guideline Range with Booker/18 U.S.C. § 3553: Degree of Decrease forOffenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24Table 13: All Remaining Below Guideline Range Cases: Degree of Decrease for Offenders inEach Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Table 14: Upward Departures from Guideline Range: Degree of Increase for Offenders in EachPrimary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26Table 15: Upward Departures with Booker/18 U.S.C. § 3553: Degree of Increase for Offendersin Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27Table 16: Above Guideline Range with Booker/18 U.S.C. § 3553: Degree of Increase forOffenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28Table 17: All Remaining Above Guideline Range Cases: Degree of Increase for Offenders inEach Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29Sentence Imposed InformationTable 18: Offenders Receiving Sentencing Options in Each Primary Offense Category . . . . . 30Table 19: Sentence Length in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . 31Figure C: Average Sentence Length and Average Guideline Minimum Quarterly Data forAll Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32Figure D: Average Sentence Length and Average Guideline Minimum Quarterly Data for§2B1.1 Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33Figure E: Average Sentence Length and Average Guideline Minimum Quarterly Data for§2K2.1 Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34Figure F: Average Sentence Length and Average Guideline Minimum Quarterly Data for§2L1.1 Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35Figure G: Average Sentence Length and Average Guideline Minimum Quarterly Data for§2L1.2 Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36Figure H: Average Sentence Length and Average Guideline Minimum Quarterly Data for§2D1.1 Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37Figure I: Average Sentence Length for Each Drug Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38Table 20: Within Range Cases: Position of Sentence for Offenders in Each PrimaryOffense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39General Information (Primary Offenses, Mode of Conviction, and Document Submission)Figure J: Offenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40Table 21: Guideline Offenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . 41

Table 22: Guilty Pleas and Trials in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . 42Figure K: Quarterly Data for Guilty Pleas and Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43Table 23: Race of Offenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . . . 44Table 24: Gender of Offenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . . . . . 45Table 25: Age, Race, and Gender of Offenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46Table 26: Citizenship of Offenders in Each Primary Offense Category . . . . . . . . . . . . . . . . . . 47Table 27: Document Submission by Each Circuit and District . . . . . . . . . . . . . . . . . . . . . . . . . 48Table 28: Rate of Submission of Statement of Reasons Form by Each Circuit and District . . . 51AppendicesAppendix A: Descriptions of Datafiles and Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-1Appendix B: List of Quarterly Report Tables and Figures and ComparableSourcebook Number/Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-1

Table 11NATIONAL COMPARISON OF SENTENCE IMPOSED ANDPOSITION RELATIVE TO THE GUIDELINE RANGE1Fiscal Year 2011N%TOTAL CASES84,744100.0CASES SENTENCED WITHIN GUIDELINE RANGE46,16054.5CASES SENTENCED ABOVE GUIDELINE RANGE1,5271.8DEPARTURE ABOVE GUIDELINE RANGEUpward Departure From Guideline Range 2Upward Departure With Booker /18 U.S.C. § 35533OTHERWISE ABOVE GUIDELINE RANGEAbove Guideline Range With Booker /18 U.S.C. § 3553All Remaining Cases Above Guideline Range456GOVERNMENT SPONSORED BELOW .3§5K1.1 Substantial Assistance Departure9,52211.2§5K3.1 Early Disposition Program Departure9,05710.7Other Government Sponsored Below Range3,7164.4NON-GOVERNMENT SPONSORED BELOW RANGE14,76217.4DEPARTURE BELOW GUIDELINE 80.6Downward Departure From Guideline RangeDownward Departure With Booker /18 U.S.C. § 35533OTHERWISE BELOW GUIDELINE RANGEBelow Guideline Range With Booker /18 U.S.C. § 35534All Remaining Cases Below Guideline Range51This table reflects the 86,201 cases sentenced in Fiscal Year 2011. Of these, 1,457 cases were excluded because information wasmissing from the submitted documents that prevented the comparison of the sentence and the guideline range. Descriptions ofvariables used in this table are provided in Appendix A.2All cases with departures in which the court did not indicate as a reason either United States v. Booker, 18 U.S.C. § 3553, or afactor or reason specifically prohibited in the provisions, policy statements, or commentary of the Guidelines Manual.3All cases sentenced outside of the guideline range in which the court indicated both a departure (see footnote 2) and a reference toeither United States v. Booker, 18 U.S.C. § 3553, or related factors as a reason for sentencing outside of the guideline system.4All cases sentenced outside of the guideline range in which no departure was indicated and in which the court cited United States v.Booker, 18 U.S.C. § 3553, or related factors as one of the reasons for sentencing outside of the guideline system.5All cases sentenced outside of the guideline range that could not be classified into any of the three previous outside of the rangecategories. This category includes cases in which no reason was provided for a sentence outside of the guideline range.6Cases in which a reason for the sentence indicated that the prosecution initiated, proposed, or stipulated to a sentence outside ofthe guideline range, either pursuant to a plea agreement or as part of a non-plea negotiation with the defendant.SOURCE: U.S. Sentencing Commission, 2011 Datafile, USSCFY11.

2Table 2SENTENCES RELATIVE TO THE GUIDELINE RANGE BY CIRCUIT AND DISTRICT1Fiscal Year %UPWARDDEPARTUREN%UPWARDDEPARTUREW/ BOOKERN%ABOVERANGEW/ 30.3441.11.1000.00.0FIRST CIRCUITMaineMassachusettsNew HampshirePuerto RicoRhode 00.10.00.20.00.20.0SECOND CIRCUITConnecticutNew 00.00.40.10.6311100.30.20.10.10.0THIRD CIRCUITDelawareNew JerseyPennsylvaniaEasternMiddleWesternVirgin 0.00.01.6182121.80.40.23.230110.30.00.21.6FOURTH CIRCUITMarylandNorth CarolinaEasternMiddleWesternSouth CarolinaVirginiaEasternWesternWest .3D.C. CIRCUITDistrict of Columbia

3Table 2 OWNWARD DEPARTUREASSISTANCE DISPOSITION SPONSORED DEPARTURE W/ BOOKER W/ 9FIRST CIRCUITMaineMassachusettsNew HampshirePuerto RicoRhode .00.90.01.30.0SECOND CIRCUITConnecticutNew .0THIRD CIRCUITDelawareNew JerseyPennsylvaniaEasternMiddleWesternVirgin 0.3D.C. CIRCUITDistrict of ColumbiaFOURTH CIRCUITMarylandNorth CarolinaEasternMiddleWesternSouth CarolinaVirginiaEasternWesternWest VirginiaNorthernSouthern

Table 2 PWARDDEPARTUREN%4UPWARDDEPARTUREW/ BOOKERN%ABOVERANGEW/ BOOKERN%REMAININGABOVERANGEN%FIFTH 861581540.86.70.72.0100180.10.00.00.2SIXTH 1.82.20000.00.00.0SEVENTH GHTH innesotaMissouriEasternWesternNebraskaNorth DakotaSouth 0.0

Table 2 ARD DEPARTUREASSISTANCE DISPOSITION SPONSORED DEPARTURE W/ BOOKER W/ BOOKERRANGEN%N%N%N%N%N%N%FIFTH TH 7050.80.00.8SEVENTH 26.21102.20.0EIGHTH CIRCUITArkansasEaste

Downward Departure With Booker /18 U.S.C. § 35533 917 1.1 OTHERWISE BELOW GUIDELINE RANGE 11,869 14.0 Below Guideline Range With Booker /18 U.S.C. § 35534 11,371 13.4 All Remaining Cases Below Guideline Range5 498 0.6 1 This table reflects the 86,201 cases sentenced in Fiscal Year 2011. Of these, 1,457 cases were excluded because information was

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