ICPSR Summer Program in Quantitative Methods of Social Research

Sentencing and Other Federal Case Data Analysis

Introduction to the Federal Sentencing Guidelines and

United States Sentencing Commission Data

Lou Reedt, Assistant Director

Courtney Semisch, Senior Research Associate

Jenn Dukes, Research Associate

Office of Research and DataLR

The United States Sentencing Commission and the Office of Research and Data

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The United States Sentencing Commission

• Created by the Sentencing Reform Act of 1984

• Began work in 1987

• Governed by nine Commissioners– Seven appointed by the President with the advice

and consent of the Senate

– Two ex officiomembers

– One staff director

• Over 100 employees

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Federal Jurisdiction

• Federal Courts have limited criminal jurisdiction:– Crimes in places under federal control (parks, parkways,

military bases, courts and prisons, Indian Country (some), airplanes, territorial waters, )

– Crimes against federal people– Crimes against federal people– Crimes by (some) federal people (UCMJ, MEJA)– Crimes relating to exclusive federal government powers

(immigration, federal tax, counterfeiting)– Crimes that occur outside the United States (terrorism, MEJA)– Crimes that affect interstate commerce (usually have

overlapping jurisdiction with states) - drug crimes

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Federal Criminal Caseload is Unique

• The unique nature of federal sentences– Most offenses “selected” for prosecution

– The top four: Drug trafficking, immigration, – The top four: Drug trafficking, immigration, firearms, fraud

– Very small proportion of the case load involves offenses traditionally considered to be “violent”

– Non-citizens are 40% of all offenders

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USSC Data is Limited to:

• The sentencing process– No data on dismissals or acquittals– Limited data on resentencings– Limited data on appeals– No data on probation violations or revocations of

supervised releasesupervised release

• No data on the investigative process

• No data on prosecutorial decision-making

• No data on Class B and Class C misdemeanors

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Data Collection Basics

• Report of sentence to USSC within 30 days of judgment (28 USC § 994(w))– Five documents must be submitted to the

Commission • Real-time entry of documents received from the • Real-time entry of documents received from the

field• Extensive data completeness and quality reviews

– Data match with AOUSC– Edit check process

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Activities of the Office of Research and Data

• Collection, review, data entry, and analysis of information from more than 350,000 sentencing documents received from the Federal courts annually

• In FY2008, documentation received from more • In FY2008, documentation received from more than:– 76,400 original individual cases– 200 original organizational cases– 14,300 resentencings and modifications of sentence– 8,600 appeals of convictions and/or sentences

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Dissemination of USSCResearch and Analysis

• Annual Reportand Sourcebook of Federal Sentencing Statistics

• Periodic (quarterly) data releases to the public• Special topic data releases• Presentations to the Commissioners during the • Presentations to the Commissioners during the

Guideline amendment cycle• Special requests from United States Judges• Special requests from Congress• Periodic special reports to Congress• Research publications on various topics

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Guidelines 101Chapters Two and Three

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Sentencing Table

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Guideline Application (§1B1.1)

1) Chapter 2

a. Determine offense guideline in Chapter 2

b. Apply appropriate Chapter 2 provisions

2) Chapter 3

a. Apply victim, role, and obstruction adjustments

b. For multiple counts repeat Chapter 2 and adjustmentsb. For multiple counts repeat Chapter 2 and adjustments

c. Apply acceptance of responsibility

3) Chapter 4

a. Determine criminal history category

4) Chapter 5

a. Determine guideline range

b. Determine sentencing requirements and options

c. Determine whether departure provisions applyCS

Single Count Application

• Chapter Two– Base Offense Level

– Specific Offense Characteristics

– Cross References

• Chapter Three• Chapter Three– Victim

– Role

– Obstruction of Justice

– Acceptance of Responsibility

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Determine the Applicable Chapter Two Guideline

• Use the Chapter Two guideline applicable to the offense of conviction

§1B1.2(a)

• Refer to the Statutory Index (Appendix A) in this determination

*If no guideline is listed, use §§2X5.1 or 2X5.2

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Appendix A

Statute Guideline21 U.S.C. § 841(a) 2D1.121 U.S.C. § 841(b)(1)-(3) 2D1.121 U.S.C. § 841(b)(4) 2D2.121 U.S.C. § 841(b)(7) 2D1.121 U.S.C. § 841(c)(1),(2) 2D1.1121 U.S.C. § 841(c)(3) 2D1.1321 U.S.C. § 841(c)(3) 2D1.1321 U.S.C. § 841(d) 2D1.9*************************************************21 U.S.C. § 846 2D1.1, 2D1.2, 2D1.5

2D1.6, 2D1.7, 2D1.82D1.9, 2D1.102D1.11, 2D1.122D1.13, 2D2.12D2.2, 2D3.1, 2D3.2

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“Relevant Conduct” in Guideline Application

• Defendant accountable for his/her acts in furtherance of the offense of conviction

• Sometimes defendant accountable for certain acts of othersin furtherance of the offense of acts of othersin furtherance of the offense of conviction

• For certain offenses defendant accountable for certain acts beyondthe offense of conviction

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§2D1.1 Drug Trafficking, Etc.

(a) Base Offense Level (apply the greatest): Level

(1) defendant convicted under certain statutes; death/serious injury from drug use; similar prior conviction 43

(2) defendant convicted under certain statutes; death/serious bodily injury resulted from the drug use 38 death/serious bodily injury resulted from the drug use 38

(3) the offense level from the Drug Quantity Table

exceptif mitigating role (§3B1.2) applies:

BOL Reduction

32 -2

34 or 36 -3

38 -4

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Drug Quantity TableBase Offense Levels for Marijuana

30,000 KG or more Level 3810,000 KG or more Level 363,000 KG or more Level 341,000 KG or more Level 32

40 KG or more Level 2020 KG or more Level 1810 KG or more Level 165 KG or more Level 141,000 KG or more Level 32

400 KG or more Level 28100 KG or more Level 2680 KG or more Level 2460 KG or more Level 22

5 KG or more Level 142.5 KG or more Level 121 KG or more Level 10250 G or more Level 8<250 G Level 6

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(b) Specific Offense Characteristics

Level

(1) firearm, dangerous weapon possessed +2

(2) defendant imported or exported using

aircraft (non-commercial carrier) or aircraft (non-commercial carrier) or

was pilot, captain, etc. on craft or vessel +2

(3) distribution in prison, etc. +2

(floor of 26)

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(b) SOCs (cont.)

Level

(4) importation of amphetamine/meth or

manufacture of amphetamine/meth from

listed chemicals defendant knew were +2

unlawfully imported and defendant’s

role is not mitigating (§3B1.2) role is not mitigating (§3B1.2)

(5) defendant convicted under 21 U.S.C. § 865 +2

(6) defendant or another for whom defendant

responsible under relevant conduct

mass-marketed by interactive

computer service +2

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(b) SOCs (cont.)

Level(7) distribution of anabolic steroid

and masking agent +2

(8) defendant distributed anabolic steroid to

an athlete +2an athlete +2

(9) defendant convicted under

21 USC § 841(g)(1)(A) +2

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(b) SOCs (cont.) Level

(10) (Apply the greatest)(A) environmental hazards +2

(B) defendant convicted of 21 U.S.C. §860a of distributing or possessing w/intent meth +2where minor lives/resides (floor of 14)

(C)(i) defendant convicted of 21 U.S.C. § 860a (C)(i) defendant convicted of 21 U.S.C. § 860a (mfg…meth where minor lives/resides (ii) offense involved mfg. amp/meth and substantial risk to (I) life or (II) environment +3

(floor of 27)(D) offense (i) involved mfg. amp/meth and

(ii) created substantial risk to life of minor or incompetent +6

(floor of 30)CS

(b) SOCs (cont.) Level

(11) If defendant meets the subdivision criteria (1)-(5) of §5C1.2(a) (“the safety valve”) -2

§5C1.2(a) Subdivisions (1) – (5)

1. Defendant does not have more than 1 Criminal History Point

2. Defendantdid not use violence/threats of violence or possess a firearm or other dangerous weapon in connection with the offenseoffense

3. Offensedid not result in death or serious bodily injury

4. Defendant was not organizer/leader/manager/supervisor of others in the offense; was not engaged in a CCE

5. Defendant has truthfully provided to the Government all information and evidence the defendant has concerning the offense…

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(1) If victim murdered, apply the guideline

for First Degree Murder (§2A1.1) or Second Degree Murder (§2A1.2), as appropriate, if greater

(d) Cross References

(2) If convicted of 21 U.S.C. § 841(b)(7) (distribution with intent to commit a crime of violence) apply the guideline for Attempt (§2X1.1) to that offense, if greater

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If (d)(2) does not apply, and defendant committed/attempted sexual offense by distributing drug, with or without victim’s knowledge, §3A1.1 (Vulnerable Victim) applies

(e) Special Instruction

applies

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Chapter Three Adjustments

• Victim-Related Adjustments• Role in the Offense• Obstruction• Multiple Counts• Multiple Counts• Acceptance of Responsibility

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Victim Related Adjustments

Levels• §3A1.1 Hate Crime Motivation +3

or Vulnerable Victim +2 or Large Number of Vulnerable +2

• §3A1.2 Official Victim +3, +6 or +6

• §3A1.3 Restraint of Victim +2

• §3A1.4 Terrorism +12Floor 32, CHC VI

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Role in the Offense

• §3B1.1 Aggravating Role +4,+3, or +2

• §3B1.2 Mitigating Role -4, -3, or -2

• §3B1.3 Abuse of a Position of Trust +2

Levels

• §3B1.3 Abuse of a Position of Trust +2

• or Use of a Special Skill

• §3B1.4 Using a Minor To Commit +2

a Crime

• §3B1.5 Use of Body Armor in Drug Trafficking +2 or +4 and Crimes of Violence

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Obstruction and Related Adjustments

• §3C1.1 Obstructing or Impeding +2

the Administration of Justice

• §3C1.2 Reckless Endangerment +2

During Flight

Levels

During Flight

• §3C1.3 Commission of an Offense +3

While on Release

• §3C1.4 False Registration of +2

Domain Name

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Multiple Counts of Conviction(Chapter 3, Part D)

• Determine single offense level for multiple counts of conviction– Closely related counts are grouped

• Incremental punishment for significant additional • Incremental punishment for significant additional conduct– Counts with individual harms or victims are not

grouped

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Offenses Includedat §3D1.2(d):

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Offenses Includedat §3D1.2(d):

• Drug trafficking• Fraud, theft, embezzlement• Alien smuggling• Firearms • Firearms • Counterfeiting• Money laundering• Tax violations• Trafficking/possession child pornography• Other similar offenses

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Example of Grouped Counts

Drug defendant with three counts of drug trafficking

21 U.S.C. § 841

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4Kg marijuana

21 U.S.C. § 841 3 Kg marijuana

21 U.S.C. § 841 4Kg marijuana

§2D1.111Kg marijuana

Chapter 3 Adjustments

Adjusted Offense Level

Examples of OffensesExcluded at §3D1.2(d):

• Murder, manslaughter• Robbery• Drug Possession• Civil Rights

• Individual counts forthese offenses haveindividual guideline calculations.

• Civil Rights• National Defense• Prison Offenses

• Incremental punishment for each group (§§3D1.3 and 3D1.4)

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Example of Non-Grouped Counts

Defendant with one count of drug trafficking and one count of credit card fraud

Chapter Adjusted

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21 U.S.C. § 841 4Kg marijuana

18 U.S.C. § 1029 $10,000 loss

§2D1.14Kg marijuana

§2B1.1$10,000 loss

Chapter Three

Adjustments

Chapter Three

Adjustments

AdjustedOffense Level

Adjusted Offense Level

Acceptance of Responsibility

• 2-Level Reduction– Defendant clearly demonstrates affirmative acceptance of

responsibility for the offense.

§3E1.1

• 1-Level Additional Reduction Possible– In addition to 2-level reduction

– For offense levels of at least 16

– With government motion

– If defendant makes a timely notification of guilty plea

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Application Rules for Chapters Two and Three

• Offense levels are cumulative – §1B1.1, App. Note 4

• Within sections, use greatest – §1B1.1, App. Notes 4(A) & 5

• No issue of “double counting” unless directed by guidelines – §1B1.1, App. Note 4(B)

• “Adjustments” and “departures” and “variances” are distinct – Chapter Three & §5K2.0

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Statutes “Trump” the Guidelines

Regardless of what sentence the guidelines call for, the sentence imposed must fall within the restrictions set by statute (e.g., statutory the restrictions set by statute (e.g., statutory maximums and mandatory minimums)

See§§5G1.1 & 5G1.2

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“One Book Rule”

Use the Guidelines Manual

in effect at the time of sentencing

§1B1.11

in effect at the time of sentencing

If ex post factois implicated

use the Guidelines Manual

in effect at the time of the offense

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Sentencing Table

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Guideline Application Example

Marijuana trafficking conspiracy of Defendant Y

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Data Sources:Sentencing Documents and

Data Coded from Each Document

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Documents Required to be Submitted to the Sentencing Commission

• Indictment (or other charging document)

• Plea agreement (if any)

In chronological order of creation as a case progresses through the system

• Presentence investigation report (PSR)

• Judgment and commitment order (J&C)

• Statement of Reasons (SOR)

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Charging Document

• Fed.R.Crim.P.7 – List of all charges brought before the defendant

• Types– Information– Information

– Indictment

– Superseding Indictment

• Data collected from Charging Documents– None

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Plea Agreement

• Types– Written– Oral– Straight plea– Nolo Contendere

• Data collected from written plea agreement• Data collected from written plea agreement– Statutory Ranges & Demographic information only when

PSR is waived– Reasons for out-of-range sentences only when SOR

indicates “Per Plea”

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Presentence Investigation Report (PSR)

• Fed.R.Crim.P. 32 “The Probation Officer (PO) must conduct a presentence investigation and submit a report to the court before it report to the court before it imposes sentence.”

• PO submits the PSR after defendant has pled guilty or nolo contendere, or been found guilty at trial

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Data Collected from the PSR

• Court Information– Docket number – District

• Identifiers (Not released to the Public)• Demographics• Offense Information• Offense Information

– Statutory Maximum and Minimum – Guideline Application Information– Criminal History Points

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• Fed.R.Crim.P.32 “In the judgment of conviction, the court must set forth the plea, the jury verdict or the court’s

Judgment and Commitment Order (J&C)

the jury verdict or the court’s findings, the adjudication, and the sentence….The judge must sign the judgment, and the clerk must enter it.”

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Data Collected from the J&C

• Statutes of Conviction• Disposition for Each Count of Conviction• Sentence Imposed

– Term of Imprisonment – Time Served– Time Served– Probation– Home Confinement– Community Service

• Term of Supervised Release• Monetary Penalties

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Statement of Reasons (SOR)

• Report of sentence to USSC within 30 days of judgment (28 USC § 994(w) )

• Documents final court finding of guideline application

• Indicates sentence relative to the guideline range and the reasonsthe reasons

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Data Collected from the SOR

• Statutory Minimums

• Guideline Final Offense Level

• Criminal History Category

• Advisory Guideline Range Before Departure

• Sentence Relative to Guideline Range• Sentence Relative to Guideline Range• Type of out-of-range sentence (if applicable)

• Party initiating out-of-range sentence (if applicable)

• Reasons for Sentence Imposed Outside Range

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The Commission Received

355,849

Documents in Fiscal Year

Federal Criminal SentencingsFiscal Year 1991-Fiscal Year 2008

Documents in Fiscal Year 2008

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Data Quality: Edit Process

• Edit program identifies cases with– Out of range values– Logical inconsistencies

• Research Associates review all identified cases and correct coding as necessarycorrect coding as necessary

• Examples– Missing information when documents are present– Statutory range check– Loss triangulation

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Data Quality: Departure Checks

• All cases with sentences outside the guideline range are reviewed

• Research Associates verify– Sentence imposed– Statutory minimum and maximum– Statutory minimum and maximum– Final guideline range– Court’s reasons for the sentence

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Data Completeness: Matching USSC and AOUSC Datafiles

• The Administrative Office of the United States Courts’ (AOUSC) data includes limited information on all pending and closed federal cases

• Compare USSC data file to AOUSC data file twice per year year – Match case identifiers on both files

– Identify cases not received by USSC

• Missing cases and/or documents are requested from the appropriate probation offices

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USSC Datafile Language:Codebook and Variable Naming Conventions

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Codebook Structure and Layout

HISPORIG DEFENDANT’S ETHNIC ORIGIN

Location:

Variable Type:

Text:

Text:

528 -530 (width: 3; decimal: 0) (Main Data File)

Numeric (ISO)

ORIGIN: PSR

Offender’s ethnic origin. See MONRACE for race of the offender.

It is important to take note of when variables are added/removed from fiscal year data files during analysis.

Text:

Text:

Offender’s ethnic origin. See MONRACE for race of the offender. Code 0 not available prior to FY04- this is used to affirmatively state that the information is not available in the PSR.

Corresponding research variable: R=NEWRACE

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Value: Label:

0

1

2

Information not available

Non-Hispanic

Hispanic

“ R “ indicates the name of a related research variable created to facilitate analysis.

Statute Variables and Primary Offense Type

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Statute of Conviction Variables

Statutes are collected from the J&C.

- Up to three statutesare coded for each count:STA1_1 – STA1_XXX (statute 1 for count 1- X)

STA2_1 – STA2_XXX (statute 2 for count 1- X)

STA3_1 – STA3_XXX (statute 3 for count 1- X)

- XXX = the highest number of counts of conviction in a case

in any given fiscal year. To determine XXX , run a frequency on NOCOUNTS.

- Statute output has no spaces, section signs, or parentheses. All letters are capitalized.

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Statute of Conviction Variables

For Defendant Y:

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STA1_1 (statute 1 for count 1) = 21846

STA2_1 (statute 2 for count 1) = 21841B1C

STA3_1 (statute 3 for count 1) = .

Statutory Penalty Variables

SMIN1 SMIN2 SMINX

The interplay of individual minimums and maximums for each count of conviction will provide the final statutory minimum and maximum facing a defendant.

SMAX1 SMAX2 SMAXX

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One overall statutory minimum = STATMIN

One overall statutory maximum = STATMAX

Consecutive or Concurrent Statutory Penalties

CONSECUTIVE vs. CONCURRENT

Common consecutive statutes:�18 U.S.C. § 924(c)

�18 U.S.C. § 1028A

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Example of Coding Statutory Penalties

COUNT 221 U.S.C. § 841(b)ten years to life

A defendant is convicted on two counts:

COUNT 118 U.S.C. § 924(c)five years to life, consecutive

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STATMIN = 180

60SMIN1

60 120SMIN2

120

STATMAX = LIFE

9996SMAX1

9996 9996SMAX2

9996

Statutory Penalty Analysis

Count 118 U.S.C. § 924(c) Firearmsfive years to life, consecutive

DRUGMIN = 120

GUNMIN = 60

PORNMIN = .

Count 221 U.S.C. § 841(b) Drug Traffickingten years to life

IDMIN = .

FIREMIN = .

IMMIMIN = .

SEXMIN = .JD

Unique Statute of Conviction Variables

Using the statute variables, the Commission creates a variable indicating the Title, Section, and Subsection of each unique statute in every case:

NWSTAT1 – NWSTATX

Example: A case involves four counts of conviction: two counts of 21 U.S.C. § 841(a)(1) and two counts of counts of 21 U.S.C. § 841(a)(1) and two counts of 18 U.S.C. § 922(g).

NWSTAT1 = 21841A1NWSTAT2 = 18922GNWSTAT3 – NWSTATX = .

- X = the highest number of unique statutes in any given fiscal year. To determine X, run a frequency on NOUSTAT.

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How is Primary Offense Type Determined?

Primary Offense Type (OFFTYPE2)

Offense type determination is primarily statute based.

- In cases with multiple statutes of conviction, a decision tree is used:

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Analysis Using OFFTYPE2

Use Primary Offense Type (OFFTYPE2) to:

- Capture offenses that do not have guidelines coded

(18 U.S.C. § 924(c), 18 U.S.C. § 1028A, Class A misdemeanors where is PSR Waived)

- Compare with other datasets that classify cases based on statutes of conviction on statutes of conviction

- Match USSC Sourcebook tables based on Primary Offense

PROS: No need to screen on SOURCES

CONS: Large amalgam of cases – “National Defense” will include regulatory offenses, treason, selling bioweapons, etc.

NOTE: Primary Offense Type designations will not always correspond to guideline designations.

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Sidebar:Screening out cases using SOURCES

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What is SOURCES?

• Variable indicating the source of the guideline application information (BOL, SOC, etc.) in the datafile and whether that information can be reconciled within the case documents.

• SOURCES indicates whether guideline application • SOURCES indicates whether guideline application information is present and whether the information is the court findings or the probation officer’s recommendation

• Acts as a skipfield for data entry excluding certain cases from guideline application and criminal history coding.

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Code Definition Explanation

1 Information Represents Known Court Findings

Court’s version of guideline application - Agrees with Probation Officer or- Clearly documents all changes

3 PSR information is coded due to insufficient information on SOR

Probation Officer’s version of guideline application- Court’s findings differ from probation officer’s and cannot be reconciled

5 PSR information is coded due to missing SOR

Probation Officer’s version

SOURCES Codes

missing SOR

6 18 U.S.C. § 924(c) conviction only No Guideline Application Information Available- Statutory provisions apply

8 No Analogous Guidelines No Guideline Application Information Available-Class A Misdemeanors (no guidelines applied ora guideline does exist)-18 U.S.C. § 1028A – Agg. ID Theft Only

9 PSR Waived, Missing, Multiple Offense Levels

No Guideline Application Information Available-No PSR or Multiple Amendment Years AppliedCS

When Does SOURCES Matter?

When the analysis includes

(1) Guideline Application Information or

(2) any other information that might change from the PSR recommendation to the court findings on the SOR

- Chapter 2 Guideline Application

- Base Offense Levels- Base Offense Levels

- Specific Offense Characteristics

- Drug/Chemical Types and Weights

- Loss Amounts

-Chapter 3 Adjustments Application

-Chapter 4 Criminal History Application

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When Does SOURCES Not Matter?

(1) When the analysis does not include a. Guideline Application Information or

b. any other information that may not match on the PSR and SOR, or

(2) The information comes from a different document and/or the

other document is the single source.

Examples:Examples:

- Sentence Length (J&C)

- Sentence Relative to Guideline Range (J&C and SOR)

- Statutes of Conviction (J&C)

- Demographics (PSR)

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Guideline Variables and Analysis

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Guideline Application and VariablesGuideline application is conduct based (See Chapter 1 of the Guidelines Manual).

The initial guideline applied is determined by statute (Appendix A of the Guidelines Manual) and is called the “Statutory Guideline”.

Statutory Guideline = GDSTAT1-GDSTATXExample: 21 U.S.C. § 841(a)(1) Drug Trafficking

§2D1.1

Note: X = the highest number of computations in a case in any given fiscal year. To determine X, run a frequency on NOCOMP.

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Guideline Application and Variables

Relevant conduct may cause a statutory guideline to refer once or more to another guideline for all or part of the computation, i.e. the “Reference Guideline” and /or “Cross Reference Guideline”.

First Reference Guideline= GDREF1-GDREFXExample: Someone was murdered in the course of Example: Someone was murdered in the course of

the same drug trafficking offense.

§2D1.1 §2A1.1

Second (Cross) Reference Guideline= GDCROS1-GDCROSXExample: Weapons statute of conviction which was used in

an attempted kidnapping.

§2K2.1 §2X1.1 §2A4.1JD

Guideline Application and Variables

The “Sentencing Guideline” is the last Chapter 2 guideline used in the computation to either increase or decrease the offense level. It is the guideline that ultimately controls a given computation.

Sentencing Guideline= GDLINE 1-GDLINE XThe guideline a computation goes to and stops or never leaves again. The guideline a computation goes to and stops or never leaves again.

Example 1: Example 2: Example 3:

§2D1.1

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§2D1.1§2D1.2

§2X1.1

§2A4.1

§2K2.1

Adjustment Variable Naming Convention

STAT REF CROS LINE

BOL BASES1 BASER1 BASEC1 BASE1

SOC ADJS_B1 ADJR_B1 ADJC_B1 ADJ_B1

SOC Label ADSL_B1 ADRL_B1 ADCL_B1 ADJL_B1SOC Label ADSL_B1 ADRL_B1 ADCL_B1 ADJL_B1

Loss Amount LOSSS1 LOSSR1 LOSSC1 LOSS1

Mit. Role§3B1.2

MITRLS1 MITRLR1 MITRLC1 MITROL1

Adjusted OL ADJOFS1 ADJOFR1 ADJOFC1 ADJOFL1

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Guideline Application and Variables

Variables for the four designations and their computation components also end in HI which applies to the computation with the highest adjusted offense level.

GD____HI = The computation with the highest adjustedoffense level.level.

GSTATHI GDREFHI GDCROSHI GDLINE HI

GDLINE HI = The guideline driving the final offense level

*Does not account for Chapter 4 Adjustments

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Analysis with GDLINEHI

Use Guideline (GDLINE HI ) to: - Classify cases based on conduct- Match USSC Sourcebook tables based on specific guidelines- Analyze guideline application information

PROS: More refined categories

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PROS: More refined categoriesMore detailed information about cases

CONS: Lose cases due to SOURCES screenAmendment Year issuesMore complicated analysis

The Commission generally limits analysis to GDLINE HI as it drives the sentence, but all the guidelines and computations can be utilized.

OFFTYPE2 vs. GDLINEHI Analysis

Conduct based analysis vs. Conviction based analysis

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The Relationship Between Statute and Guideline Variables: An Example

Count 7: 21 U.S.C. § 843(b) and 18 U.S.C. § 2

Use of a Communication Facility, Up to 4 yrs

Count 23: 18 U.S.C. § 371 in violation of 18 U.S.C. § 1956(h)

Conspiracy to Commit Money Laundering, Up to 5 yrs

Statutory Variables: STA1_1 = 21843B STA1_2 = 18371STA1_1 = 21843B STA1_2 = 18371

STA2_1 = 182 STA2_2 = 181956H

SMIN1 = 0 SMIN2 = 0

SMAX1 = 48 SMAX2 = 60

NWSTAT1 = 21843B NWSTAT3 = 18371

NWSTAT2 = 182 NWSTAT4 = 181956H

OFFTYPE2 – Money Laundering

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First Guideline Computation

COMPUTATION #1§2D1.6 §2D1.1

GDSTAT1 GDREF1 GDCROS1 GDLINE1

§2D1.6 §2D1.1 . §2D1.1§2D1.6 §2D1.1 . §2D1.1

BOL BASES1 0 BASER1 20 BASEC1 . BASE1 20

SOC ADJS_B1 . ADJR_B1 2 ADJC_B1 . ADJ_B1 2

Mit. Role§3B1.2

MITRLS1 0 MITRLR1 -2 MITRLC1 . MITROL1 -2

Adjusted OL

ADJOFS1 0 ADJOFR1 20 ADJOFC1 . ADJOFL1 20

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Second Guideline Computation

COMPUTATION #2§2X1.1 §2S1.1 §2B1.1

GDSTAT2 GDREF2 GDCROS2 GDLINE2

§2X1.1 §2S1.1 §2B1.1 §2S1.1

BOL BASES2 0 BASER2 24 BASEC2 6 BASE2 24

SOC ADJS_B2 0 ADJR_C2 2 ADJC_B2 18 ADJ_C2 2

Obstruction§3C1.1

OBSTRS2 0 OBSTRR2 2 OBSTCC2 0 OBSTRC2 2

Adjusted OL

ADJOFS2 0 ADJOFR2 28 ADJOFC2 24 ADJOFL2 28

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Determining GDLINEHI

COMPUTATION #1 COMPUTATION #2

GDLINE1 GDLINE2

§2D1.1 §2S1.1BOL BASE1 20 BASE2 24

SOC ADJ_B1 2 ADJ_C2 2SOC ADJ_B1 2 ADJ_C2 2

Obstruction§3C1.1

MITROL1 -2 OBSTRC2 2

Adjusted OL ADJOFL1 20 ADJOFL2 28

GDLINE1 =ADJOFL1=20 GDLINE2 =ADJOFL2=28

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GDLINEHI = The sentencing guideline (GDLINE) with the highest Adjusted Offense Level = GDLINE2 = §2S1.1= Money Laundering

Federal Drug Offenses

LR

Selected Highlights of Federal Anti Drug Abuse Legislation

� Late 19th Century� First recorded anti-drug law in U.S. – bans opium dens in San

Francisco� 1887

� Federal ban on opium importation by Chinese nationals

LR

Selected Highlights of Federal Anti Drug Abuse Legislation

� 1914

� Harrison Act of 1914- regulates opium and cocaine

� 1919 � 1919

� National Prohibition Act (Volstead Act)

LR

Prohibition Era

LR

Prohibition Era

LR

Selected Highlights of Federal Anti Drug Abuse Legislation

� 1930� Federal Bureau of Narcotics is created

� 1956� Narcotics Control Act of 1956

Creates mandatory minimum sentences- Creates mandatory minimum sentences

� 1970� Comprehensive Drug Abuse Control Act of 1970

- Eliminates mandatory minimum sentences except for certain classes of professional criminals

LR

Selected Highlights of Federal Anti Drug Abuse Legislation

� 1972� President Nixon creates the Drug Enforcement Administration

� 1984� Sentencing Reform Act of 1984

- Creates determinate sentencing

� 1986, 1988� Anti Drug Abuse Act of 1986

- Creates mandatory minimum sentences based upon quantity aloneLR

Drug Trafficking Accounts for the Largest Proportion of Federal Offenses

1991 to 2007: Drugs > 1/3 all cases

LR

Application of §2D1.1

(a) Base Offense Level (apply the greatest):Level

(1) defendant convicted under certainstatutes; death/serious injury from drug use; similar prior conviction 43drug use; similar prior conviction 43

(2) defendant convicted under certain statutes; death/serious bodily injury resulted from the drug use 38

(3) offense level from the Drug Table

LR

MARIJUANA HEROIN POWDER COCAINE BOL30,000 KG 30 KG 150 KG Level 38

10,000 KG 10KG 50 KG Level 36

3,000 KG 3 KG 15 KG Level 34

1,000 KG 1 KG 5 KG Level 32

700 KG 700 G 3.5 KG Level 30

400 KG 400 G 2 KG Level 28

100 KG 100 G 500 G Level 26

80 KG 80 G 400 G Level 24

§2D1.1 DRUG QUANTITY TABLE

80 KG 80 G 400 G Level 24

60 KG 60 G 300 G Level 22

40 KG 40 G 200 G Level 20

20 KG 20 G 100 G Level 18

10 KG 10 G 50 G Level 16

5 KG 5 G 25 G Level 14

2.5 KG Less than 5 G Less than 25 G Level 12

1 KG Level 10

250 G Level 8

Less than 250 G Level 6

LR

Drug Quantity Table

2

2.5

3

3.5

4

Width

12 14 16 18 20 22 24 26 28 30 32 34 36

0

0.5

1

1.5

All Drugs Pre Crack Amendment

Base Offense Levels

LR

MARIJUANA HEROIN POWDER COCAINE BOL30,000 KG 30 KG 150 KG Level 38

10,000 KG 10KG 50 KG Level 36

3,000 KG 3 KG 15 KG Level 34

1,000 KG 1 KG 5 KG Level 32

700 KG 700 G 3.5 KG Level 30

400 KG 400 G 2 KG Level 28

Multiple Drug Cases…

400 KG 400 G 2 KG Level 28

100 KG 100 G 500 G Level 26

80 KG 80 G 400 G Level 24

60 KG 60 G 300 G Level 22

40 KG 40 G 200 G Level 20

1G Heroin = 1KG Marijuana, 400G Heroin = 400KG Marijuana

1G Powder = 200G Marijuana, 2KG Powder = 400KG Marijuana

LR

MARIJUANA BOL30,000 KG Level 3810,000 KG Level 363,000 KG Level 341,000 KG Level 32700 KG Level 30400 KG Level 28100 KG Level 2680 KG Level 2460 KG Level 22

400 KG Marijuana+400 KG Marijuana= 800 KG Marijuana

800 KG Marijuana

Multiple Drug Cases…

60 KG Level 2240 KG Level 2020 KG Level 1810 KG Level 165 KG Level 142.5 KG Level 121 KG Level 10250 G Level 8

Less than 250 G Level 6

800 KG Marijuana = BOL 30

LR

Cocaine Penalties

Powder Cocaine 500g = 5yrs

Statutory Penalty→Statutory Penalty→

Crack Cocaine 5g = 5yrs

100 – to – 1 Ratio

LR

Crack Cocaine Penalties

100-to-1 Describes ratio of drug amount to achieve samepenalty

100-to-1 Does notdescribe differences in length of 100-to-1 Does notdescribe differences in length of sentence

*1995 Report notes that sentence differences are approximately 6.7x greater at the same quantity

LR

Four Cocaine Reports to Congress (Feb. 1995, April 1997, May 2002, May 2007)

Providing Analysis:– Different Routes of Administration & Impact

– Prevalence of Use

– Price & Purity Trends

– Impact of Prenatal Exposure

– State Sentencing Policies

– Case Law Developments

– Analysis of Commission Data

LR

Report to Congress: May 2007

• Current Penalties overstate harm• Current Penalties sweep too broadly• Current Penalties overstate seriousness of most crack

offenses• Current Penalties mostly impact minorities

Commission Conclusions:

• Current Penalties mostly impact minorities

Recommendationto Congress:• Increase Mandatory Minimum Quantity Threshold• Repeal Mandatory Minimum Simple Possession• Do not Address Issue by Raising Powder Cocaine

LR

Amendment 706 Effective November 1, 2007 Shifted Downward by 2 Levels

the Drug Quantity Table in §2D1.1

Amended the Method for Calculating the Marijuana Equivalency when Crack Cocaine Involved

LR

Example:

Drug Quantity Based only; Criminal History I; Quantity Selected so no Trumping Mandatory Minimum

Crack Cocaine Penalties

WEIGHT= 40g

LR

Trend in Proportional Differences BetweenAverage Crack and Powder Cocaine Sentences

70.0

80.0

90.0

100.0

Fiscal Year 1992 – Fiscal Year 2008Percent difference of crack sentences over powder cocaine

25.825.3

32.6

42.6

47.749.4

54.3 55.7 54.4 55.8

49.453.8 55.0 52.9

44.2 43.5

50.0

0.0

10.0

20.0

30.0

40.0

50.0

60.0

1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008

SOURCE: U.S. Sentencing Commission: 1992-2008 datasets, USSCFY92-08

LR

MARIJUANA CRACK COCAINE POWDER COCAINE BOL30,000 KG 1,500 G 150 KG Level 38

10,000 KG 500 G 50 KG Level 36

3,000 KG 150 G 15 KG Level 34

1,000 KG 50 G 5 KG Level 32

700 KG 35 G 3.5 KG Level 30

400 KG 20 G 2 KG Level 28

§2D1.1 Drug Quantity Table “OLD” Crack Cocaine

100 KG 5 G 500 G Level 26

80 KG 4 G 400 G Level 24

60 KG 3 G 300 G Level 22

40 KG 2 G 200 G Level 20

20 KG 1 G 100 G Level 18

10 KG 500 MG 50 G Level 16

5 KG 250 MG 25 G Level 14

2.5 KG Less than 250 MG Less than 25 G Level 12

LR

Drug Quantity Table

2

2.5

3

3.5

4

Width

12 14 16 18 20 22 24 26 28 30 32 34 36

0

0.5

1

1.5

All Drugs Pre Crack Amendment

Base Offense Levels

LR

MARIJUANA CRACK COCAINE POWDER COCAINE BOL30,000 KG 4,500 G 150 KG Level 38

10,000 KG 1,500 G 50 KG Level 36

3,000 KG 500 G 15 KG Level 34

1,000 KG 150 G 5 KG Level 32

700 KG 50 G 3.5 KG Level 30

400 KG 35 G 2 KG Level 28

§2D1.1 Drug Quantity Table “NEW” Crack Cocaine

400 KG 35 G 2 KG Level 28

100 KG 20 G 500 G Level 26

80 KG 5 G 400 G Level 24

60 KG 4 G 300 G Level 22

40 KG 3 G 200 G Level 20

20 KG 2 G 100 G Level 18

10 KG 1 G 50 G Level 16

5 KG 500 MG 25 G Level 14

2.5 KG Less than 500 MG Less than 25 G Level 12

LR

Drug Quantity Table

2

2.5

3

3.5

4

Width

12 14 16 18 20 22 24 26 28 30 32 34 360

0.5

1

1.5

A ll Other Drugs Current Crack After Amendm ent

Base Offense Levels

LR

Determining the Marijuana Equivalency (ME)of Crack Cocaine in Multiple Drug Cases

Prior to November 1, 20071g crack cocaine = 20,000g marijuana

- Add to ME of the other drugs

After November 1, 20071g crack cocaine = 20,000g marijuana1g crack cocaine = 20,000g marijuana

- Add to ME of other drugs- Subtract 2 levels

(unless result reduces offense level for all otherdrugs combined excluding crack cocaine)

*Application Note 10(D) in §2D1.1*

LR

MARIJUANA CRACK COCAINE POWDER COCAINE BOL30,000 KG 4,500 G 150 KG Level 38

10,000 KG 1,500 G 50 KG Level 36

3,000 KG 500 G 15 KG Level 34

1,000 KG 150 G 5 KG Level 32

700 KG 50 G 3.5 KG Level 30

400 KG 35 G 2 KG Level 28

Multiple Drug Cases

100 KG 20 G 500 G Level 26

80 KG 5 G 400 G Level 24

60 KG 4 G 300 G Level 22

40 KG 3 G 200 G Level 20

Marijuana Equivalency

1G Powder = 200G Marijuana; 2KG Powder = 400KG Marijuana

1G Crack = 20,000G Marijuana; 15 G Crack = 300KG MarijuanaLR

MARIJUANA BOL

30,000 KG Level 38

10,000 KG Level 36

3,000 KG Level 34

1,000 KG Level 32

700 KG Level 30

400 KG Level 28

100 KG Level 26

80 KG Level 24

Old Method:400 KG Marijuana (P)

+300 KG Marijuana (C)

= 700 KG Marijuana

700 KG Marijuana

= BOL 30

New Method:400 KG Marijuana (P)

80 KG Level 24

60 KG Level 22

40 KG Level 20

20 KG Level 18

10 KG Level 16

5 KG Level 14

2.5 KG Level 12

1 KG Level 10

250 G Level 8

Less than 250 G Level 6

400 KG Marijuana (P)

+300 KG Marijuana (C)

= 700 KG Marijuana

700 KG Marijuana= BOL 30

- 2 (Crack)= BOL 28

LR

Drug Type and Amount Variables

For Drugs & Chemicals:

� Type:

�DRUGTYP1 – DRUGTYP5

�CHEMTYP1 – CHEMTYP5

� Quantity:� Quantity:

�DRGAM1 - DRGAM5

�UNIT1-UNIT5

�CHMAM1 - CHMAM5

�CUNIT1-CUNIT5

Five types of drugs and/or chemicals

LR

Drug Variables for Multiple Drug Types

DRUGTYPX

(Drug Type)

DRGAMX

(Amount)

UNITX

(Unit)

Powder Cocaine 14 Kilograms

Heroin 20 Grams

Marijuana 6 Pounds

LR

�Individual Marijuana Equivalency:

�MWGT1 – MWGT5 (grams)

�Overall Equivalency:

Drug Weight: Marijuana Equivalency

�Overall Equivalency:

�MWEIGHT (grams)

LR

Example of MWEIGHT for Multiple Drug Types

DRUGTYPX

(Drug Type)

DRGAMX

(Amount)

UNITX

(Unit)

MWGTX

(Equivalency)

Powder Cocaine 14 Kilograms (x200)2,800,000

Heroin 20 Grams (x1,000) 20,000

Marijuana 6 Pounds (x1) 2,721.6

MWEIGHT = 2,822,721.6 grams

LR

Drug Weight Issues

- For each drug type, the drug weight is captured, if available:

- WGT1-WGT5 (standardized weights in grams)

- In many cases, the exact drug weight for one or more of the drugs the defendant is held accountable for is not provided.

- Range provided- Range provided

- Base Offense Level provided

- WGT# is missing for the corresponding DRUGTYP#

- DRUGPROB indicates whether there is an unresolved problem between the drug type(s), drug weight(s), and base offense level.

LR

Addressing Missing Drug Weights

There are several options for dealing with single drug type cases missing drug weights other than dropping the cases from analysis.

-Drug weight is tied to the corresponding offense level increase in the computation, which allows the researcher to:

- Use the BOL level as a proxy measure- Use the BOL level as a proxy measure

- Set cases with a missing drug weight to the lower limit for the offense level received

- Randomly assign a weight within each offense level category

Use DRUGPROB to remove problem cases.

LR

Missing Drug Amounts

� Missing MWEIGHT:

�Missing DRGAMX or UNITX

�“Other” type of drug

�Ranges show as missing values unless quantity is assigned

*Variable solution:*Variable solution:

DRUGTYPX

(Drug Type)

DAFROMX

(Low End Amount)

DUFROMX

(Low End Unit)

DRUGTYPX

(Drug Type)DATOX

(High End Amount)

DUTOX

(High End Unit)

LR

Sidebar:Accounting for Change with AMENDYR

CS

What is AMENDYR?

- Effective year of guidelines manual used

for sentencing the case

- The Commission amends the guidelines each year-Policy changes

-New guidelines or SOCs

-New position for SOCs

Incorporating guideline amendments effective

November 1, 2006, and earlier

-New position for SOCs

-Valid values

- Fiscal Year datafiles are associated with

earlier dated Guidelines Manuals:

- FY07: Cases sentenced, received, coded, and edited Oct. 1, 2006 – Sept. 30, 2007

- 2006 Guidelines Manual effective Nov. 1, 2006

CS

Use AMENDYR for Rule Changes

Rules and definitions used to apply the guidelines change:

Examples:

- November 1, 2003: Additional one level reduction under §3E1.1 (Acceptance of Responsibility) under §3E1.1 (Acceptance of Responsibility) required government motion (pursuant to the PROTECT Act)

- November 1, 2007: Changed definition of minor offense for criminal history events

CS

Use AMENDYR for New and Deleted Guidelines or SOCs

Guidelines and guideline SOCs are added and deleted

Examples

- Effective November 1, 2002: Alternate Base Offense Level added to §2D1.1 (“mitigating role cap”)

(a)(3) offense level from the Drug Quantity Table AND if (a)(3) offense level from the Drug Quantity Table AND if mitigating role (§3B1.2) applies: Maximum BOL is 30

- November 1, 2001: §2F1.1 deleted and consolidated with §2B1.1 creating an entirely new guideline

Base offense levels 4,6,7

Loss Table

SOCsCS

Use AMENDYR for SOC Location

Guideline amendments may change location of SOCs.

Examples:

- §2D1.1 - Safety Valve

- November 1, 2003: §2D1.1(b)(6) –ADJ_G

- November 1, 2004: §2D1.1(b)(7) –ADJ_H

- November 1, 2006: §2D1.1(b)(9) – ADJ_J- November 1, 2006: §2D1.1(b)(9) – ADJ_J

- November 1, 2007: §2D1.1(b)(11) –ADJ_L

- §2B1.1 – Identity Theft

- November 1, 2000:§2F1.1(b)(5) –ADJ_F

- November 1, 2001: §2B1.1(b)(9) –ADJ_J

- November 1, 2004 §2B1.1(b)(10) –ADJ_K

CS

Use AMENDYR for Valid Values

Guideline amendments may change valid values for a guideline component.

Examples:

-Base Offense Levels

- November 1, 2000: §2B1.1 = 4

- November 1, 2001: §2B1.1 = 6- November 1, 2001: §2B1.1 = 6

- November 1, 2003: §2B1.1 = 6,7

-Specific Offense Characteristics

- November 1, 2000: §2B1.1(b)(1) = 1 (more than $100)

- November 1, 2007: §2B1.1(b)(1) = 2 (more than $5,000)

CS

AMENDYR Solutions

- Footnotes to explain ‘missing’ values for added or deleted guideline components

-Use AMENDYR as cutoff point for analysis

-Create dummy variables to account for changes in valid values

-Recode using AMENDYR to standardize moving guideline components

CS

Statutory Penalties and Guideline Ranges

JD

The Sentencing Guideline Range is on the SOR

III COURT DETERMINATION OF ADVISORY GUIDELINE RANGE (BEFORE DEPARTURES):

Total Offense Level: 15Criminal History Category: IImprisonment Range: 18 to 24 monthsSupervised Release Range: 3 to life yearsFine Range: $500 to $ 3,000

For Defendant Y:

Fine Range: $500 to $ 3,000

G Fine waived or below the guideline range because of inability to pay.

JD

Final Offense Level = XFOLSOR = 15

Criminal History Category = XCRHISSR = I

XMAXSOR STATMAX24 24

18XMINSOR

18-24

0STATMIN

Intersection provides the sentencing guideline range

XMINSOR-XMAXSOR

What Determines the Sentence?

JD

GLMIN = Guideline Minimum accounting for statutory trumps

GLMAX = Guideline Maximum accounting for statutory trumps

Guideline Range Within the Statutory Range

STATMAX XMAXSOR GLMAX

24 2424

XMINSOR GLMIN

STATMIN

18 18

0

JD

Guideline Maximum AboveStatutory Maximum

XMAXSOR

STATMAX GLMAX27

2424

XMINSOR GLMIN

STATMIN

21 21

0

JD

Guideline Minimum BelowStatutory Minimum

STATMAX

480

XMAXSOR GLMAX

STATMIN GLMIN

XMINSOR

71

57

71

6060

JD

Guideline Range BelowStatutory Minimum

STATMAX

60

480

60GLMIN & GLMAX

XMAXSOR = one point,6060XMAXSOR = one point,57

the STATMIN

46 XMINSOR

JD

Sentence Reductions for Drug Cases

LR

History:

� Introduced in the 2002 Guidelines Manual.

Mitigating Role Cap

� Reduces offense levels for offenders less culpable than their drug quantities suggest.

LR

2002 Mitigating Role Cap

November 1, 2002 Guidelines Manual

§2D1.1 Base Offense Level:

(a)(3) offense level from the Drug Quantity Table AND if (a)(3) offense level from the Drug Quantity Table AND if mitigating role (§3B1.2) applies:

BOL is capped at 30

LR

2004 Mitigating Role Cap

November 1, 2004 Guidelines Manual

§2D1.1 Base Offense Level:

(a)(3) offense level from the Drug Quantity Table AND if mitigating role (§3B1.2) applies:mitigating role (§3B1.2) applies:

Orig. BOL Reduction New BOL (BASE variable)

32 -2 30

34 or 36 -3 31 or 33

38 -4 34

LR

Mitigating Role Analysis Issues

� Resulting values of base offense level changes between amendment years.

*Variable solution: screen on AMENDYR, or use MITCAP

MITCAPMITCAP

� Indicates whether mitigating role cap was applied in the calculations

�Coded from Presentence Report & Statement of Reasons

*Not available prior to FY06

LR

History:

� Congress passed the “Mandatory Minimum Sentencing Reform Act of 1994”as part of omnibus

“Safety Valve”

1994”as part of omnibus crime bill.

� “Safety Valve” provision codified at 18 U.S.C. §3553(f).

� The USSC incorporated this relief into the guidelines via §5C1.2(a).

LR

Safety Valve Requirements and Benefits

USSG §5C1.2(a):1. No more than one criminal history

point under guidelines (Criminal History Category I)

Eligible Drug Offenders

� Released from mandatory minimum

� 2 level reduction of offense level

Benefits:

2. Non-violent, no dangerous weapon possessed

3. Offense did not result in death or serious bodily injury

4. Not an organizer, leader, manager, or supervisor

5. Full disclosure to government about crime of conviction

offense level

LR

§2D1.1(b) Specific Offense Characteristic

Safety Valve Guideline Reduction

A new Specific Offense Characteristic was also added to the §2D1.1 guideline effective November 1, 1995 to incorporate a 2 level reduction:

§2D1.1(b) Specific Offense CharacteristicLevel

(11) if defendant meets the criteria of

subdivision1-5 of

§5C1.2(a) (“the safety valve”) -2

LR

Safety Valve Variables

�ADJ_G/H/J/L�CHP2CHG1-CHP2CHGX�MAND1-MANDX�SAFETY�SAFETY�SAFE (recommended for analysis)

LR

Safety Valve Analysis

SAFE (Research created):

Distinguishes between original and current SV guideline provisions:

�Sentenced below mandatory minimum only (OLD)minimum only (OLD)

�Received 2 levels off (NEW)

*Screen on SOURCES

LR

Safety Valve Analysis Issues

� Inconsistencies:

�Variables based solely on documentation can conflict without explanation.

*Variable solution: screen on SOURCES*Variable solution: screen on SOURCES

�Placement of SOC or other adjustments change between amendment years (relevant for both Mitigating Role Cap and Safety Valve).

*Variable solution: screen on AMENDYR

LR

Guidelines 101Criminal History Category and Points

CS

Sentencing Table

146CS

Criminal History Category = Sum of Points

• Criminal History points are assigned for – Length of Prior Sentences

• Adult and Juvenile

• 1, 2, or 3 points each

– Release Status– Release Status• 2 points

– Recency of Sentences• 1 or 2 point(s)

CS

Points for Adult Priors Committed at 18 or Older

Points* SentenceTime Frame (Earliest Date of Relevant Conduct)

3 > 13 mo. Within 15 years of prior sentence imposition or release

* If otherwise countable

** Exceptions may applyCS

2 > 60 days Within 10 years of prior sentence imposition or release

1 (maximum 4) All others** Within 10 years of prior sentence imposition

Points for Juvenile Priors Committed Before 18

Points* SentenceTime Frame (Earliest Date of Relevant Conduct)

3Convicted as adult and > 13 mo.

Within 15 years of prior sentence imposition or release

Within 5 years of prior sentenceimposition

* If otherwise countable

** Exceptions may apply

2 > 60 daysWithin 5 years of prior sentenceimposition or release

1 (maximum 4) All others** Within 5 years of prior sentence imposition

CS

Status and Recency PointsSubsection Points Status Maximum Points

(d) 2 Instant offense committed while under any criminal justice sentence

None

(e) 2 Instantoffense less than 2 Only 1 point if 2(e) 2 Instantoffense less than 2 years after release from imprisonment on a prior sentence receiving for 2 or 3 points

Only 1 point if 2points assigned for (d)

(f) 1 Each prior sentence for a conviction of a crime of violence not previously counted under (a),(b), or (c)

3

CS

Counting Prior Sentences

• Length– Set by maximum sentence imposed– If sentence or any portion is suspended, the maximum is the

unsuspended portion– Unaffected by release

– No credit for release to parole or for “good time”– No credit for release to parole or for “good time”

• Examples of types of sentences nevercounted– Foreign sentences

– Tribal sentences

– Certain misdemeanors

– Expunged sentences

CS

Other Determinations Regarding Prior Sentences §4A1.2

• Multiple prior sentences– Generally counted separately

• Convictions with suspended sentences: 1 point

• Convictions not yet sentenced: 1 point

• Various other rules

CS

Criminal History Category Variables

CS

Number prior convictions w/sentence of:

>13 mo.(3 pts.)

60 days to < 13 mo.(2pts.)

POINT3

POINT2

XCRHISSRTotal Points

2,3

0,1

2

1CRIMPTS

Creation of Criminal History Category Variable

< 60 days(1 pt.)

(2pts.)

POINT1

REL2PTS

SENTPTS

VIOL1PTS

2,3

4,5,6

7,8,9

10,11,12

13 or more

TOTCHPTS

2

3

4

5

6

CS

Guidelines 101Criminal History “Trumps”

CS

Chapter Three and Chapter Four Criminal History Trumps

§3A1.4 Terrorism

§§4B1.1 - 4B1.2 Career Offender

§4B1.3 Criminal Livelihood§4B1.3 Criminal Livelihood

§4B1.4 Armed Career Criminal

§4B1.5 Repeat and DangerousSex Offender Against Minors

CS

§3A1.4 Terrorism

• If the instant offense is a felony that involved, or was intended to promote, a federal crime of terrorism

• Offense level increase of 12, minimum 32• Criminal history category VI• Criminal history category VI

CS

§4B1.1 Career Offender Criteria

• Age 18 at time of instant offense

• Instant offense of conviction is a felony that is either a “crime of violence” or a “controlled substance offense”substance offense”

• At least two prior felony convictions for a “crime of violence” or “controlled substance offense”

CS

Career Offender Offense Level and Criminal History Category

• Criminal History Category is VI

• Offense level greater of (1) Table or (2) Offense level from Chapters Two and Three

Statutory Offense Maximum Level *Life 37Life 3725 years + 3420 years + 3215 years + 2910 years + 245 years + 17

More than 1 year 12

* Decrease by number of levels applicable at §3E1.1 (Acceptance of Responsibility)

CS

Armed Career Criminal §4B1.4

• Subject to enhanced sentence under18 U.S.C. §924(e) [Conviction under 18 U.S.C. § 922(g)]– Three prior convictions for “violent felonies” or

“serious drug offenses”

– 15 year mandatory minimum– 15 year mandatory minimum

• Criminal history category at least IV

• Offense level at least 33

CS

Repeat and Dangerous Sex Offender Against Minors §4B1.5

• Criminal History Category V

• Instant offense is a covered sex crime and has at least one prior sex offense conviction

§4B1.5(a)

one prior sex offense conviction

• Offense level is greater of (1) Chapters Two and Three or (2) table similar to career offender based on statutory maximum penalty

CS

Sentencing Table

162CS

Finding Criminal History Trumps in the Datafile

CS

Criminal History Trumping Variables

TrumpApplied Yes/No

TrumpedOffense Level

Levels Deducted for Acceptance

TrumpedCHC

Terrorism TERRORHI TEROR1-TERORX ACCTRESP ACCCAT 6

Career Offender*

CAROFFAP CAROFFLV CAROFFEN ACCCAT6

*CO924TAB may apply. Indicates whether the Career Offender table at (§4B1.1(c) (3)) for offenders convicted of 18 U.S.C. § 924(c) or § 929(a) determined the final guideline range.

CS

Offender* 6

Armed Career Criminal

ACCAP ACCOFFLV ARMCRIM ACCCAT 4,5,6

Repeat/ Dangerous Sex Offender

SEXCAP SEXOFFNA SEXOFFNB

SEXACCA SEXACCB

ACCCAT 6 or no change

Example:TOTCHPTS = 9COADJLEV = 26 Guideline Range: 92-115

Career offender, Drug Conviction Statutory maximum 25 years

ACCCAT=6XCRHISSR=6CAROFFLV= 34

Sentencing Table

CAROFFLV= 34XFOLSOR = 34Guideline Range: 262-327

92-115

262-327

CS

Sentences Imposed

JD

Sentencing Variables

No Probation Probation

Four Measures of Length of Imprisonment

SENTTOT SENTTOT0

SENSPLT SENSPLT0

No Alternatives

Alternatives

JD

TYPE OF ALTERNATIVEAPPLIED

Yes/No QUANTITY

Home Detention HOMDUM MOHOMDET

Intermittent Confinement INTDUM MOINTCON

Community Confinement COMDUM MOCOMCON

Alternative Sentencing Variables

Community Confinement COMDUM MOCOMCON

ALL CONFINEMENT ALTERNATIVES

ALTDUM ALTMO

Community Service . HRCOMSERV

Fine FINEDUM FINE

Restitution RESTDUM AMTREST

Sentences to “Time Served”

A Sentence of “Time Served”:� Court sentences offender to the amount of time served in prison

while awaiting trial.

� Found on the J&C first if given specifically, then the PSR if the date of arrest and status of release is given.

JD

date of arrest and status of release is given.

Variables:� TIMSERV M = months of time already served� TIMSERV D = days of time already served� 997 If both are unknown values

Good Time Credit:� Offender must be sentenced to over one year in prison.

Variable:� TIMESERV gives an estimate of sentence length minus good

Good Time Credit Variables

� TIMESERV gives an estimate of sentence length minus good time credit.

Formula:(365*SENTTOT0)/419 =TIMESERV

JD

Booker v. United Statesand

Sentences Relative to the Guideline Range

JD

Historical Federal Sentencing Decisions

•Fast Track Program or §5K3.1

•Presumption of Reasonableness

•Advisory Guidelines •The Three-Step Approach

The Three-Step Approach

� Calculate the guideline range

� Consider departure motions

� Consider § 3553(a) factors to determine whether a sentence outside the guideline range is appropriate, sentence outside the guideline range is appropriate, as shown below:

(1) offense and offender characteristics;

(2) the need to reflect basic aims of sentencing:

(a) ‘just punishment’ ,

(b) deterrence,

(c) incapacitation,

(d) rehabilitation;

JD

(3) the sentences legally available;

(4) the Sentencing Guidelines;

(5) Sentencing Commission policy statements;

(6) the need to avoid unwarranted disparities; and

(7) the need for restitution.

Changes Since Booker

Chapter 5

Part H (Special Offender Characteristics)

Part K (Departures)

Provisions, Commentary, Policy

Departures No Longer the Single Mechanism for Outside-Range Sentences

• Due to the broader sentencing authority created by Booker

• Consideration of 18 U.S.C. § 3553(a) factors

• Introduction of variancesJD

Provisions, Commentary, Policy Statements, Application Notes

Changes Since Booker

28 U.S.C. § 994(w)(1)(B) requires that the written SOR:

“shall include the reason for any departure… and be stated on the written statement of reasons form”

Introduction of New Statement of Reasons (SOR) Form (AO 245B)(AO 245B)

• Adopted June 2005

– Designed to reflect the Courts’ expanded sentencing authority after Booker

JD

Changes Since Booker

Pre-BookerData Collection Procedure:Assess the Departure Status as Indicated on the Statement of Reasons

Classification determined by information on the Statement information on the Statement of Reasons

JD

Changes Since Booker

Post-BookerData Collection Procedure: Assess the Location of Sentence in Relation to Guideline Range and

Determine Reasons

Requires Use of Multiple Documents:

� PSR or Plea Agreement � PSR or Plea Agreement (Statutory Range)

� J&C (Sentence Imposed)

� SOR (Location of Sentence Relative to Guideline Range and Reasons)

JD

•DEPART •DEPART_A

Changes Since Booker

Reporting departure status changed Post-Booker…

•DEPART_S (direction) •DEPART_D (type)

•BOOKERCD

JD

BOOKERCD vs. BOOKER2

Within Range

Upward Departure

Upward Departure w/ Booker

Above Range w/ Booker

Remaining Above Range

5K1.1

Within Range

Above Departure

JD

5K1.1

5K3.1

Gov’t Sponsored Below Range

Downward Departure

Downward Depart w/ Booker

Below Range w/ Booker

Remaining Below Range

Government Sponsored

Below Range

Within Range Category

Guideline Max

Statutory Max

Sentence�Within guideline range

�Within statutory range

Guideline Min

Statutory Min

�Within statutory range

�Meets zone requirements

JD

Above Range Categories

Guideline Max

Statutory Max Sentence

Upward Departure from Guideline Range

�Guideline Manual Departure

Upward Departure with

Booker/18 U.S.C. § 3553(a)

�Guideline Manual Departure AND a Booker/18 U.S.C. § 3553 Related Reason

Guideline Min

Statutory Min

Booker/18 U.S.C. § 3553 Related Reason

Above Range with

Booker/18 U.S.C. § 3553(a)

�Booker/18 U.S.C. § 3553 Related Reason

All Remaining Cases Above the Guideline Range

�Cases that cannot otherwise be classified

JD

Government Sponsored Below Range Categories

Guideline Max

Statutory Max§5K1.1 Substantial Assistance�§5K1.1 is reason (departure or variance)

§5K3.1 Early Disposition Program �All departures or variances involving §5K3.1 even if another reason is present or if a variance is also documented

Guideline Min

Sentence

Statutory Min

if a variance is also documented

Government Sponsored Below Range �All other government sponsored below range sentences even if another non-government sponsored reason is also present or if a variance was also documented

JD

Below Range Categories

Guideline Max

Statutory MaxDownward Departure from Guideline Range� Guideline Manual Departure

Downward Departure from Guideline with Booker/18 U.S.C. § 3553(a)

� Guideline Manual Departure AND

Guideline Min

Sentence

Statutory Min

� Guideline Manual Departure AND Booker/18 U.S.C. § 3553 Related Reason

Below Range with Booker/18 U.S.C. § 3553(a) � Booker/18 U.S.C. § 3553 Related Reason

All Remaining Cases Below Guideline Range� Cases that cannot be classified into one of

the three below the range categories

JD

BOOKER Status = Missing/Indeterminable

�Sentence outside of guideline or statutory range in PSR and SOR is not received

�Class A misdemeanors (no analogous guideline)

�Sentence is missing (J and C Partial/Missing) and SOR does not �Sentence is missing (J and C Partial/Missing) and SOR does not specifically say sentence is “Within Range”

�No guideline range is determinable due to missing documents

�Sentence is “Time Served” AND sentencing range is greater than 0-6 months AND the SOR does not indicate if the sentence is Within/Outside the Guideline Range

JD

Analysis of Reasons forSentences Outside the Guideline Range

JD

Reasons for Sentences Outside the Guideline Range

The reasons given by the court for why the sentence was imposed outside the guideline range are all captured:

REAS1 - REASX- X = the highest number of reasons in a case in any given fiscal year. To determine X, use a PROC CONTENTS in SAS. SAS.

- Do not rely on REAS1 alone; any analysis on reasons must account for all reasons in every case.

- Some reasons will be captured as ‘Other’(codes 777-799).

- RETEXT 1 - RETEXT X provide accompanying text

- Reviewed every year

- May generate new codesJD

ICPSR Summer Program in Quantitative Methods of Social Research

Sentencing and Other Federal Case Data Analysis

Introduction to the Federal Sentencing Guidelines and

United States Sentencing Commission Data

Lou Reedt, Assistant Director

Courtney Semisch, Senior Research Associate

Jenn Dukes, Research Associate

Office of Research and DataJD