MANDATORY MINIMUM 

PENALTIES FOR DRUG OFFENSES

in the 

FEDERAL CRIMINAL 

JUSTICE SYSTEM

United States Sentencing Commission

October 2017

Mandatory Minimum Penalties for Drug Offenses

in the Federal Criminal Justice System

William H. Pryor, Jr. 

Acting Chair 

Rachel E. Barkow

Commissioner

Charles R. Breyer

Commissioner

Danny C. Reeves

Commissioner

J. Patricia Wilson Smoot

Ex Officio 

Zachary Bolitho

Ex Officio 

Kenneth P. Cohen

Staff Director

October 2017

Table of Contents

1 Section One: Introduction

3 Section Two: Key Findings

9 Section Three: Drug Mandatory Minimums in the Federal System

10	 Statutory Mandatory Minimum Provisions Applicable to Federal Drug Offenses

10 Penalty Provisions 

11 Statutory Relief Provisions

12 Guideline Provisions

13 Section Four: Data Analysis

14 The Commission’s Updated Study of Drug Mandatory Minimum Penalties

14 Recent Trends in Mandatory Minimum Penalties 

18	 Prevalence of Drug Offenses Carrying Mandatory Minimum Penalties

	 18	 How Often Are Drug Offenders Charged with an Offense Carrying a Mandatory 	 	

	 	 Minimum Penalty?

	 22	 How Severe Were Mandatory Minimum Penalties for Drug Offenders?

	 24	 Where Were Offenders Convicted of Drug Offenses Carrying Mandatory Minimums?

25	 Offender Demographics

	 25	 Race, Gender, and Citizenship

27 Age

27	 Criminal History and Offense Characteristics

	 27	 Criminal History 

	 29	 Offense Characteristics

30 Relief from Mandatory Minimum Penalties 

	 32	 Demographics

	 35	 Substantial Assistance

36	 Sentencing of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

	 36	 Average Sentence Length

	 40	 Sentences Relative to the Guideline Range

43	 Offender Function

	 45	 Distribution of Offender Function

	 46	 Prevalence of Offenses Carrying Drug Mandatory Minimum Penalties by Offender Function

	 48	 Relief from Mandatory Minimum Penalties by Offender Function

	 50	 Average Sentence Length by Offender Function

51 Impact of Drug Mandatory Minimum Penalties on the Federal Prison Population 

	 52	 Federal Drug Offender Population Overall

	 53	 Drug Mandatory Minimum Offenders in the Federal Prison Population

	 57	 Drug Mandatory Minimum Offenders in the Federal Prison Population – By Race

	 57	 Drug Mandatory Minimum Offenders in the Federal Prison Population – By Gender

	 59	 Drug Mandatory Minimum Offenders in the Federal Prison Population – By Citizenship

62 Recidivism 

65 Section Five: Conclusion

67 Endnotes

79 Appendices

79 Appendix A: Drug Mandatory Minimum Penalties in Each Circuit and District

83	 Appendix B: Average Age of Drug Offenders at Sentencing

85	 Appendix C: Length of Drug Mandatory Minimum Penalty by Offender Function

87	 Appendix D: Powder Cocaine Offenders

103	 Appendix E: Crack Cocaine Offenders

119	 Appendix F: Marijuana Offenders

135	 Appendix G: Methamphetamine Offenders

151	 Appendix H: Heroin Offenders

i
United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)
1Introduction
2 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Introduction

In July 2017, the Commission published 

its Overview of Mandatory Minimum Penalties 

in the Federal Criminal Justice System (2017 

Overview Publication),1 which was the first in a 

series of publications on mandatory minimum 

penalties.2 The 2017 Overview Publication built 

on the Commission’s 2011 Report to the Congress: 

Mandatory Minimum Penalties in the Federal 

Criminal Justice System (2011 Mandatory Minimum 

Report).3 The 2011 report, which was submitted 

pursuant to a Congressional directive,4 provided 

detailed historical analyses of the evolution of 

federal mandatory minimums, scientific literature 

on the topic, and extensive analysis of the 

Commission’s own data, public comment, and 

expert testimony. It further analyzed data related 

to each of the primary offenses carrying mandatory 

minimum penalties, and, in the chapter devoted to 

drug offenses, provided information about drug 

mandatory minimums overall and separately by 

drug type. 

The 2017 Overview Publication highlighted 

recent trends in the charging of offenses carrying 

mandatory minimum penalties and provided 

updated sentencing data demonstrating the impact 

of those penalties, supplementing the analysis 

presented in the 2011 Mandatory Minimum Report. 

This publication, the second in the series, focuses 

on the application of mandatory minimum penalties 

specifically to drug offenses,5 which are the most 

common offenses carrying mandatory minimum 

penalties in the federal system. As reflected in the 

2017 Overview Publication, drug offenses have 

accounted for approximately two-thirds of the 

offenses carrying a mandatory minimum penalty 

in recent years, significantly higher than the next 

largest class of offenses.6 

Using fiscal year 2016 data, this publication 

includes analysis similar to that provided in the 2017 

Overview Publication, providing sentencing data 

on offenses carrying drug mandatory minimums, 

the impact on the Federal Bureau of Prisons 

(BOP) population, and differences observed when 

analyzing each of five main drug types. Where 

appropriate, the publication highlights changes and 

trends since the Commission’s 2011 Mandatory 

Minimum Report. Because drug offenses are 

the most common offenses carrying mandatory 

minimum penalties, many of the trends in this 

publication mirror the trends seen in the 2017 

Overview Publication. 

In addition to reporting general data regarding 

the use of drug mandatory minimum penalties, the 

Commission also analyzed the functions performed 

by drug offenders as part of their offenses.7 This 

function analysis provides a more complete profile 

of federal drug offenders and examines the use 

and impact of mandatory minimum penalties on 

offenders with differing levels of culpability.
2 Key 

Findings
4 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Key Findings

Building directly on its previous reports 

and the analyses set forth in the 2017 Overview 

Publication, this publication examines the use 

and impact of mandatory minimum penalties 

for drug offenses. As part of this analysis, the 

Commission makes the following key findings:

Key Findings

1. Drug mandatory minimum penalties continued to result in long sentences 

in the federal system. 

• In fiscal year 2016, over half (52.8%) of offenders convicted of an offense carrying a drug 

mandatory minimum penalty faced a mandatory minimum penalty of ten years or greater. 

• In fiscal year 2016, the average sentence for offenders who were convicted of an offense 

carrying a drug mandatory minimum penalty was 94 months of imprisonment, more than 

double the average sentence (42 months) for drug offenders not convicted of an offense 

carrying a mandatory minimum penalty. 

• Offenders who qualified for relief received significantly lower sentences (64 months) than 

those offenders who remained subject to a mandatory minimum penalty at sentencing (126 

months). Even when offenders received relief from a mandatory minimum penalty, the 

average sentence (64 months) was still one and half times greater than the average sentence 

for those not convicted of an offense carrying a drug mandatory minimum. 

• The guidelines also contributed to the sentence length as nearly three-quarters of offenders 

who remained subject to a drug mandatory minimum penalty (72.6%) had a guideline 

minimum that exceeded the statutorily required minimum, and the majority of offenders 

(58.8%) who remained subject to a drug mandatory minimum penalty received a sentence 

above the statutorily required minimum.

2.	 Mandatory minimum penalties continued to have a significant impact on

the size and composition of the federal prison population.

• As of September 30, 2016, 49.1 percent of federal inmates were drug offenders. 

• Among drug offenders in federal prison as of September 30, 2016, almost three-quarters 

(72.3%) were convicted of an offense carrying a mandatory minimum penalty, and more 

than half (50.4%) remained subject to that penalty at sentencing. 
 5

Section Two:

Summary of Key Findings

Key Findings

3. Offenses carrying a drug mandatory minimum penalty were used less often, 

as the number and percentage of offenders convicted of an offense carrying a 

mandatory minimum penalty has decreased since fiscal year 2010.

• Less than half (44.7%) of all drug offenders sentenced in fiscal year 2016 were convicted of 

an offense carrying a mandatory minimum penalty, which was a significant decrease from 

fiscal year 2010 when approximately two-thirds (66.1%) of drug offenders were convicted of 

such an offense. In fact, the number of offenders convicted of a drug mandatory minimum 

penalty has decreased by 44.7 percent since fiscal year 2010, falling from 15,831 offenders 

to 8,760 such offenders in fiscal year 2016.

• The downward trend in the prevalence of offenders convicted of such penalties occurred 

across all drug types, but the largest decrease occurred in the context of crack cocaine 

offenders. Following the passage of the Fair Sentencing Act of 2010, the percent of crack 

cocaine offenders convicted of an offense carrying a mandatory minimum penalty has fallen 

from 80.1 percent in fiscal year 2010 to 46.6 percent in fiscal year 2016.

4. While fewer offenders were convicted of an offense carrying a mandatory 

minimum penalty in recent years, those who were tended to be more serious. 

• Convictions for offenses carrying a drug mandatory minimum penalty were more likely to 

involve the use of a weapon, as evidenced by the application of a guideline enhancement 

for having a weapon involved in the offense (17.4% in fiscal year 2016 compared to 12.5% 

in fiscal year 2010) or a conviction for a firearms offense carrying a mandatory minimum 

(5.4% in fiscal year 2016 compared to 5.1% in fiscal year 2010). Similarly, convictions for 

offenses carrying a drug mandatory minimum penalty were also more likely to have resulted 

in bodily injury (4.1% in fiscal year 2016 compared to 1.9% in fiscal year 2010). 

• Offenders convicted of such offenses were also more likely to have played a leadership role, 

as evidenced by application of a guideline adjustment for aggravating role (11.9% in fiscal 

year 2016 compared to 7.7% in fiscal year 2010), and were less likely to receive a mitigating 

role adjustment (12.1% compared to 16.3%).

• Consistent with increased likelihood of the above aggravating factors, the rate at which 

offenders convicted of an offense carrying a drug mandatory minimum penalty received 

relief through the statutory safety valve decreased from 35.1 percent in fiscal year 2010 to 

30.0 percent in fiscal year 2016. 
6 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Key Findings

5. Drug mandatory minimum penalties applied more broadly than Congress 

may have anticipated. 

• While some legislative history leading up to passage of the Anti-Drug Abuse Act of 

1986 suggests that “major” traffickers would be subject to the ten-year drug mandatory 

minimum penalty and “serious” traffickers would be subject to the five-year penalty, they 

often apply to offenders who perform relatively low-level functions. For example, nearly 

one-third (32.2%) of Couriers and more than one-quarter of Mules (25.4%) were convicted 

of such offenses.

• While the rate of conviction for an offense carrying a drug mandatory minimum penalty 

tended to decrease with the culpability level of the offender as reflected by their function, 

a significant percentage of offenders in every function were nevertheless convicted of such 

offenses. In fact, a majority of offenders in seven of the ten function categories (including 

some lower-level functions) were convicted of an offense carrying a drug mandatory 

minimum penalty. 

• Many of the offenders convicted of an offense carrying a drug mandatory minimum penalty 

had little or no criminal history. Almost half (45.9%) were in Criminal History Category 

I—37.7 percent of all offenders convicted of an offense carrying a mandatory minimum 

received no criminal history points under the guidelines, while 8.1 percent received one 

criminal history point. On the other end of the spectrum, 14.2 percent of all offenders 

convicted of an offense carrying a mandatory minimum penalty were in Criminal History 

Category VI.

6.	 Statutory relief plays a significant role in the application and impact of

drug mandatory minimum penalties and results in significantly reduced sentences

when applied.

• More than half (51.6%) of offenders convicted of an offense carrying a drug mandatory 

minimum penalty received relief at sentencing. 

• In fiscal year 2016, 21.8 percent of offenders convicted of a drug mandatory minimum 

penalty qualified for relief under the safety valve, 21.5 percent received relief for providing 

substantial assistance, and 8.2 percent received relief for both safety valve and substantial 

assistance.

• Offenders who received safety valve relief (57 months) or provided substantial assistance 

(81 months) received significantly lower sentences than those offenders who remained 

subject to a drug mandatory minimum penalty at sentencing (126 months). Offenders 

who received both safety valve relief and provided substantial assistance had even lower 

average sentences (41 months).
 7

Section Two:

Summary of Key Findings

Key Findings

7. Additionally, drug mandatory minimum penalties appear to provide a 

significant incentive to provide substantial assistance to the government pursuant

to 18 U.S.C. § 3553(e) and the related guideline provision at USSG §5K1.1.

• In fiscal year 2016, offenders convicted of an offense carrying a drug mandatory minimum 

penalty were nearly twice as likely to have provided substantial assistance to the government 

as those not convicted of such an offense (29.8% compared to 15.2%).

• Nearly a quarter of offenders facing a five-year drug mandatory minimum penalty (22.2%) 

received a substantial assistance reduction, while 36.0 percent of offenders facing a tenyear mandatory minimum penalty and more than half of offenders facing a mandatory 

minimum penalty of 20 years or more received a substantial assistance reduction (52.3%).

8. However, neither the statutory safety valve provision at 18 U.S.C. § 3553(f) 

nor the substantial assistance provision at 18 U.S.C. § 3553(e) fully ameliorate the 

impact of drug mandatory minimum penalties on relatively low-level offenders. 

• A significant portion of offenders who performed relatively low-level functions did not 

qualify under the safety valve provision. For example, a significant portion of Couriers 

(31.9%), Mules (28.8%), and Employees/Workers (33.9%) did not qualify for the safety 

valve in fiscal year 2016.

• The likelihood of receiving relief for substantial assistance varied depending on the 

offender’s function in the offense. Offenders who performed higher-level functions were 

generally more likely to receive relief for providing substantial assistance than offenders 

who performed low-level functions, reflecting the fact that low-level offenders often do 

not have valuable information to provide due to their more limited role in the offense. For 

example, offenders with the Broker (50.0%), Street-Level Dealer (38.6%), and Organizer/

Leader (36.2%) functions were more likely to receive substantial assistance relief than 

Couriers (26.6%) and Mules (17.3%).

• Low-level offenders who remained subject to a drug mandatory minimum penalty because 

they did not qualify for relief received long sentences. For example, Couriers, Mules, 

and Employees/Workers who remained subject to a drug mandatory minimum penalty 

received average sentences significantly exceeding five years at 101 months, 82 months, 

and 100 months, respectively. 
8 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Key Findings

9.	 There were significant demographic shifts in the data relating to mandatory

minimum penalties.

• As they did in fiscal year 2010, Hispanic offenders continued to represent the largest group 

of offenders (51.9%) convicted of an offense carrying a drug mandatory minimum penalty 

in fiscal year 2016. However, other demographic data has shifted. 

• White offenders and Black offenders shared the highest average sentence among offenders 

convicted of an offense carrying a drug mandatory minimum penalty (103 months) in 

fiscal year 2016. White offenders also had the highest average sentence among both 

offenders relieved of the application of a drug mandatory minimum penalty at sentencing 

(69 months) and offenders subject to a drug mandatory minimum penalty at sentencing 

(136 months). This is a change from fiscal year 2010, when Black offenders had the longest 

average sentences in each of the above categories.

• While Black offenders convicted of an offense carrying a drug mandatory minimum penalty 

continued to receive relief from the drug mandatory minimum penalty least often, the gap 

between Black offenders and White offenders has narrowed. In fiscal year 2016, 64.5 

percent of Black offenders convicted of an offense carrying a drug mandatory minimum 

penalty remained subject to that penalty compared to 50.8 percent of White offenders 

convicted of such an offense (a difference of 13.7 percentage points). By comparison, 

the difference was 24.2 percentage points in fiscal year 2010 (59.5% of Black offenders 

convicted of an offense carrying a drug mandatory minimum penalty compared to 35.3% 

of White offenders).

10.	 Although likely due in part to an older age at release, drug trafficking

offenders convicted of an offense carrying a drug mandatory minimum penalty 

had a lower recidivism rate than those drug trafficking offenders not convicted of

such an offense. 

• Of those offenders convicted of an offense carrying a drug mandatory minimum penalty, 

nearly half (47.7%) were rearrested during the eight-year study period, compared to 54.7 

percent of drug trafficking offenders not convicted of an offense carrying a drug mandatory 

minimum penalty. 

• However, the longer sentences received by offenders convicted of drug mandatory 

minimum penalties result in older ages at release, which is also an important factor 

in recidivism. Offenders who were not convicted of an offense carrying a mandatory 

minimum penalty were approximately four years younger at release than those convicted 

of an offense carrying a ten-year mandatory minimum penalty (34 compared to 38 years 

old). 
3 Mandatory 

Minimums
10 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Statutory Mandatory Minimum Provisions 

Applicable to Federal Drug Offenses

Penalty Provisions

Federal drug trafficking offenders are 

primarily convicted of offenses under Title 21 of 

the United States Code. These statutes prohibit 

the distribution, manufacture, or importation of 

controlled substances, and possession with intent 

to distribute controlled substances,8 in addition 

to certain specific acts like distributing drugs to 

persons who are under the age of 21 or who are 

pregnant, using persons under the age of 18 in drug 

operations, and distributing drugs in or near schools 

and colleges.9 The most commonly prosecuted 

drug offenses that carry mandatory minimum 

penalties are 21 U.S.C. §§ 841 and 960. Section 841 

prohibits the knowing or intentional manufacture, 

distribution, dispensation, or possession with intent 

to manufacture, distribute or dispense a controlled 

substance. Section 960 prohibits the knowing 

and intentional importation or exportation of a 

controlled substance.10 

Under both provisions, mandatory minimum 

penalties are tied to the quantity and type of 

controlled substance involved in the offense. When 

certain quantity thresholds are met, a five-year 

mandatory minimum penalty and a maximum 

term of 40 years applies, while larger amounts 

increase the mandatory minimum to ten years, 

with a maximum of life imprisonment.11 These 

penalties may be enhanced further based on an 

offender’s record of previous drug offenses.12 For 

example, offenders who otherwise qualify for 

the five-year mandatory minimum penalty face 

an increased statutory range of ten years to life 

if they have a prior conviction for a felony drug 

offense.13 Similarly, a qualifying prior conviction 

increases a ten-year mandatory minimum to a 20-

year mandatory minimum (the maximum remains 

life), while offenders previously convicted of two or 

more prior drug felonies are subject to a mandatory 

term of life.14

The penalties for committing other drug 

offenses under Title 21 are also tied to the abovereferenced penalty structure. For example, 

attempts or conspiracies to commit any drug 

offense are subject to the same penalty structure 

as the substantive offense.15 Higher penalty ranges 

apply if death or serious bodily injury results from 

use of the controlled substance.16

As discussed in greater detail in the 

Commission’s previous reports,17 some legislative 

history leading up to passage of the Anti-Drug 

Abuse Act of 1986 discusses the establishment 

of this two-tiered mandatory penalty structure 

targeted to “major” traffickers and “serious” 

traffickers. In particular, floor statements18 from 

various members in support of the 1986 Act suggest 

that the two-tiered penalty structure was designed 

to target discrete categories of traffickers by linking 

Triggering Thresholds for 

Common Controlled Substances

21 U.S.C. § 841

5-year 

Mandatory 

Minimum

10-year

Mandatory 

Minimum

Heroin 100 G 1 KG

Powder Cocaine 500 G 5 KG

Cocaine Base (crack) 28 G 280 G

Marijuana 100 KG 1,000 KG

Methamphetamine (pure) 5 G 50 G

Methamphetamine (mixture) 50 G 500 G
 11

Section Three:

Mandatory Minimums in the Federal System

the five-year mandatory minimum penalties to 

“serious” traffickers and the ten-year mandatory 

minimum penalties to “major” traffickers.19 Drug 

quantity would serve as a proxy to identify those 

types of traffickers.

Relatedly, a committee report from the House 

Judiciary Subcommittee on Crime, issued just over 

a month before the 1986 Act passed, summarized 

the committee’s consideration of a predecessor bill 

(House Bill 5394)20 discussing the establishment 

of the two-tiered mandatory minimum penalties 

for serious and major traffickers. According to the 

report, “the Committee strongly believe[d] that the 

Federal government’s most intense focus ought to be 

on major traffickers, the manufacturers or the heads 

of organizations, who are responsible for creating 

and delivering very large quantities of drugs,” and 

“determined that a second level of focus ought to 

be on the managers of the retail level traffic, the 

person who is filling the bags of heroin, packing 

crack into vials ... and doing so in substantial street 

quantities.”21 The report referred to this second 

level of trafficker as “serious traffickers because 

they keep the street markets going.”22 

Congress also referenced these deliberations 

in later committee reports as indicative of a 

“general congressional desire to link the Act’s 

minimum penalties and specified drug quantities 

such that ‘kingpin’ traffickers would be subject 

to the ten-year minimum sentence and ‘middlelevel’ traffickers would be subject to the five-year 

minimum sentence.”23

Statutory Relief Provisions

Offenders may receive relief from the statutory 

mandatory minimum penalty, even when otherwise 

applicable based on drug quantity, in two ways. 

First, if the prosecution files a motion based on the 

defendant’s “substantial assistance” to authorities 

in the investigation or prosecution of another 

person, a sentencing court may impose a sentence 

below the statutory minimum pursuant to 18 U.S.C. 

§ 3553(e).

24 Second, if the defendant meets the 

“safety valve” criteria provided in 18 U.S.C. 

§ 3553(f), the statute provides that the court shall 

impose a sentence pursuant to the sentencing 

guidelines without regard to the otherwise 

applicable statutory minimum.25 For the safety 

valve to apply, the court must find, on motion of the 

government, that:

1. the defendant does not have more than one 

criminal history point; 

2. the defendant did not use violence or credible 

threats of violence or possess a firearm or 

other dangerous weapon in connection with 

the offense; 

3. the offense did not result in death or serious 

bodily injury to any person;

4. the defendant was not an organizer, leader, 

manager or supervisor of others or engaged 

in a continuing criminal enterprise; and 

5. the defendant has, by the time of sentencing, 

truthfully provided to the Government all 

relevant information. 

Unlike a substantial assistance departure—

which applies to all federal offenses carrying a 

mandatory minimum penalty—the safety valve 

statute applies only in cases in which a defendant 
12 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

faces a mandatory minimum penalty after being 

convicted of a drug trafficking offense listed in the 

statute.26 These relief mechanisms are described in 

greater detail in the 2017 Overview Publication.

27

Guideline Provisions

Defendants convicted of violating these 

statutes are sentenced under Part D of Chapter 

Two of the Guidelines Manual. The principal drug 

trafficking guideline is USSG §2D1.1 (Unlawful 

Manufacturing, Importing, Exporting, or 

Trafficking), which typically applies to convictions 

for distributing, manufacturing, importing, or 

possessing with intent to distribute controlled 

substances. The primary drivers of the severity of 

an offender’s punishment under this guideline are 

the type and quantity of drugs for which he or she 

is accountable, although other factors, discussed 

in greater detail below, may also affect sentence 

length. 

Section 2D1.1 has five alternate base offense 

levels (BOL). Four of the five apply if the defendant 

was convicted under a specific statute listed in the 

guideline and death or serious bodily injury resulted 

from the offense.28 The fifth base offense level, which 

is the most commonly applied, ties the base offense 

level to the type and quantity of drugs involved in 

the offense, ranging from an offense level of 6 up to 

offense level 38.29 As a result of the Commission’s 

2014 “drugs minus two” amendment, offenses that 

involve drug quantities triggering the five-year 

mandatory minimum are set at base offense level 

24 (51 to 63 months at Criminal History Category 

I), and offenses involving quantities triggering the 

ten-year mandatory minimum are set at level 30 (97 

to 121 months at Criminal History Category I).30 

In addition to §2D1.1, drug offenders are also 

sentenced under other guidelines in Chapter Two, 

Part D. These guidelines apply when an offender 

is convicted of violating particular statutes—

for example, §2D1.2 applies when an offender is 

convicted under one of several statutes prohibiting 

the sale of drugs in certain locations or to specified 

classes of persons.31 While these guidelines 

contain some unique provisions reflecting the 

specific nature of the offense of conviction, they 

also incorporate the drug quantity table at §2D1.1, 

and the drug quantity for which an offender is held 

responsible is likely to be a major driver of his or 

her recommended guideline range under any of the 

Chapter Two, Part D guidelines.

The guidelines incorporate both statutory 

mechanisms for relief from mandatory minimum 

penalties. Section 5K1.1 authorizes a departure 

from the guideline range if the offender provided 

substantial assistance to law enforcement and the 

government files a motion to that effect. However, 

because §5K1.1 cannot authorize courts to impose 

a sentence below a mandatory minimum penalty, 

the sentencing court may not do so unless the 

government files a motion pursuant to 18 U.S.C. 

§ 3553(e). For defendants who qualify for relief 

from the mandatory minimum penalty pursuant 

to the statutory safety valve, the guideline at 

§5C1.2 directs the court to “impose a sentence in 

accordance with the applicable guidelines without 

regard to any statutory minimum sentence.”32 The 

drug trafficking guideline at §2D1.1 also provides 

for a 2-level decrease if the defendant meets the 

safety valve subdivision criteria listed at §5C1.2.33

This decrease applies regardless of whether the 

defendant was convicted of an offense carrying a 

mandatory minimum penalty.
4 Data 

Analysis
14 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

The Commission’s Updated Study of Drug 

Mandatory Minimum Penalties

In its 2011 Mandatory Minimum Report, the 

Commission made several recommendations to 

Congress regarding the use of, and improvement 

to, mandatory minimum penalties generally and 

with respect to the four major offense types. The 

Commission made two specific recommendations 

regarding the use of mandatory minimum penalties 

in drug offenses. These were that Congress: (1) 

consider expanding the safety valve at 18 U.S.C. 

§ 3553(f); and (2) reassess the severity and scope of 

the recidivist enhancements for drug offenses at 21 

U.S.C. §§ 841 and 960. 

Since the 2011 Mandatory Minimum Report, the 

Commission has continued its study of the scope, 

use, and impact of mandatory minimum penalties 

in the federal system, providing regular updates 

through the issuance of Quick Facts publications, 

as well as in testimony before Congress. Given 

the changes highlighted in the 2017 Overview 

Publication, as well as ongoing interest in this 

subject, the Commission provides this publication 

to update the information and analyses in its 2011 

Mandatory Minimum Report and to further inform 

discussion of the Commission’s recommendations 

regarding the use of mandatory minimum penalties 

for drug offenses. 

For purposes of this publication, focusing on 

drug offenses34 carrying mandatory minimum 

penalties, the Commission analyzed 62,251 cases 

from the Commission’s datafile, identifying relevant 

offender and offense characteristics, including 

demographic data, the types of underlying offenses, 

and basic criminal history information.35 This 

publication provides general comparisons between 

all federal drug offenders, offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty, and offenders who remained subject to 

a drug mandatory minimum penalty at the time 

of sentencing. The Commission also provides 

data about sentencing outcomes involving the 

application of drug mandatory minimum penalties. 

Where appropriate, this publication highlights 

key changes between the data set forth in the 

Commission’s 2011 Mandatory Minimum Report

and the fiscal year 2016 sentencing data, as well 

as key differences by drug type. Detailed analysis 

and figures are provided for each drug type in the 

appendices. 

It is the Commission’s intent that the data in 

this publication will further inform the ongoing 

discussion regarding mandatory minimum 

penalties by Congress, the Department of Justice, 

and others.

Recent Trends in Mandatory Minimum 

Penalties

As discussed in the 2017 Overview Publication, 

the prevalence of convictions for an offense 

carrying any mandatory minimum among all 

2011 RECOMMENDATIONS

In its 2011 Mandatory Minimum Report, the 

Commission recommended that Congress 

marginally expand the safety valve at 18 

U.S.C. § 3553(f), and reassess the severity and 

scope of the recidivist enhancements for drug 

offenses.
 15

Section Four:

Data Analysis

federal offenders decreased in fiscal year 2016. 

From fiscal years 1991 to 2014, the percentage of 

federal offenders convicted of an offense carrying 

a mandatory minimum penalty remained relatively 

stable, fluctuating between 26.0 percent and 31.9 

percent. Over the past three years, the percentage 

has decreased to 21.9 percent in fiscal year 2016, a 

difference of 5.3 percentage points from fiscal year 

2010 (27.2%).36

While the percentage of offenders convicted of 

an offense carrying a mandatory minimum penalty 

steadily decreased, the percentage of offenders 

subject to a mandatory minimum at sentencing 

remained relatively stable during the same time 

period, falling only slightly from 14.5 percent in 

fiscal year 2010 to 13.4 percent in fiscal year 2016. 

This is because offenders have been increasingly 

less likely to receive relief from a mandatory 

minimum penalty through a substantial assistance 

motion or application of the statutory safety valve. 

In fiscal year 2016, 38.7 percent offenders convicted 

of an offense carrying a mandatory minimum 

penalty received relief, down from 46.7 percent in 

2010.37

Although the use of mandatory minimum 

penalties decreased overall, different trends 

appeared with respect to different offenses carrying 

mandatory minimum penalties. Drug offenses, 

along with firearms offenses, continued to top the 

list of the most frequently used mandatory minimum 

penalty statutes. Drug offenses accounted for 

slightly more than two-thirds of the offenses 

(67.3%) carrying a mandatory minimum penalty 

in fiscal year 2016, significantly higher than the 

next closest category of offenses.38 As in fiscal year 

2010, the most frequently reported conviction of an 

offense carrying a mandatory minimum penalty 

in fiscal year 2016 was 21 U.S.C. § 846 (Attempt 

and Conspiracy [to Commit a Drug Trafficking 

Offense]). Violations of section 846 accounted for 

almost a quarter (24.9%) of the convictions under 

statutes carrying a mandatory minimum penalty. 

The primary drug trafficking penalty provisions 

of 21 U.S.C. § 841—sections 841(b)(1)(A) and 

SOURCE: U.S. Sentencing Commission 1991 through 2016 Datafiles, USSCFY1991-USSCFY2016.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of an Offense Carrying a Mandatory Minimum Penalty

Subject to a Mandatory Minimum Penalty at Sentencing

Figure 1. Offenders Convicted of an Offense Carrying a Mandatory Minimum Penalty and Offenders Subject to 

a Mandatory Minimum Penalty at Sentencing 

Fiscal Years 1991 - 2016
16 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

(B)—remain in the top five most frequent statutes 

of conviction carrying a mandatory minimum 

penalty.39

Though drug offenses remain the most 

commonly charged offenses carrying mandatory 

minimum penalties, over time, the percentage of 

drug offenders convicted of a drug offense carrying 

a mandatory minimum penalty has decreased 

significantly while the percentage of offenders 

convicted of other offenses carrying a mandatory 

minimum penalty—violent, firearms, sexual abuse, 

pornography and “other” offenses—has steadily 

increased.40 Figure 2 shows that the percentage 

of drug trafficking offenders convicted of an 

offense carrying a mandatory minimum penalty 

remained relatively stable from 1992 through 2013, 

fluctuating between 60 and 72 percent. However, 

after 2013, there was a significant decrease in the 

percentage of drug trafficking offenders convicted 

of an offense carrying a mandatory minimum 

penalty. It decreased to 52.2 percent in fiscal year 

2014, 47.9 percent in fiscal year 2015, and reached 

its lowest rate of 46.8 percent in 2016.41 

These trends are consistent with recent 

legislative changes and changes in Department 

of Justice charging policy. The last significant 

change to mandatory minimum penalties—the 

Fair Sentencing Act of 2010 (FSA)—repealed the 

mandatory minimum penalties established for 

simple possession of crack cocaine and increased 

the quantities required to trigger the five- and 

ten-year mandatory minimum penalties for crack 

cocaine trafficking offenses from five to 28 grams 

and 50 to 280 grams, respectively.42 The FSA 

also directed the Commission to provide higher 

STATUTE

Total Number of 

Counts of

Convictions

Percentage of 

Counts of 

Conviction

21 U.S.C. § 846 5,982 24.9%

21 U.S.C. § 841(b)(1)(B) 2,478 10.3%

21 U.S.C. § 841(b)(1)(A) 2,224 9.3%

18 U.S.C. § 924(c)(1)(A)(i) 1,974 8.2%

18 U.S.C. § 924(c)(1)(A)(ii) 1,019 4.2%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Drug Trafficking Sexual Abuse Pornography Firearms

SOURCE: U.S. Sentencing Commission, 1991 through 2016 Datafiles, USSCFY91 – USSCFY16.

Figure 2. Offenders in Select Offense Types Convicted of an Offense Carrying a Mandatory Minimum Penalty 

Fiscal Years 1991 - 2016

Table 1. Number of Convictions for Most Frequently 

Used Statutes Carrying a Mandatory Minimum Penalty 

Fiscal Year 2016 
 17

Section Four:

Data Analysis

guideline sentences for drug offenders based on 

certain aggravating factors and to provide lower 

guideline sentences for offenders who received an 

adjustment for being a minimal participant in the 

offense.43 In 2011, the Commission implemented 

the FSA’s new penalties in the guidelines and 

subsequently made the changes retroactive,44

and also recommended that Congress make the 

statutory provisions retroactive.45 Following 

implementation, a Commission study indicated 

that these changes in the FSA reduced the disparity 

between crack and powder cocaine sentences, 

reduced the federal prison population, and appear 

to have resulted in fewer federal prosecutions for 

crack cocaine.46

In addition to these legislative changes, there 

were also significant changes to the charging of 

offenses carrying mandatory minimum penalties 

that impacted the data in this publication. Beginning 

in 2010, the Department of Justice amended its 

guidance to federal prosecutors regarding which 

offenses to charge, including by requiring more 

targeted charging of offenses carrying a mandatory 

minimum penalty. Before 2010, Department 

of Justice policy had directed prosecutors to 

charge the most serious, readily provable offenses 

supported by the facts and that would result in the 

longest sentence.47 In 2010, then-Attorney General 

Eric Holder issued a memorandum instructing that 

while a prosecutor “should ordinarily charge” the 

most serious offense, the charging decision requires 

an individual assessment of the facts of the case, 

considering the purpose of federal criminal laws 

and the best use of federal resources. The “Holder 

Memorandum,” as it has come to be called, 

required the same individualized assessment in 

plea bargaining and sentencing.48 

Following the Supreme Court’s decision in 

Alleyne v. United States,

49 which held that facts that 

trigger a mandatory minimum penalty are elements 

that must be submitted to the jury and proven 

beyond a reasonable doubt,50 the Department of 

Justice further modified its charging policies as 

part of its Smart on Crime Initiative. Noting that 

“the Supreme Court’s decision in Alleyne heightens 

the role a prosecutor plays in determining whether 

a defendant is subject to a mandatory minimum 

sentence,” the Department of Justice issued a 

new policy refining its charging policy regarding 

mandatory minimums for certain non-violent, 

low-level drug offenders.51 The Smart on Crime 

Initiative instructed that “prosecutors should 

decline to charge the quantity necessary to trigger 

the mandatory minimum sentence if the defendant 

meets” the following criteria: 

• the defendant’s relevant conduct does not 

involve the use of violence, the credible 

threat of violence, the possession of a 

weapon, the trafficking of drugs to or with 

minors, or the death or serious bodily 

injury of any person; 

• the defendant is not an organizer, leader, 

manager, or supervisor of others within a 

criminal organization; 

• the defendant does not have significant 

ties to large-scale drug trafficking 

organizations, gangs, or cartels; and 

• the defendant does not have a significant 

criminal history (normally evidenced by 

three or more criminal history points but 

may involve fewer or greater depending on 

the nature of any prior convictions).”52
18 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

The memorandum further provided that 

prosecutors should decline to pursue the recidivist 

enhancements in Title 21 (and therefore not file an 

information pursuant to 21 U.S.C. § 851) “unless 

the defendant is involved in conduct that makes the 

case appropriate for severe sanctions.”53 

It is likely that many, if not all of these, changes 

have in some way impacted the data discussed in 

this publication, including the current population 

of the Federal Bureau of Prisons (BOP). Different 

trends, however, may emerge because of changed 

policies with respect to mandatory minimums. 

Attorney General Jefferson Sessions recently 

issued guidance reverting to the previous policy 

that “prosecutors should charge and pursue the 

most serious, readily provable offense” and stating 

that “the most serious offenses are those that carry 

the most substantial guideline sentence, including 

mandatory minimum sentences.”54 Therefore, any 

recent data trends reported in this publication may 

not be permanent.

 

Prevalence of Drug Offenses Carrying 

Mandatory Minimum Penalties

How Often Are Drug Offenders Charged 

with an Offense Carrying a Mandatory 

Minimum Penalty?

Drug Offenders Overall

As noted above, the prevalence of offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty decreased in fiscal year 2016, 

both in number and as a percentage of all offenders 

sentenced in that year. As reflected in Figure 3, 

less than half (44.7%, n=8,760) of the 19,584 

drug offenders sentenced in fiscal year 2016 were 

convicted of an offense carrying a drug mandatory 

minimum penalty,55 a significant change from fiscal 

year 2010 when nearly two-thirds (66.1%, n=15,831) 

of the 23,964 drug offenders were convicted of such 

an offense. This reflects a 44.7 percent decrease 

in the number of drug offenders convicted of an 

offense carrying a drug mandatory minimum 

penalty, from 15,831 offenders in fiscal year 2010 

to 8,760 offenders in fiscal year 2016. Although 

this decrease is due in part to the reduction in 

the federal offender population in recent years, 

the fact that the number of offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty declined at a greater rate than the overall 

population56 indicates that changes in charging 

practices are also responsible.

Not Convicted of an 

Offense Carrying a 

Drug Mandatory 

Minimum Penalty

55.3%

(N=10,824)

Convicted of an 

Offense Carrying a 

Drug Mandatory 

Minimum Penalty

44.7%

(N=8,760)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 3. Drug Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016
 19

Section Four:

Data Analysis

The impact of changes in charging practices 

is further demonstrated by the recent decrease 

in the percentage of drug offenders convicted of 

an offense carrying a drug mandatory minimum, 

as shown in Figure 4. From fiscal years 1992 to 

2013, the percentage of drug offenders convicted 

of an offense carrying a drug mandatory minimum 

penalty remained relatively steady, fluctuating 

between 57.2 percent and 67.0 percent. That trend 

significantly changed, however, over the past 

three years, with the percentage of drug offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty decreasing from 62.5 percent in 

fiscal year 2013 to 50.4 percent in fiscal year 2014 

and 44.7 percent in this most recent fiscal year. 

Despite this considerable decrease, the 

percentage of drug offenders who remain subject 

to a drug mandatory minimum remained largely 

steady over the past seven fiscal years with only a 

slight downward trend. After reaching 31.6 percent 

in fiscal year 2005, the rate fell slightly to 28.8 

percent in fiscal year 2010 and then to 21.7 percent 

in fiscal year 2016. While this decrease is notable, it 

is smaller than the substantial decrease in the drug 

offenders convicted of any offense carrying a drug 

mandatory minimum penalty. This is because drug 

offenders convicted of an offense carrying a drug 

mandatory minimum were less likely to receive 

relief from the mandatory minimum through a 

substantial assistance motion or application of 

the statutory safety valve. In fiscal year 2016, 

51.6 percent of such offenders were relieved from 

its application at sentencing due to substantial 

assistance, safety valve, or both.57 This compares 

to 54.4 percent who received relief in fiscal year 

2010.58

These trends are consistent with the stated goals 

of the Department of Justice’s 2010 memorandum 

and its 2013 Smart on Crime Initiative instructing 

prosecutors to be more selective in charging 

offenses with a mandatory minimum penalty, 

specifically in cases involving certain nonviolent, 

SOURCE: U.S. Sentencing Commission 1991 through 2016 Datafiles, USSCFY1991-USSCFY2016.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

Subject to a Drug Mandatory Minimum Penalty at Sentencing

Figure 4. Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty and Offenders 

Subject to a Drug Mandatory Minimum at Sentencing

Fiscal Years 1991 - 2016
20 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

low-level drug offenders. As discussed in the 2017 

Overview Publication, offenders who met certain 

identified criteria related to the guidance provided 

in the Smart on Crime Initiative remained subject 

to a mandatory minimum penalty at a higher rate in 

2016 than they did in 2010.59 

Prevalence by Drug Type

As would be expected given the decline in 

offenders convicted of an offense carrying a 

drug mandatory minimum, there was a similar 

downward trend in the prevalence of offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty, both in number and percentage, 

across each of the primary drug types. In fiscal year 

2016, powder cocaine offenders were convicted of 

an offense carrying a drug mandatory minimum 

more often than offenders convicted of offenses 

involving any other drug type (60.2%), followed by 

methamphetamine offenders (54.6%), crack cocaine 

offenders (46.6%), and heroin offenders (42.9%). 

Marijuana offenders were convicted of an offense 

carrying a drug mandatory minimum penalty least 

often (26.1%).

As reflected in Figure 5, however, the extent 

of the decrease did vary somewhat for each of the 

drug types. As would be expected following the 

passage of the FSA, the largest change occurred in 

the context of crack cocaine offenders. While 80.1 

percent of crack cocaine offenders were convicted 

of an offense carrying a drug mandatory minimum 

penalty in fiscal year 2010, only 46.6 percent were 

convicted of such an offense in fiscal year 2016. 

Significant shifts also occurred for marijuana 

offenders, who were convicted of an offense carrying 

a drug mandatory minimum nearly twice as often 

in fiscal year 2010 (42.5%) as compared to fiscal 

year 2016 (26.1%). The rate for methamphetamine 

offenders fell from 82.0 percent in fiscal year 2010 

to 54.6 percent in fiscal year 2016, while the rate for 

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Powder Cocaine Crack Cocaine Heroin Marijuana Methamphetamine

SOURCE: U.S. Sentencing Commission, 1993 through 2016 Datafiles, USSCFY93 – USSCFY16.

Figure 5. Percentage of Offenders in Select Drug Types Convicted of an Offense Carrying a Drug 

Mandatory Minimum Penalty

Fiscal Years 1993 - 2016
 21

Section Four:

Data Analysis

heroin offenders fell from 68.5 percent in fiscal year 

2010 to 42.9 percent in fiscal year 2016. Powder 

cocaine offenders experienced a smaller decrease, 

from 78.4 percent in fiscal year 2010 to 60.2 percent 

in fiscal year 2016. 

Because of these varying rates of decrease, there 

have also been significant shifts in the prevalence 

of each drug type among those offenders convicted 

of an offense carrying a drug mandatory minimum 

penalty. As reflected in Figure 6, more than onethird (40.6%, n=3,553) of offenses carrying a 

drug mandatory minimum penalty in fiscal year 

2016 involved methamphetamine, followed by 

powder cocaine (26.2%, n=2,293), heroin (13.6%, 

n=1,192), marijuana (10.4%, n=914), crack cocaine 

(8.3%, n=728) and other drugs (0.9%, n=78). This 

largely reflects the distribution of drug offenses 

overall, one-third (33.4%, n=6,508) of which 

involved methamphetamine, followed by powder 

cocaine (19.5%, n=3,809), marijuana (17.9%, 

n=3,497), heroin (14.3%, n=2,780), crack cocaine 

(8.0%, 1,562), and other drugs (7.0%, n=1,356). 

However, both methamphetamine (40.6%) and 

powder cocaine (26.2%) are over-represented with 

respect to the percentage of offenders convicted of 

an offense carrying a drug mandatory minimum 

compared to their portion of the overall drug 

offender population, which is 33.4 percent and 19.5 

percent, respectively. Additionally, in 2016, more 

offenses carrying a drug mandatory minimum 

involved heroin (13.6%) than marijuana (10.4%), 

though marijuana makes up a greater percentage of 

drug offenses (17.9%, compared to 14.3%).

The proportions represent some significant 

shifts from those reported in the Commission’s 

2011 Mandatory Minimum Report. Not only were 

there more drug offenders (n=23,964) and a greater 

percentage of offenders convicted of an offense 

carrying a drug mandatory minimum (66.1%) in 

fiscal year 2010, but the distribution and order of 

the most common drugs involved has changed 

significantly. In fiscal year 2010, more than onequarter (28.1%, n=4,447) of offenses carrying 

a drug mandatory minimum penalty involved 

powder cocaine, followed by crack cocaine (24.7%, 

n=3,905), methamphetamine (21.9%, n=3,466), 

marijuana (17.2%, n=2,725), heroin (6.9%, n=1,098) 

and other drugs (1.1%, n=172). 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

All Drug Offenders

Powder Cocaine

19.5%

(N=3,809)

Crack Cocaine

8.0%

(N=1,562)

Heroin

14.3%

(N=2,780)

Marijuana

17.9%

(N=3,497)

Methamphetamine

33.4%

(N=6,508)

Other

7.0%

(N=1,356) Powder Cocaine

26.2%

(N=2,293)

Crack Cocaine

8.3%

(N=728)

Heroin

13.6%

(N=1,192)

Marijuana

10.4%

(N=914)

Methamphetamine

40.6%

(N=3,553)

Other

0.9%

(N=78)

Drug Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Figure 6. Type of Drug Involved in Drug Offenses

Fiscal Year 2016
22 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

The biggest changes occurred in relation to 

crack cocaine and methamphetamine offenders. In 

fiscal year 2010, crack cocaine offenders represented 

a significantly larger portion of offenders convicted 

of an offense carrying a drug mandatory minimum 

penalty in fiscal year 2010 (24.7% compared to 

8.3% in fiscal year 2016), while methamphetamine 

offenders represented a smaller portion of such 

offenders in fiscal year 2010 (21.9% compared to 

40.6% in fiscal year 2016). 

This shift is, in large part, due to changes in the 

number of methamphetamine and crack cocaine 

offenders since fiscal year 2010. Among all crack 

cocaine offenders, 728 were convicted of an offense 

carrying a drug mandatory minimum penalty, 

down from 3,924 in 2010. While the number 

of methamphetamine offenders also decreased 

following the Department of Justice’s 2013 Smart 

on Crime Initiative, Figure 7 shows a marked 

increase in the number of methamphetamine 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty over time when 

compared to other drug types. 

How Severe Were Mandatory Minimum 

Penalties for Drug Offenders?

As discussed in Section Three, mandatory 

minimum penalties apply to certain controlled 

substance offenses and vary in length depending 

on the type and quantity of drug involved in the 

offense. 

Consistent with fiscal year 2010 data, almost all 

offenders (96.7%) convicted of an offense carrying 

a drug mandatory minimum penalty in fiscal year 

2016 faced mandatory minimum penalties of ten 

years or less as shown in Figure 8. At 49.5 percent, 

such offenders were most frequently convicted 

of violating a statute carrying a drug mandatory 

0

1,000

2,000

3,000

4,000

5,000

Powder Cocaine Crack Cocaine Heroin Marijuana Methamphetamine

SOURCE: U.S. Sentencing Commission, 1993 through 2016 Datafiles, USSCFY93 – USSCFY16.

Figure 7. Number of Offenders in Select Drug Types Convicted of an Offense Carrying a Drug 

Mandatory Minimum Penalty

Fiscal Years 1993 - 2016
 23

Section Four:

Data Analysis

minimum penalty of ten years of imprisonment, 

which is virtually the same as in fiscal year 2010. 

There was a slight increase in the percentage of 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty of five years, from 

43.5 percent in fiscal year 2010 to 46.1 percent in 

fiscal year 2016. In contrast, there was a slight 

decrease in the percentage of offenders convicted 

of an offense carrying a drug mandatory minimum 

penalty of twenty years, from 4.5 percent in fiscal 

year 2010 to 2.9 percent in fiscal year 2016. The 

percent of offenders who were sentenced to life 

imprisonment remained low—1.0 percent in fiscal 

year 2010 compared to 0.4 percent in 2016.

There are, however, notable distinctions in the 

severity of the applicable mandatory minimum 

penalty depending on drug type. Both powder 

cocaine and methamphetamine offenders were 

most frequently convicted under a statute carrying 

a drug mandatory minimum penalty of ten years 

of imprisonment—57.0 percent of powder cocaine 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty and 59.5 percent of 

methamphetamine offenders convicted of such an 

offense faced a ten-year drug mandatory minimum 

penalty. Conversely, crack cocaine (59.9%), heroin 

(48.3%), and marijuana offenders (83.3%) convicted 

of an offense carrying a drug mandatory minimum 

were most frequently convicted under a statute 

carrying a five-year drug mandatory minimum 

penalty.60 

SOURCE: U.S. Sentencing Commission, 2010, and 2016 Datafiles, USSCFY10, and USSCFY16.

< 5 Years

1.1%

(N=166)

5 Years

43.5%

(N=6,712)

>5 to <10 Years

0.0%

(N=1)

10 Years

50.0%

(N=7,717)

20 Years

4.5%

(N=692)

Life

1.0%

(N=153)

< 5 Years

1.1%

(N=97)

5 Years

46.1%

(N=4,037)

>5 to <10 Years

0.0%

(N=0)

10 Years

49.5%

(N=4,339)

20 Years

2.9%

(N=256)

Life

0.4%

(N=31)

2010

2016

Figure 8. Length of Mandatory Minimum Penalty for 

Offenders Convicted of an Offense Carrying a Drug 

Mandatory Minimum Penalty

< 5 Years

8.1%

(N=1,105)

5 Years

40.0%

(N=5,444)

>5 to <10 Years

3.2%

(N=433)

10 Years

37.3%

(N=5,078)

10 to <20 Years

6.8%

(N=926)

20 Years

2.2%

(N=304)

>20 Years

2.3%

(N=314)

2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 9. Length of Mandatory Minimum Penalty 

for Offenders Convicted of an Offense Carrying a 

Mandatory Minimum Penalty
24 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Offenders convicted of an offense carrying a 

drug mandatory minimum also differed in several 

ways from the group of offenders convicted of any 

mandatory minimum offense discussed in the 2017 

Overview Publication. See Figure 9. First, when 

convicted of an offense carrying a drug mandatory 

minimum penalty, offenders generally face a higher 

minimum than offenders convicted of such offenses 

overall. As reflected in Figure 9, such drug offenders 

were most frequently convicted for violating 

a statute carrying a ten-year drug mandatory 

minimum, whereas the most frequent mandatory 

minimum penalty was five years imprisonment 

in 2016 (40.0%) for offenders convicted of an 

offense carrying any mandatory minimum penalty. 

Equally notable, however, is the fact that only 3.3 

percent of drug offenders convicted of an offense 

carrying a drug mandatory minimum penalty faced 

a minimum of more than ten years. Conversely, 

11.3 percent of offenders convicted of any 

mandatory minimum offense faced such penalties. 

This distinction is, of course, driven in part by the 

differing mandatory minimum statutory provisions 

applicable to the various offense types.61

Where Were Offenders Convicted of 

Offenses Carrying Drug Mandatory 

Minimums?

There continued to be geographic differences 

in the rates at which drug mandatory minimum 

penalties apply.62 Two-thirds (66.7%) of the 8,760 

cases involving a drug mandatory minimum 

penalty were brought in the district courts within 

five circuits: 2,145 (24.5%) were in the Fifth Circuit, 

1,065 (12.2%) were in the Eleventh, 979 (11.2%) 

were in the Ninth, 910 (10.4%) were in the Eighth, 

and 742 (8.5%) were in the Sixth.

In fiscal year 2016, courts in only one district 

(Southern District of Texas) sentenced more than 

750 offenders who were convicted of an offense 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Number of Offenders: <50 50-99 100-249 250-499 500-750 >750

Figure 10. Number of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty by 

District

Fiscal Year 2016
 25

Section Four:

Data Analysis

carrying a drug mandatory minimum. That one 

district accounted for 10.1 percent (n=882) of the 

8,760 cases involving a drug mandatory minimum 

in fiscal year 2016. The four districts reporting 

the next highest number of cases involving a drug 

mandatory minimum penalty were: Western Texas 

(6.7%, n=590), Middle Florida (5.0%, n=439), 

Southern Florida (4.2%, n=370), and Puerto Rico 

(4.0%, n=349). Most often, districts had 50 to 99 

such convictions (40 of the 94 districts, or 42.6%), 

while 33 districts (35.1%) had less than 50 such 

convictions. 

Offender Demographics

This section provides an overview of the 

demographics63 of drug offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty. Demographics of offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty vary widely based on the type of drug 

involved in the offense. 

Race, Gender, and Citizenship

In fiscal year 2016, Hispanic offenders 

continued to represent the largest group of offenders 

(51.9%) convicted of an offense carrying a drug 

mandatory minimum penalty, as they did in fiscal 

year 2010 (44.0%). As set forth in Table 2, the 2016 

percentage is nearly equal to their proportion of 

the total federal drug offender population (50.2%).

Black offenders (23.6%), White offenders (21.9%), 

and Other Race offenders (2.6%) accounted for 

the remaining offenders convicted of an offense 

carrying a drug mandatory minimum penalty. 

All Drug 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum 

Penalty

Relieved of 

Mandatory 

Minimum Penalty

Subject to

Drug Mandatory

Minimum Penalty at

Sentencing

Total (# of offenders) 19,584 8,760 4,519 4,241

RACE

White 23.4% 21.9% 20.9% 23.0%

Black 23.5% 23.6% 16.3% 31.4%

Hispanic 50.2% 51.9% 60.3% 43.0%

Other 2.9% 2.6% 2.6% 2.6%

CITIZENSHIP

U.S. Citizen 71.9% 71.4% 61.0% 82.4%

Non-U.S. Citizen 28.1% 28.7% 39.0% 17.6%

GENDER

Male 84.6% 88.9% 85.2% 92.8%

Female 15.4% 11.1% 14.8% 7.2%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table 2. Demographic Characteristics of Drug Offenders

Fiscal Year 2016
26 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Hispanic offenders were also the largest group 

to be relieved of a drug mandatory minimum 

penalty (60.3%), just as they were in fiscal year 2010 

(47.7%). This is mainly due to the large number of 

Hispanic offenders who received relief through the 

safety valve. In fiscal year 2016, 44.1 percent of 

Hispanic offenders convicted of an offense carrying 

a drug mandatory minimum penalty received relief 

through the safety valve, compared to 16.5 percent 

of White offenders, 12.4 percent of Black offenders, 

and 26.9 percent of Other Race offenders. 

Of the 4,241 offenders subject to a drug 

mandatory minimum penalty at sentencing, 

Hispanic offenders were the largest group (43.0%) 

followed by Black offenders (31.4%) and White 

offenders (23.0%). This is a change from fiscal year 

2010, when Black offenders were the largest group 

(40.4%) subject to a drug mandatory minimum 

penalty at sentencing, followed by Hispanic 

offenders (39.6%).

As shown in Table 1 in each of the drug specific 

appendices,64 the demographics of offenders 

convicted of drug offenses varied widely by specific 

drug type in fiscal year 2016. More than threequarters (82.6%) of all crack cocaine offenders 

were Black; most powder cocaine offenders 

were Hispanic (61.8%); most methamphetamine 

offenders were Hispanic (50.4%) or White (38.8%); 

most marijuana offenders were Hispanic (76.8%); 

and most heroin offenders were Hispanic (42.0%) 

or Black (40.0%). Hispanic offenders represented 

the largest group of offenders convicted of an 

offense carrying a mandatory minimum penalty 

involving powder cocaine (67.9%), as well as 

the largest group convicted of such an offense 

involving marijuana (73.9%), methamphetamine 

(46.2%), and heroin (46.7%). White offenders also 

represented a large proportion (42.7%) of offenders 

convicted of an offense carrying a mandatory 

minimum penalty involving methamphetamine. 

Similarly, Black offenders represented a large 

proportion (41.7%) of offenders convicted of an 

offense carrying a mandatory minimum penalty 

involving heroin. Black offenders represented the 

largest group of offenders convicted of an offense 

carrying a mandatory minimum penalty involving 

crack cocaine (85.0%). 

As reflected in Table 2, almost three-fourths of 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty were U.S. citizens 

(71.4%).65 Similarly, most offenders who remained 

subject to a drug mandatory minimum penalty 

were U.S. citizens (82.4%). Offenders convicted 

of an offense carrying a drug mandatory minimum 

are more commonly U.S. citizens for all drug types 

except marijuana, for which non-U.S. citizens 

constituted a greater percentage (55.5%) than U.S. 

Citizens (44.5%). 

Males were most common across all three 

groups—offenders convicted of an offense carrying 

a drug mandatory minimum (88.9%), relieved of a 

drug mandatory minimum (85.2%), and subject to 

a drug mandatory minimum penalty at sentencing 

(92.8%). Males were over-represented in the 

population of offenders who remained subject to 

a mandatory minimum at sentencing compared to 

their proportion of overall drug offenders (84.6%). 

With respect to drug type, methamphetamine and 

heroin offenders had the highest percentage of 

female offenders, 20.4 percent and 16.3 percent, 

respectively, approximately double the next highest 

drug type, powder cocaine, at 10.8 percent. 
 27

Section Four:

Data Analysis

Age

Offenders convicted of an offense carrying a 

drug mandatory minimum penalty are fairly evenly 

distributed throughout age brackets between 26 

through 50, with fewer younger than 26 or older 

than 50.

The average age of offenders in all categories 

and for all drug types ranges from 33 to 38. 

Marijuana offenders are, on average, slightly 

younger than offenders convicted of offenses 

involving other drug types, while powder cocaine 

offenders are the oldest across all categories.66 

Criminal History and Offense 

Characteristics

Criminal History

Nearly half of offenders convicted of an offense 

carrying a drug mandatory minimum penalty 

(45.9%) were in Criminal History Category I. As 

reflected in Figure 12, 37.7 percent of offenders 

convicted of an offense carrying a drug mandatory 

minimum received no criminal history points 

under the guidelines, while 8.1 percent received 

one criminal history point. On the other end of the 

spectrum, 13.7 percent of all offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty received more than ten criminal history 

points. 

A distinct difference appears when looking 

at offenders relieved of the application of the 

mandatory minimum penalty and offenders who 

remain subject to such penalty at sentencing. As 

set forth in Table 3, offenders in Criminal History 

Category I were substantially more likely to be 

relieved of the drug mandatory minimum penalty 

than offenders in higher criminal history categories, 

which is unsurprising as only drug offenders 

who fall within Criminal History Category I are 

eligible for relief through the statutory safety valve. 

Thus, even though less than half of offenders 

convicted of a drug mandatory minimum penalty 

were in Criminal History Category I (45.9%), 

offenders in that category accounted for almost 

two-thirds (66.4%) of those who were relieved of 

the mandatory minimum penalty. By contrast, 

Younger than 21

2.1%

(N=186)

Ages 21 to 25

10.6%

(N=927)

Ages 26 to 30

16.9%

(N=1,483)

Ages 31 to 35

19.5%

(N=1,704) Ages 36 to 40

18.8%

(N=1,646)

Ages 41 to 50

22.3%

(N=1,951)

Ages 51 to 60

8.1%

(N=711)

Older than 60

1.7%

(N=152)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 11. Age of Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016
28 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

offenders in Criminal History Category VI 

represented 14.2 percent of offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty, but represented 20.3 percent of offenders 

who were subject to a drug mandatory minimum 

penalty at sentencing. 

Criminal history does vary by drug type. For 

example, marijuana offenders had the highest 

percentage of offenders in CHC I (65.9%).67 Crack 

cocaine offenders had the lowest percentage in 

CHC I (18.3%) and the highest percentage in CHC 

VI (28.7%).68 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

37.7%

8.1%

3.6%

8.3%

5.0% 5.5% 5.5% 3.0% 4.1% 3.2% 2.4%

13.7%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

0 1 2 3 4 5 6 7 8 9 10 More than

10 Criminal History Points

CHC I

45.9%

(N=4,018)

CHC II

11.8%

(N=1,035)

CHC III

15.1%

(N=1,321)

CHC IV

8.3%

(N=729)

CHC V

4.7%

(N=414)

CHC VI

14.2%

(N=1,243)

Criminal History Category 

Figure 12. Criminal History Scores of Offenders Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty

Fiscal Year 2016

All Drug 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 19,584 8,760 4,519 4,241

CRIMINAL HISTORY CATEGORY

I 49.6% 45.9% 66.4% 24.0%

II 12.4% 11.8% 7.9% 16.0%

III 14.1% 15.1% 9.7% 20.8%

IV 7.4% 8.3% 4.9% 12.0%

V 4.2% 4.7% 2.7% 6.9%

VI 12.2% 14.2% 8.5% 20.3%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table 3. Criminal History of Drug Offenders

Fiscal Year 2016
 29

Section Four:

Data Analysis

Offense Characteristics

Certain offense characteristics were more 

prevalent among drug offenders who remained 

subject to the mandatory minimum penalty at 

sentencing. As reflected in Table 4, nearly a quarter 

of offenders subject to a drug mandatory minimum 

penalty received a guideline enhancement for 

having a weapon involved in the offense (24.8%), 

while 7.1 percent were also convicted of an offense 

carrying a firearm mandatory minimum penalty. 

In both instances, these rates were higher than the 

application rate for all drug offenders, 13.4 percent 

and 4.4 percent, respectively. Similarly, the data 

demonstrate that offenses in which the offender 

remained subject to a drug mandatory minimum 

penalty were more likely to have involved the use 

or threat of violence (1.8%) compared to 0.8 percent 

of all drug offenders, and to have resulted in bodily 

injury (6.4%) compared to 4.2 percent among 

all drug offenders. In each instance, these rates 

are also higher than the rate among all offenders 

convicted of an offense carrying any mandatory 

minimum penalty. 

As reflected in Figure 13, drug offenders who 

remained subject to a drug mandatory minimum 

penalty were more than twice as likely to have 

received an adjustment for aggravating role (16.4%) 

compared to all drug offenders in fiscal year 2016 

(7.5%). Conversely, such offenders were over five 

times less likely to have received an adjustment 

for mitigating role (4.4%) compared to all drug 

offenders (20.5%).

Consistent with the stated goals of the 

Department of Justice’s Smart on Crime Initiative, 

the prevalence of many of the aggravating 

factors discussed above has increased over time, 

indicating that those convicted of an offense 

carrying a drug mandatory minimum penalty 

in fiscal year 2016 tended to be more serious 

offenders. Convictions for offenses carrying a drug 

mandatory minimum penalty were more likely to 

involve the use of a weapon as evidenced by the 

application of a guideline enhancement for having 

a weapon involved in the offense (17.4% in fiscal 

All Drug 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 19,584 8,760 4,519 4,241

SENTENCING CHARACTERISTICS

Weapon Specific Offense 

Characteristic

13.4% 17.4% 10.5% 24.8%

Used Violence or Threat of Violence 0.8% 1.2% 0.6% 1.8%

Bodily Injury 4.2% 4.1% 1.9% 6.4%

Firearms Mandatory Minimum Applied 4.4% 5.4% 3.7% 7.1%

Safety Valve Reduction 34.0% 30.1% 58.3% 0.0%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table 4. Guideline Sentencing Characteristics of Drug Offenders

Fiscal Year 2016
30 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

year 2016 compared to 12.5% in fiscal year 2010) 

or a conviction for a firearms offense carrying a 

mandatory minimum (5.4% in fiscal year 2016 

compared to 5.1% in fiscal year 2010). Similarly, 

convictions for offenses carrying a drug mandatory 

minimum penalty were also more likely to have 

resulted in bodily injury (4.1% in fiscal year 2016 

compared to 1.9% in fiscal year 2010).

Offenders convicted of such offenses were also 

more likely to have played a leadership role, as 

evidenced by application of a guideline adjustment 

for aggravating role (11.9% in fiscal year 2016 

compared to 7.7% in fiscal year 2010), while the 

reverse was true for those who received a mitigating 

role adjustment (12.1% compared to 16.3%).

As reflected in Table 2 in each of the drug 

specific appendices,69 crack cocaine offenders 

have significantly higher instances of firearm 

or weapon involvement than all drug offenders 

and offenders in other specific drug types in all 

categories (all offenders, convicted of an offense 

carrying a mandatory minimum, relieved of a 

mandatory minimum, and subject to a mandatory 

minimum). Of all crack cocaine offenders, 22.9 

percent received a guideline weapon enhancement 

and 9.7 percent were convicted of a firearms offense 

carrying a mandatory minimum penalty. In 

contrast, marijuana offenders had fewer instances 

of firearm or weapon involvement in all categories 

(4.7% received a weapon enhancement and 1.9% 

were subject to a firearm mandatory minimum). 

Marijuana offenders also had the highest percentage 

of offenders who received a mitigating role 

adjustment and remained subject to the mandatory 

minimum penalty (10.0% compared to 4.4% for 

drug offenders overall). 

Relief from Mandatory Minimum Penalties

Despite a significant decrease in the percentage 

of offenders who were convicted of an offense 

carrying a drug mandatory minimum penalty, the 

percentage of offenders who remain subject to a 

drug mandatory minimum was steadier over the 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

7.5%

20.5%

11.9% 12.1%

7.7%

19.3% 16.4%

4.4%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Aggravating Role Mitigating Role

All Drug Offenders Convicted of Drug Mandatory Minimum Offense

Relieved of Mandatory Minimum Penalty Subject to Drug Mandatory Minimum Penalty

Figure 13. Role in the Offense of Drug Offenders

Fiscal Year 2016
 31

Section Four:

Data Analysis

past seven fiscal years.70 This is because the rate 

at which drug offenders convicted of an offense 

carrying a drug mandatory minimum penalty 

received relief at sentencing has also decreased in 

recent years.

As demonstrated in Figure 14, over half 

(51.6%) of the offenders convicted of an offense 

carrying a drug mandatory minimum penalty were 

relieved from its application at sentencing due to 

substantial assistance, safety valve, or both, while 

less than half (48.4%) remained subject to the drug 

mandatory minimum penalty at sentencing. By 

comparison, 54.4 percent of offenders convicted of 

a drug mandatory minimum penalty received relief 

in fiscal year 2010. 

The decrease in the rate of relief is the result of a 

reduction in the percentage of offenders qualifying 

for the statutory safety valve. Of offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty, 30.0 percent received relief 

pursuant to the safety valve (21.8% for safety valve 

only, and 8.2% for both safety valve and substantial 

assistance). By comparison, 35.1 percent of such 

offenders received safety valve relief in fiscal year 

2010 (26.1% for safety valve only, and 9.0% for both 

safety valve and substantial assistance). 

The likelihood of receiving substantial 

assistance has increased slightly since fiscal year 

2010. In fiscal year 2016, 29.7 percent received relief 

for substantial assistance (21.5% for substantial 

assistance only, and 8.2% for both substantial 

assistance and safety valve), compared to 28.3 

percent in fiscal year 2010. 

While relief for drug offenders decreased, it 

is notable that offenders receive relief from drug 

mandatory minimum penalties at a higher rate 

than offenders convicted of an offense carrying any 

mandatory minimum penalty. In fiscal year 2016, 

48.4 percent of offenders convicted of an offense 

carrying a drug mandatory minimum received no 

relief from that penalty and were still subject to a 

mandatory minimum penalty at sentencing. This 

compares to 61.3 percent of offenders subject to any 

mandatory minimum penalty.71 

Relieved of Drug 

Mandatory Minimum 

Penalty

51.6%

(N=4,519)

No Relief

48.4%

(N=4,241)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 14. Offenders Relieved of a Drug Mandatory 

Minimum Penalty

Fiscal Year 2016

Substantial Assistance

21.5%

(N=1,887)

Safety Valve

21.8%

(N=1,910)

Substantial Assistance & Safety Valve

8.2%

(N=722)

No Relief

48.4%

(N=4,241)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 15. Offenders Relieved of a Drug Mandatory 

Minimum Penalty by Relief Type

Fiscal Year 2016
32 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Frequency of relief also varied by drug type: 

marijuana offenders received relief from a drug 

mandatory minimum most often (69.4%), with 

over half receiving safety valve relief (54.5%), 

while crack cocaine offenders received relief the 

least often (30.3%), with only 6.9 percent receiving 

safety valve relief. This is primarily the result of 

differences in criminal history; marijuana offenders 

had the highest percentage of offenders in CHC 

I (65.9%), the only CHC eligible for safety valve 

relief, while crack cocaine offenders had the lowest 

(18.3%). 

Demographics

As reflected in Figure 16, demographic 

differences also appeared in the rates of relief for 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty. Black offenders 

continued to receive relief least often. Of Black 

offenders convicted of an offense carrying a 

drug mandatory minimum penalty, 64.5 percent 

remained subject to that penalty. White offenders 

had the second highest rate (50.8%). Hispanic 

offenders were least likely to remain subject to a 

drug mandatory minimum at sentencing (40.1%). 

This is because Hispanic offenders received relief 

at the highest rate (59.9%) due, in large part, to the 

fact that Hispanic offenders qualified for the safety 

valve at almost double the rate of the next closest 

group (44.1% compared to 26.9% for Other Race 

offenders), and at over three times the rate of Black 

offenders (44.1% compared to 12.4%). 

With respect to safety valve relief, the 

difference between Hispanic offenders and the other 

demographic groups could be partially attributable 

to the fact that Black and White offenders who 

commit drug offenses often do not qualify for the 

safety valve because of their criminal history. In 

fiscal year 2016, 78.0 percent of White offenders 

and 76.7 percent of Black offenders convicted of 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

48.4% 50.8%

64.5%

40.1%

49.3%

21.5%

32.8%

23.2%

15.9%

23.8% 21.8%

9.1% 9.0%

33.3%

17.2%

8.2% 7.4% 3.4%

10.8% 9.7%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

All Drug Offenders White Black Hispanic Other

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

Figure 16. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty 

Who Were Relieved of the Penalty by Race of Offender

Fiscal Year 2016
 33

Section Four:

Data Analysis

an offense carrying a drug mandatory minimum 

penalty were in Criminal History Categories II – 

VI, which disqualified them from consideration for 

the safety valve. By contrast, only 35.7 percent of 

Hispanic offenders convicted of a drug mandatory 

minimum penalty were in Criminal History 

Categories II – VI. 

Weapon involvement is also another factor 

relating to the likelihood of qualifying for 

safety valve relief among demographic groups. 

In fiscal year 2016, 7.6 percent of Black drug 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty were convicted of 

a firearm offense under 18 U.S.C. § 924(c). This 

compares to 5.4 percent of White drug offenders, 

4.4 percent of Hispanic drug offenders, and 

5.3 percent of Other Race drug offenders. In 

addition, 24.1 percent of Black drug offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty received an increase under 

§2D1.1(b)(1) for weapon involvement. This 

compares to 23.0 percent of White offenders, 12.0 

percent of Hispanic offenders, and 18.6 percent of 

Other Race drug offenders. However, the difference 

in safety valve rates only partially explains Black 

offenders’ lower rate of relief as Black drug 

offenders also receive substantial assistance relief 

at the lowest rate (26.6%) among all demographic 

groups.

Since fiscal year 2010, the rate of offenders 

receiving relief from a drug mandatory minimum 

penalty decreased across all demographic groups, 

except for Hispanic offenders, for which it remained 

constant. Commission data demonstrates, however, 

that the decreased likelihood of relief has not been 

uniform. In fiscal year 2016, 50.8 percent of White 

offenders remained subject to a drug mandatory 

minimum penalty at sentencing, an increase of 15.5 

percentage points since fiscal year 2010 (35.3%). 

The percentage of Black offenders who remained 

subject to a drug mandatory minimum penalty also 

increased, but only by 5.0 percent (from 59.5% in 

35.3%

59.5%

40.7%

27.1%

50.8%

64.5%

40.1%

49.3%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

White Black Hispanic Other

2010 - No Relief 2016 - No Relief

SOURCE: U.S. Sentencing Commission, 2010, and 2016 Datafiles, USSCFY10, and USSCFY16.

Figure 17. Demographics of Offenders Who Remained Subject to a Drug Mandatory Minimum Penalty at 

Sentencing by Race

Fiscal Years 2010 and 2016
34 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

fiscal year 2010 to 64.5% in fiscal year 2016). As 

a result, the gap between White drug offenders 

and Black drug offenders has decreased since the 

Commission’s 2011 Mandatory Minimum Report, 

from a difference of 24.2 percentage points in 2010 

to a difference of 13.7 percentage points in 2016 

(59.5% of Black offenders convicted of an offense 

carrying a mandatory minimum penalty remained 

subject to that penalty at sentencing compared to 

35.3% of White offenders in fiscal year 2010). This 

gap, however, has not closed as significantly as the 

gap between White and Black offenders who remain 

subject to any mandatory minimum penalty, which 

decreased from 11.6 percent in 2010 to 3.2 percent 

in 2016.72 

These changes are most likely the result of 

differences in the types of offenses charged. For 

example, the number of crack cocaine offenders, 

who tend to be predominantly Black,73 significantly 

decreased by 67.1 percent in recent years.74

Conversely, the number of methamphetamine 

offenders, who tend to be Hispanic or White,75

increased by 56.1 percent.76 As reflected in Table 

E4 in Appendix E, only 30.3 percent of crack 

cocaine offenders convicted of an offense carrying 

a drug mandatory minimum received relief, which 

was least among all drug types. Additionally, 

Black crack cocaine offenders received relief less 

often than any other racial group in all drug types 

(28.2%), followed closely by Black heroin offenders 

(31.4%).77 

As reflected in Figure 18, non-U.S. citizens 

received relief (70.2%) at a significantly higher rate 

than U.S. citizens (44.1%). This is due, in large 

part, to the fact that non-U.S. citizens qualified for 

relief from the drug mandatory minimum penalty 

under the safety valve (57.0%) more often than U.S. 

citizen offenders (19.2%) because of their lower 

criminal history scores. 

Female offenders continued to receive relief at 

a higher rate than male offenders. In fiscal year 

2016, more than half of female offenders (68.6%) 

obtained relief from the drug mandatory minimum 

penalty at sentencing compared to 49.4 percent of 

male offenders. Female offenders qualified for each 

type of relief at a higher rate than male offenders. 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

55.9%

29.8%

50.6%

31.4%

24.9%

13.2%

21.0%

25.7%

12.9%

43.9%

21.0%

28.2%

6.3%

13.1%

7.4%

14.8%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen Male Female

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

Figure 18. Demographics of Offenders Relieved of a Drug Mandatory Minimum Penalty by Citizenship and Gender 

Fiscal Year 2016
 35

Section Four:

Data Analysis

Substantial Assistance 

Lastly, the Commission analyzed the extent to 

which mandatory minimum penalties encourage 

cooperation with law enforcement. Offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty are provided an incentive to plead 

guilty and cooperate with law enforcement officials. 

Namely, when the government files a motion 

indicating that the defendant has substantially 

cooperated, 18 U.S.C. § 3553(e) grants the court 

authority to impose a sentence below a mandatory 

minimum penalty. Because the Commission has 

also incorporated this incentive into the guidelines 

at §5K1.1, non-mandatory minimum offenders 

are also eligible to receive a departure from the 

applicable guideline range by providing substantial 

assistance to the government.

Commission data indicates that the longer 

sentences required by an offense carrying a 

mandatory minimum penalty provide a significant 

incentive for offenders to cooperate with law 

enforcement officials. In fiscal year 2016, offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty were nearly twice as likely 

to have provided substantial assistance to the 

government. 

As reflected in Figure 19, 29.8 percent of 

offenders convicted of an offense carrying a 

mandatory minimum received a substantial 

assistance motion. This compares to 15.2 percent 

of offenders not convicted of an offense carrying a 

mandatory minimum penalty. 

15.2%

29.8%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Not Convicted of an

Offense Carrying a Drug

Mandatory Minimum

Penalty

Convicted of an Offense

Carrying a Drug

Mandatory Minimum

Penalty

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 19. Percent of Drug Offenders Receiving 

Substantial Assistance 

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

15.2%.

6.2%

22.1%

36.0%

52.3%

0%

20%

40%

60%

80%

100%

No Drug Mandatory Minimum Less Than 5-Year

Drug Mandatory Minimum

5-Year

Drug Mandatory Minimum

10-Year

Drug Mandatory Minimum

20-Year or More

Drug Mandatory Minimum

Figure 20. Percentage of Offenders Receiving Substantial Assistance
36 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Additionally, as reflected in Figure 20, the 

percentage of offenders who received substantial 

assistance generally increased as the drug 

mandatory minimum penalty increased. Nearly 

a quarter of offenders facing a five-year drug 

mandatory minimum penalty (22.1%) received 

substantial assistance, while 36.0 percent of 

offenders facing a ten-year mandatory minimum 

penalty and more than half of offenders facing a 

mandatory minimum penalty of twenty years or 

more received substantial assistance (52.3%). Only 

6.2 percent of offenders facing a drug mandatory 

minimum penalty of less than five years received 

substantial assistance, less than offenders who had 

no drug mandatory minimum (15.2%). 

Of course, the length of mandatory minimum 

penalties is just one factor that affects whether 

an offender receives substantial assistance. The 

availability of substantial assistance relief is also 

often dependent on the offender’s function in the 

offense. For example, low-level offenders, who 

may face shorter mandatory minimum penalties 

are often unable to provide relevant information to 

receive credit for substantial assistance. The rate 

of substantial assistance as related to the offender’s 

function in the offense is explored in greater 

detail in the Offender Function discussion of this 

publication.78

Sentencing of Offenders Convicted of 

an Offense Carrying a Drug Mandatory 

Minimum Penalty

Average Sentence Length

The Commission compared the average 

sentence imposed for all drug offenders, offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty, offenders relieved from 

application of a drug mandatory minimum penalty, 

and offenders who remained subject to the drug 

mandatory minimum penalty at sentencing. In 

fiscal year 2016, the average sentence for offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty was 94 months of imprisonment, 

more than double the average sentence for drug 

offenders not convicted of an offense carrying a 

drug mandatory minimum penalty. 

* Included in offenders with a base offense level of 30 are offenders who were subject to the base offense level under §2D1.1(b)(5)(B)(i) (the “Mitigating Role Cap”).

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

39 mos.

57

80

59 mos.

94

131

0

60

120

180

Not Convicted of

Drug Mandatory Minimum

Convicted of

Drug Mandatory Minimum

Subject to Drug Mandatory Minimum

Base Offense Level 24 Base Offense Level 30

months

Figure 21. Average Sentence Length for Drug Offender with Base Offense Levels of 24 and 30*

Fiscal Year 2016
 37

Section Four:

Data Analysis

Recognizing that this difference in average 

sentence length could be explained in part by 

the quantity of drugs involved in the offense, 

the Commission also analyzed average sentence 

lengths, controlling for the base offense level 

(BOL), looking specifically at offenders at BOL 

24, which corresponds to a five-year mandatory 

minimum, and 30, which corresponds to a ten-year 

mandatory minimum. As demonstrated in Figure 

22, while quantity might be one factor contributing 

to the longer average sentence length, the existence 

of a drug mandatory minimum penalty still had a 

significant impact on the average sentence length 

even when controlling for base offense level. 

For offenders with a BOL of 24, those who were 

convicted of an offense carrying a drug mandatory 

minimum had sentences 18 months longer than 

those not convicted of an offense carrying a drug 

mandatory minimum (57 months compared to 39 

months), while the sentences for those subject to a 

drug mandatory minimum were twice the length 

(80 months). Similarly, for offenders with a BOL of 

30, those who were convicted of an offense carrying 

a drug mandatory minimum had sentences 35 

months longer than those not convicted of an offense 

carrying a drug mandatory minimum (94 months 

compared to 59 months), while the sentences for 

those subject to a drug mandatory minimum were 

more than twice the length (131 months). 

As set forth in Figure 21, the average sentence 

length for offenders who remained subject to a 

drug mandatory minimum penalty at sentencing 

was almost twice as high at 126 months compared 

to offenders who ultimately received relief from 

such penalty at sentencing (64 months). For those 

relieved of the drug mandatory minimum penalty, 

the average sentence imposed also varied depending 

on the type of statutory relief. Offenders who 

provided substantial assistance to the government 

received longer average sentences (81 months) 

than offenders who qualified for the safety valve 

provision (57 months). Offenders who qualified 

for both received the lowest average sentence of 41 

months. 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

42 mos.

94 mos.

64 mos.

81 mos.

57 mos.

41 mos.

126 mos.

0

60

120

180

Not Convicted of

Drug Mandatory

Minimum

Convicted of

Drug Mandatory

Minimum

Relieved of

Mandatory

Minimum

Substantial

Assistance

Safety Valve Substantial

Assistance &

Safety Valve

Subject to

Drug Mandatory

Minimum

months

Figure 22. Average Sentence Length

Fiscal Year 2016
38 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

These differences may also be attributable to 

the fact that offenders who qualify for safety valve 

relief are generally less culpable than other offenders 

and, therefore, would be expected to receive lower 

sentences on average. First, by statute, offenders 

must fall within Criminal History Category I 

to qualify for safety valve relief. Additionally, 

offenders must not have possessed a dangerous 

weapon in connection with the offense and must 

not have received an aggravating role adjustment 

under the guidelines (for being an organizer, leader, 

manager, or supervisor in any criminal activity).79

Offenders who received a substantial assistance 

departure had the highest guideline minimum (164 

months on average), followed by offenders with 

no relief (145 months), those with a substantial 

assistance departure and safety valve (76 months) 

and those with just relief through safety valve (65 

months). 

As reflected in Figure 6 in each of the drug 

specific appendices,80 the Commission also 

compared average sentence length by drug type. 

For offenders not convicted of an offense carrying 

a drug mandatory minimum penalty, crack 

cocaine offenders had the longest average sentence 

(60 months), while marijuana offenders had the 

shortest (17 months). While marijuana offenders 

continued to have the shortest average sentences 

of offenders convicted of (50 months), relieved 

of (32 months) and subject to (91 months) a drug 

mandatory minimum penalty, methamphetamine 

offenders had the longest average sentences in 

these categories (110 months, 78 months, and 140 

months, respectively). For those convicted of an 

offense carrying a drug mandatory minimum 

penalty, crack cocaine offenders were closely 

behind methamphetamine offenders, with average 

sentences of 101 months.

The Commission next compared the average 

length of sentences imposed for offenders by race. 

When considering all drug offenders, Black drug 

offenders were sentenced to longer terms than any 

other racial group (75 months) in fiscal year 2016. 

White drug offenders (69 months) had the second 

highest average sentence, followed by Hispanic 

drug offenders (60 months), and Other Race drug 

offenders (52 months). 

69 mos.

103 mos.

69 mos.

136 mos.

75 mos.

103 mos.

64 mos.

125 mos.

60 mos.

87 mos.

64 mos.

123 mos.

52 mos.

84 mos.

54 mos.

115 mos.

0

60

120

180

All Drug Offenders Convicted of Drug

Mandatory Minimum

Relieved of Mandatory Minimum Subject to Drug

Mandatory Minimum

White Black Hispanic Other months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 23. Average Sentence for Drug Offenders by Race

Fiscal Year 2016
 39

Section Four:

Data Analysis

However, among offenders convicted of an 

offense carrying a drug mandatory minimum 

penalty, White offenders and Black offenders 

had the highest average sentence (103 months), 

followed by Hispanic offenders (87 months) and 

Other Race offenders (84 months). White offenders 

also received the longest average sentences among 

offenders who were relieved of the application of 

a drug mandatory minimum penalty at sentencing 

(69 months), and among those offenders who 

remained subject to a drug mandatory minimum 

penalty at sentencing (136 months). 

There were several notable changes after fiscal 

year 2010 in the average sentence of drug offenders, 

particularly White and Black offenders. While 

Black drug offenders continued to receive the 

highest average sentence among all drug offenders, 

the average sentence length in fiscal year 2016 (75 

months) represents a 25.7 percent decrease from 

fiscal year 2010 (101 months). Conversely, White 

offenders saw an increase in average sentence 

between 2010 and 2016, going from 61 months in 

fiscal year 2010 to 69 months in fiscal year 2016, a 

13.1 percent increase. 

Differences are also seen for offenders 

convicted of, relieved of, or ultimately subject to a 

drug mandatory minimum penalty. Most notably, 

Black offenders no longer had the highest average 

sentences in each of those categories. As noted, 

White offenders either had the same (in the cases 

of those convicted of an offense carrying a drug 

mandatory minimum) or received the longest 

average sentences in fiscal year 2016.

This is a significant change from fiscal year 

2010 when Black offenders convicted of a statute 

carrying a drug mandatory minimum penalty had 

the highest average sentence (120 months), followed 

by White offenders with 82 months. This change is 

a result of the fact that White offenders convicted 

of a statute carrying a drug mandatory minimum 

penalty had a 25.6 percent increase in their average 

sentence between fiscal years 2010 and 2016, from 

82 months to 103 months. 

61 mos.

82 mos.

55 mos.

131 mos.

69 mos.

103 mos.

69 mos.

136 mos.

101 mos.

120 mos.

79 mos.

147 mos.

75 mos.

103 mos.

64 mos.

125 mos.

0

60

120

180

All Drug Offenders Convicted of Drug

Mandatory Minimum

Relieved of Mandatory Minimum Subject to Drug

Mandatory Minimum

2010 White 2016 White 2010 Black 2016 Black

months

SOURCE: U.S. Sentencing Commission, 2010, and 2016 Datafiles, USSCFY10, and USSCFY16.

Figure 24. Comparison of Average Sentence for White and Black Drug Offenders

Fiscal Years 2010 and 2016
40 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

For offenders who were relieved of a drug 

mandatory minimum penalty at sentencing, White 

offenders saw a 14-month increase (25.5%) in 

their average sentence from fiscal year 2010 (from 

55 months to 69 months). Black offenders, on 

the other hand, saw a 19.0 percent decrease from 

fiscal year 2010 (from 79 months to 64 months). 

White offenders who remained subject to a drug 

mandatory minimum penalty at sentencing had an 

average sentence of 136 months in fiscal year 2016, 

which is 3.8 percent higher than the average in 

fiscal year 2010 (131 months). Black offenders had 

an average sentence of 125 months—a 22-month 

(15.0%) decrease from fiscal year 2010 (147 months). 

Finally, the Commission also compared the 

average sentence length of sentences imposed for 

offenders by citizenship and gender.

Sentence lengths in all four instances (all 

drug offenders, offenders convicted of an offense 

carrying a drug mandatory minimum penalty, 

offenders relieved of a drug mandatory minimum 

penalty, and offenders subject to a drug mandatory 

minimum penalty at sentencing) between U.S. and 

non-U.S. citizens remain relatively close to each 

other. U.S. citizens have longer average sentences 

for all drug offenders and offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty, while non-U.S. citizens have slightly 

longer average sentences for offenders relieved of 

a drug mandatory minimum penalty and offenders 

subject to a drug mandatory minimum penalty.

Male offenders also have longer sentences than 

female offenders in all four categories. The average 

sentences for each group are provided in Table 5. 

Sentences Relative to the Guideline Range

As demonstrated in Figure 25, both the average 

guideline minimum and the average sentence for 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty have remained 

relatively stable over the past three decades. 

All Drug 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 19,584 8,760 4,519 4,241

CITIZENSHIP

U.S. Citizen 69 months 99 months 64 months 126 months

Non-U.S. Citizen 55 months 84 months 65 months 128 months

GENDER

Male 70 months 98 months 67 months 128 months

Female 41 months 68 months 51 months 104 months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table 5. Average Sentence for Drug Offenders by Citizenship and Gender

Fiscal Year 2016
 41

Section Four:

Data Analysis

Throughout this time, the average guideline 

minimum has exceeded the average sentence by 

approximately two years. The parallel nature 

of the average guideline minimum and average 

sentence imposed over time is unsurprising as 

the Commission has incorporated the applicable 

mandatory minimums into the Drug Quantity 

Table at USSG §2D1.1, extrapolating upward and 

downward to set sentencing guideline ranges for 

all drug quantities. In order to further explore this 

relationship and the impact the guidelines have 

on sentences imposed on offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty, the Commission compared the sentence 

imposed to the applicable guideline range.

Among offenders convicted of a drug 

mandatory minimum penalty, those who remained 

subject to such penalty at sentencing were most 

likely to receive a sentence within the guideline 

range (58.2%). Offenders who remained subject 

to a drug mandatory minimum penalty at 

sentencing were also most likely to receive a nongovernment sponsored below range sentence. 

One-quarter (25.0%) of such offenders received a 

non-government sponsored departure or variance, 

a higher rate than all drug offenders generally 

(22.8%) and larger than the subset of offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty (19.6%).

For offenders subject to a drug mandatory 

minimum penalty, marijuana offenders had the 

highest rate of within range sentences, at 78.2 

percent. For offenders subject to a drug mandatory 

minimum penalty, crack cocaine offenders received 

a non-government sponsored below range sentence 

more frequently than any other drug type (28.9%).

As with offenders subject to any mandatory 

minimum, this high rate of non-government 

sponsored below range sentences is, in part, because 

0

50

100

150

200

250

Average Guideline Minimum Average Sentence

SOURCE: U.S. Sentencing Commission, 1991 through 2016 Datafiles, USSCFY91 – USSCFY16.

months

Figure 25. Average Guideline Minimum and Average Sentence for Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Years 1991 - 2016
42 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

courts often sentence such offenders to the statutory 

mandatory minimum term of imprisonment 

regardless of the applicable guideline range. As 

reflected in Figure 26, the majority of offenders who 

remained subject to a drug mandatory minimum 

penalty (72.6%) had a guideline minimum that 

was above the applicable mandatory minimum. 

In these cases, while courts were bound by the 

minimum penalty, they were free to sentence 

below the otherwise applicable guideline range. 

In such instances, the within guideline range rate 

fell to 43.9 percent, lower than the overall rate in 

fiscal year 2016 (46.4%), but still above the within 

guideline range rate for all drug offenders (37.5%). 

Conversely, both the non-government sponsored 

and government sponsored below range increased 

to 34.4 percent and 20.7 percent, respectively. 

All Drug Offenders

Convicted of an 

Offense Carrying a Drug 

Mandatory Minimum Penalty

Subject to a Drug 

Mandatory Minimum

Penalty at Sentencing

Total (# of offenders) 19,584 8,760 4,241

SENTENCE RELATIVE TO THE GUIDELINE RANGE

Within Range 37.5% 40.3% 58.2%

Above Range 1.4% 0.9% 1.6%

Substantial Assistance §5K1.1 21.7% 29.8% 0.0%

Other Government Sponsored (no §5K1.1) 16.7% 9.4% 15.2%

Non-Government Sponsored Below Range 22.8% 19.6% 25.0%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table 6. Sentence Relative to the Guideline Range of Drug Offenders

Fiscal Year 2016

Within Range

43.9%

Above Range

1.0%

Gov't Sponsored 

Below Range

20.7%

Non-Gov't 

Sponsored 

Below 

Range

34.4%

Guideline Minimum 

Above 

Statutory Minimum

72.6%

(N=3,081)

Guideline Minimum 

Below or Equal to 

Statutory Minimum

27.4%

(N=1,160)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 26. Position of Sentence Relative to the Guideline Range for Offenders Subject to a Drug Mandatory 

Minimum Penalty at Sentencing

Fiscal Year 2016
 43

Section Four:

Data Analysis

In total, 41.2 percent of offenders who remained 

subject to the mandatory minimum penalty at 

sentencing received a sentence at the mandatory 

minimum penalty. While this certainly explains 

the increased rate of below range sentences, 

the majority (58.8%) of offenders subject to a 

mandatory minimum penalty were sentenced 

above the statutory mandatory minimum. 

Offender Function

In order to further explore how mandatory 

minimums apply across the spectrum of offender 

functions, the Commission also analyzed the 

function of those drug offenders convicted of an 

offense carrying a drug mandatory minimum 

penalty. Using a 20-percent sample of drug 

offenders sentenced in fiscal year 2016, the 

Commission assessed the functions performed by 

drug offenders as part of the offense. Offender 

function was defined as the offender’s activity 

coupled with the drug amount he or she was held 

liable for in one transaction.

Offender function was determined by a review 

of the offense conduct section of the presentence 

report. The Commission assessed the most serious 

function an offender performed during an offense, 

independent of any application of sentencing 

enhancements and reductions. In those cases 

where an offender performed different functions 

at different times, the Commission determined 

the most serious function the offender performed. 

Offender function was assigned based on the most 

serious function performed by the offender in the 

drug offense, even if the offender more frequently 

performed a less serious function. Finally, 

offenders at higher levels of the drug distribution 

chain were presumed to be more culpable based on 

their greater responsibilities and higher levels of 

authority as compared to other participants in the 

offense. 

The Commission assigned each offender to 

one of 21 separate function categories based on 

his or her most serious conduct as described in the 

presentence report and not rejected by the court on 

the statement of reasons form.81 This report only 

presents data on the ten most common functions 

in order to facilitate analysis and presentation 

of the data. Function categories are displayed 

on the figures in this chapter in decreasing order 

of culpability from left to right. The categories 

described below represent a continuum of 

decreasing culpability: 

Sentence Imposed 

Above Mandatory 

Minimum

58.8%

(N=2,485)

Sentence Imposed 

Equal to Mandatory 

Minimum

41.2%

(N=1,739)

*

In fiscal year 2016, there were 17 cases that were convicted of an offense carrying drug mandatory minimum penalty, received no form 

of relief, and were sentenced below the statutory minimum. These cases are not included in the figure above.

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure 27. Sentence Imposed on Offenders Subject 

to a Drug Mandatory Minimum Penalty Compared 

to Statutory Minimum*

Fiscal Year 2016
44 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Importer/High Level Supplier: Imports 

or otherwise supplies large quantities of drugs 

(generally sells/possesses or purchases 1 kilogram 

or more in a single transaction); is near the top of the 

distribution chain; has ownership interest in drugs; 

usually supplies drugs to other drug distributors 

and generally does not deal in retail amounts; may 

employ no or very few subordinates. 

Organizer/Leader: Organizes, leads, directs, 

or otherwise runs a drug distribution organization; 

has the largest share of the profits and the most 

decision-making authority.

Grower/Manufacturer: Grows, cultivates, 

or manufactures a controlled substance and is the 

principal owner of the drugs.

Wholesaler: Sells more than retail/user-level 

quantities in a single transaction; sells at least 1 

ounce (28 grams) but less than 1 kilogram at one 

time; possesses or buys at least 2 ounces (56 grams) 

at one time, sells any amount to another dealer. 

Manager/Supervisor: Serves as a lieutenant to 

assist one of the above; manages all or a significant 

portion of a drug manufacturing, importation, or 

distribution operation; takes instructions from 

one of the above and conveys to subordinates; 

supervises directly at least one other co-participant 

in an organization of at least five co-participants.

Street-Level Dealer: Distributes retail 

quantities directly to the user; sells less than 1 

ounce (28 grams) quantities to any user(s).

Broker: Arranges for two parties to buy/sell 

drugs, or directs potential buyer to a potential seller.

Courier: Transports or carries drugs with the 

assistance of a vehicle or other equipment. Includes 

situations where the offender, who is otherwise 

considered to be a crew member, is the only 

participant directing a vessel onto which drugs had 

been loaded from a “mother-ship.”

Mule: Transports or carries drugs internally or 

on their person, often by airplane, or by walking 

across a border. Also, includes an offender who only 

transports or carries drugs in baggage, souvenirs, 

clothing, otherwise.

Employee/Worker: Performs very limited, 

low-level function in the offense (whether or not 

ongoing); includes running errands, answering the 

telephone, scouts, receiving packages, packaging the 

drugs, manual labor, acting as a lookout to provide 

early warnings [during meetings, exchanges, or on/

offloading], passengers in vehicles, or acting as a 

deckhand/crew member on vessel or aircraft used 

to transport large quantities of drugs.
 45

Section Four:

Data Analysis

Distribution of Offender Function

As reflected in Figure 28, Wholesaler (22.4%) 

was the most common function in the 2016 sample 

data, followed by Courier (18.6%), Street-Level 

Dealer (16.2%), High-Level Supplier/Importer 

(12.5%), and Mule (9.7%). The frequency and order 

of functions changed from 2009, when the most 

common function was Courier (23.1%), followed 

by Wholesaler (21.2%), then Street-Level Dealer 

(17.2%). 

While the prevalence of many of the functions 

remained largely stable, there were some notable 

shifts. The frequency of Couriers decreased 

from 23.1 percent in 2009 to 18.6 percent in 2016. 

The decrease in the frequency of the Courier 

function occurred across all drug types, except 

for methamphetamine offenders, and was most 

significant in the context of marijuana offenders. In 

2009, over half (54.7%) of all marijuana offenders 

were Couriers, compared to under one-third 

(32.1%) in 2016.

Significant increases occurred in the frequency 

of both the Mule (4.8% to 9.7%) and Employee/

Worker (5.1% to 9.0%) functions. The increase in 

Employee/Worker percentage is largely related to 

the nature of offenders’ roles in powder cocaine and 

marijuana offenses. For offenders convicted of a 

powder cocaine offense, the percentage performing 

the “Employee/Worker” function increased 

significantly, from 6.6 percent in 2009 to 14.4 

percent in 2016.82 These offenders generally served 

in the role of deckhand or other worker assisting in 

offloading powder cocaine shipments from ships. 

For marijuana offenses, the percentage of offenders 

performing the Employee/Worker function rose 

* There were offenders in the samples whose function could not be determined. These offenders are not included in the overall percentages. ** In the fiscal year 2009 sample, 5.3 percent of offenders had “Other” or “Miscellaneous” functions. In the fiscal year 2016 sample, 4.2 percent of offenders had “Other” or 

“Miscellaneous” functions. These percentages are not represented in the figure above.

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

10.9%

3.1% 4.0%

21.2%

2.2%

17.2%

3.1%

23.1%

4.8% 5.1%

12.5%

2.3% 1.9%

22.4%

2.0%

16.2%

1.5%

18.6%

9.7% 9.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data

Figure 28. Offender Function*

Fiscal Years 2009 and 2016 Sample Data**
46 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

from 5.0 percent in 2009 to 12.5 percent in 2016.83

Marijuana had the highest percentage of lower 

level functions (Couriers, Mules, and Employees/

Workers) among all drug types (78.3%).84

Prevalence of Offenses Carrying Drug 

Mandatory Minimum Penalties by 

Offender Function

When analyzing the function of those drug 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty, two trends emerge. 

First, mandatory minimum penalties are not limited 

to offenders on the highest end of the culpability 

scale. As reflected in Figure 29, a significant 

percentage of offenders in each function were 

convicted of an offense carrying a drug mandatory 

minimum penalty in fiscal year 2016. In fact, the 

majority of offenders in seven of the ten function 

categories were convicted of an offense carrying a 

drug mandatory minimum penalty, and no fewer 

than a quarter of offenders in every category were 

convicted of such an offense. Thus, while some 

legislative history suggests that drug mandatory 

minimums were aimed at “serious” and “major” 

traffickers, the data indicate that mandatory 

minimum penalties apply more broadly. 

Nevertheless, the rate at which offenders were 

convicted of an offense carrying a drug mandatory 

minimum penalty generally did decrease with 

the culpability level of the offender as reflected 

by function. Thus, offenders who functioned as 

a High-Level Supplier/Importer or Organizer/

Leader85 were convicted of an offense carrying a 

drug mandatory minimum penalty at high rates,86

70.6 percent and 73.4 percent respectively, while 

Courier and Mule offenders were convicted of 

such offenses at the lowest rates (32.2% and 25.4%, 

respectively). There was an exception, however in 

the “Employee/Worker” category. These offenders 

were convicted of an offense carrying a drug 

mandatory minimum penalty 53.3 percent of the 

time, a significantly higher percentage than more 

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.

70.6% 73.4%

57.4%

62.8%

79.7%

32.4%

54.9%

32.2%

25.4%

53.3%

36.3%

45.6%

38.2% 35.5%

49.3%

17.6% 17.7%

7.2% 5.9%

13.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of Drug Mandatory Minimum Penalty Subject to Drug Mandatory Minimum at Sentencing

Figure 29. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty 

and Subject to a Drug Mandatory Minimum Penalty by Offender Function

Fiscal Year 2016 Sample Data
 47

Section Four:

Data Analysis

culpable offenders who performed the functions 

of Street-Level Dealer (32.4%), Courier (32.2%), 

and Mule (25.4%). This seems to be the result of 

the nature of certain powder cocaine offenders and 

trafficking patterns, as the majority of offenders 

in this category (53.9%) were low-level powder 

cocaine offenders, including deckhands who work 

as powder cocaine off-loaders from small boats, 

who handled and were held responsible for large 

quantities of cocaine but who had no actual control 

or authority over the drugs or the distribution 

organization.

While the data demonstrates that offenses 

carrying drug mandatory minimum penalties 

applied across all functions, the rate at which 

offenders remained subject to a drug mandatory 

minimum at sentencing also tended to decrease 

with the culpability of the offender. Manager/

Supervisor offenders were subject to a drug 

mandatory minimum penalty most often at 49.3 

percent, while Mule offenders were subject to these 

penalties least often at 5.9 percent. Once again, 

Employee/Worker offenders were an exception to 

this rule, remaining subject to a drug mandatory 

minimum penalty 13.0 percent of the time, higher 

than the more-culpable Courier (7.2%) and Mule 

(5.9%) functions.

There is a general downward trend in the 

percentage of offenders convicted of an offense 

carrying a drug mandatory minimum penalty 

across all functions when comparing the 2009 

sample to the 2016 sample. As reflected in Figure 

30, the largest decrease was for Street-Level Dealer 

offenders (60.7% in 2009 to 32.4% in 2016), which 

is largely due to marijuana and crack cocaine drug 

types. In 2016, no marijuana offenders convicted 

of an offense carrying a drug mandatory minimum 

penalty fell into the Street-Level Dealer category,87

compared to 40.0 percent in 2009 (with 35.0% 

remaining subject to the mandatory minimum).88

Similarly, the percentage of crack cocaine 

offenders convicted of an offense carrying a drug 

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

81.3% 79.6%

71.6% 72.8%

88.3%

60.7%

73.6%

49.5%

43.1%

66.9% 70.6% 73.4%

57.4%

62.8%

79.7%

32.4%

54.9%

32.2%

25.4%

53.3%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data

Figure 30. Comparison of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

by Offender Function

Fiscal Years 2009 and 2016 Sample Data
48 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

mandatory minimum penalty in the Street-Level 

Dealer category fell from 77.8 percent (with 56.1% 

remaining subject to a drug mandatory minimum) 

in 2009,89 to 37.0 percent (with 22.5% remaining 

subject to a drug mandatory minimum) in 2016.90

While there was a downward trend in the 

percentage of offenders convicted of an offense 

carrying a drug mandatory minimum penalty, 

the percentage who remained subject to a drug 

mandatory minimum penalty was largely stable for 

the majority of drug functions. The exception to 

this rule is the Street-Level Dealer function, which 

saw a large decrease in the percentage of offenders 

who remained subject to a drug mandatory 

minimum (40.4% in 2009 to 17.6% in 2016). As 

discussed in the 2017 Overview Publication, this 

is likely attributable to changes in the charging and 

sentencing of drug offenders, including changes 

made as a result of the Fair Sentencing Act and the 

Department of Justice’s Smart on Crime Initiate.91 

Relief from Mandatory Minimum Penalties 

by Offender Function

The Commission also examined the rates 

and types of relief that offenders received from 

drug mandatory minimum penalties. In general, 

offenders who performed low-level functions 

obtained relief from drug mandatory minimums at a 

higher rate than offenders who performed high-level 

functions. For the functions higher in culpability 

than Street-Level Dealer, the highest percentage 

of relief from a drug mandatory minimum was 

48.5 percent (for the High-Level Suppler/Importer 

offenders). Conversely, every function lower in 

culpability than Street-Level Dealer received relief 

in at least 67.9 percent of the cases, which was the 

percentage for the Broker function. Courier and 

Mule offenders obtained relief at the highest rates, 

at 77.6 percent and 77.0 percent, respectively.

39.1%

43.5%

29.8%

38.1% 39.0% 40.4%

17.3%

9.7% 6.6%

18.8%

36.3%

45.6%

38.2% 35.5%

49.3%

17.6% 17.7%

7.2% 5.9%

13.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

Figure 31. Comparison of Offenders Subject to a Drug Mandatory Minimum Penalty by Offender Function

Fiscal Years 2009 and 2016 Sample Data
 49

Section Four:

Data Analysis

The correlation between function in the offense 

and relief from mandatory minimum penalties 

varied depending on the type of relief. Offenders 

who performed higher-level functions were 

generally more likely to receive relief for providing 

substantial assistance to law enforcement, while 

low-level functions were more likely to obtain 

relief pursuant to the statutory safety valve. Thus, 

offenders with the Broker (50.0%), Street-Level 

Dealer (38.6%), and Organizer/Leader (36.2%) 

functions were substantially more likely to receive 

substantial assistance relief than those in the Mule 

(17.3%) category. Conversely, every function lower 

than Street-Level Dealer obtained safety valve relief 

in at least 39.3 percent of the cases, with Courier 

and Mule offenders receiving safety valve relief at 

the highest rates (68.1% and 71.3%, respectively). 

By comparison, offenders in the Organizer/Leader, 

Grower/Manufacturer, and Street-Level Dealer 

categories received safety valve at the lowest rates 

(1.7%, 10.3%, and 10.9%, respectively). 

This correlation between function in the 

offense and correlation likely reflects the fact that 

low-level offenders tend to have less significant 

criminal histories, but generally do not have 

valuable information to provide to law enforcement 

due to their more limited role in the offense. Highlevel offenders, on the other hand, are generally 

more involved in the offense and therefore are often 

able to provide more and better information to law 

enforcement. 

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.

51.5%

62.1% 66.7%

56.6% 61.8%

54.4%

32.1%

22.4% 23.0% 24.4%

25.2%

36.2% 23.1%

30.0% 14.6% 34.8%

28.6%

9.5% 5.8% 9.5%

16.8%

1.7%

10.3% 9.9%

14.6%

7.1%

17.9%

51.0% 59.8% 49.4%

6.5% 3.5% 9.1% 3.8%

21.4% 17.1% 11.5% 16.7%

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

Figure 32. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty 

Who Were Relieved of the Drug Penalty by Offender Function

Fiscal Year 2016 Sample Data
50 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Average Sentence Length by Offender 

Function

Lastly, the Commission analyzed the average 

sentence length imposed on offenders convicted of 

an offense carrying a drug mandatory minimum 

penalty by offender function. Both the average 

sentence for those relieved of such penalty and those 

who remained subject to such penalty at sentencing 

are compared. Again, several trends emerge. 

First, this analysis demonstrates the significant 

impact of relief from a drug mandatory minimum 

sentence. Sentences for those who remain subject 

to a drug mandatory minimum were significantly 

longer than those who received relief across all 

functions. This was particularly true for many lowlevel functions, such as Mules and Couriers. As 

reflected in Figure 33, the average sentence length 

of 82 months for Mules who remained subject to a 

mandatory minimum penalty was over three times 

longer than for Mules who received relief from 

such penalty at sentencing (26 months). Similarly, 

the average sentence for Couriers who remained 

subject to a drug mandatory minimum penalty at 

sentencing was 101 months compared to 52 months 

for those who received relief. 

These differences may be attributable to the fact 

that offenders who qualify for safety valve relief 

are generally less culpable than other offenders 

and, therefore, would normally receive lower 

sentences on average. By statute, offenders must 

fall within Criminal History Category I to qualify 

for safety valve relief. Additionally, offenders 

must not have possessed a dangerous weapon in 

connection with the offense and must not have 

received an aggravating role adjustment under the 

guidelines (for being an organizer, leader, manager, 

or supervisor in any criminal activity).92

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.

75 mos.

136 mos.

75 mos.

61 mos. 64 mos.

45 mos. 48 mos.

32 mos.

18 mos. 26 mos.

85 mos.

122 mos.

61 mos.

79 mos.

54 mos.

55 mos.

47 mos. 52 mos.

26 mos.

71 mos.

147 mos.

186 mos.

157 mos.

127 mos.

156 mos.

97 mos. 87 mos.

101 mos.

82 mos.

100 mos.

0

50

100

150

200

250

Not Convicted of a Drug Mandatory Minimum Offense

Convicted - Relieved of a Mandatory Minimum Penalty

Convicted - Subject to Drug Mandatory Minimum at Sentencing months

Figure 33. Average Sentence by Offender Function

Fiscal Year 2016 Sample Data
 51

Section Four:

Data Analysis

When comparing offender functions to each 

other, the data continue to show that higher 

culpability offenders generally receive higher 

sentences than lower culpability offenders. For 

example, of offenders who remained subject to a 

drug mandatory minimum penalty, Organizers/

Leaders had the highest average sentence (186 

months), followed by Growers/Manufacturers (157 

months) and Manager/Supervisors (156 months). 

Mules (82 months), Brokers (87 months), and 

Street-Level Dealers (97 months) had the lowest 

average sentences for offenders subject to a drug 

mandatory minimum penalty. However, sentences 

for lower culpability offenders who remained 

subject to drug mandatory minimum sentences 

(e.g., Couriers (101 months), Mules (82 months) and 

Employees/Workers (100 months)), were roughly 

equal to, or higher than, average sentences for more 

culpable offenders who received relief (e.g., HighLevel Suppliers/Importers (85 months), Growers/

Manufacturers (61 months), and Wholesalers (79 

months)). This indicates that individuals who 

received relief from a drug mandatory minimum 

were more likely to receive less severe sentences 

regardless of what function they performed in the 

offense. 

The average sentence length is also a function 

of the varying severities of the mandatory minimum 

penalties faced by offenders based on offender 

function. Offenders in the higher culpability 

categories generally faced longer mandatory 

minimum penalties. However, Managers/

Supervisors (43.5%) and Employees/Workers 

(34.9%) were subject to ten-year mandatory 

minimum penalties more often than functions 

with greater culpability. By comparison, 23.5 

percent of Growers/Manufacturers, 28.9 percent 

of Wholesalers, and 18.6 percent of Couriers 

were convicted of an offense carrying a ten-year 

mandatory minimum penalty. A more detailed 

analysis of the length of the mandatory minimum 

penalties by offender function is provided in 

Appendix C.

Impact of Drug Mandatory Minimum 

Penalties on the Federal Prison Population

This section further explores the continuing 

impact of drug mandatory minimum penalties 

on the overall prison population, including an 

update of the Commission’s analysis of the current 

portion of the federal prison population that was 

convicted of a drug mandatory minimum penalty. 

This section also provides new analysis regarding 

the size and composition of the federal prison 

population convicted of an offense carrying a drug 

mandatory minimum penalty by race, gender, and 

citizenship. For this analysis, the Commission 

obtained prisoner data from the Bureau of Prisons 

to compare to Commission data. By merging the 

two datasets, the Commission created snapshots 

of the federal prison population at different points 

in time, including what percentage of prisoners 

were convicted of violating a statute containing a 

mandatory minimum penalty, and what percentage 

of prisoners were subject to a mandatory minimum 

penalty at sentencing. 

As discussed in the 2017 Overview Publication, 

many of the changes in the prison population were 

likely the result of changes in charging practices 

discussed above.93 Nevertheless, the full impact 

of these policies will not be seen for many years, 

as offenders sentenced between 2010 and 2016 

serve out their sentences. Many of these offenders 
52 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

received shorter sentences than they would have 

under different policies, and therefore their release 

could continue to impact the makeup of the prison 

population in future years. It is also unclear the 

extent to which the Department of Justice’s recent 

decision to refocus its efforts on prosecuting the 

most serious, readily provable offense will reverse 

the trends seen in the data below.

Federal Drug Offender Population Overall

There have been significant changes to the 

federal prison population over the past 25 years. 

The total number of offenders in the federal prison 

population rose steadily from 1995 to a high of 

217,815 in December 2012.94 The steady increase 

through 2012 was the result of several factors, 

including the scope and use of mandatory minimum 

penalties.95 However, in recent years, this trend has 

reversed. Since the high point at the end of 2012, 

the number of federal inmates fell to 196,455 on 

December 31, 2015. 

To further explore the scope and impact of 

drug mandatory minimum penalties in the federal 

system, the Commission merged the BOP dataset 

with the Commission dataset, identifying those 

offenders for whom the Commission received 

complete sentencing information. The Commission 

used this combined data to determine the number 

of drug offenders in the federal prison population, 

which has also declined in recent years. As shown 

in Figure 34, the drug offender population steadily 

increased from 45,064 on September 30, 1995 to a 

high of 102,091 on of September 30, 2011. Since 

then, the number of federal drug inmates fell to 

81,825 inmates (a 19.9% decrease) on September 

30, 2016. Changes related to the charging and 

sentencing of drug offenders likely explain this 

trend.96 

As reflected in Figure 35, the number of drug 

offenders has varied widely over the years based 

on the type of drug involved in the offense. The 

number of crack cocaine offenders steadily 

increased from 1995 to a peak of 32,084 offenders 

0

20,000

40,000

60,000

80,000

100,000

120,000

140,000

160,000

180,000

200,000

All Drug Offenders All Offenders

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

Figure 34. Number of Offenders in Prison on September 30

1995 - 2016
 53

Section Four:

Data Analysis

in 2007, and has since significantly decreased since 

2011. Conversely, methamphetamine offenders 

have now become the largest drug-type population 

with 26,089 offenders. The only other drug type 

for which the number of offenders continued to 

trend upward was heroin. The population of heroin 

offenders remained largely stable until a gradual 

increase began in 2011. The other drug categories, 

including powder cocaine and marijuana, followed 

the general trend, with decreasing numbers in 

recent years. 

Drug Mandatory Minimum Offenders in the 

Federal Prison Population

While the number of drug offenders has 

decreased over time, drug offenders continued 

to contribute significantly to the federal prison 

population. As of September 30, 2016, there were 

166,771 offenders in the total BOP population. 

Of these, 81,825 (49.1%) were drug offenders. 

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

Powder Cocaine Crack Cocaine Heroin Marijuana Methamphetamine Other

Figure 35. Number of Offenders in Prison on September 30 by Type of Drug

1995 - 2016

Drug Offenders

49.1%

(N=81,825)

All Other Offenders

50.9%

(N=84,946)

Not Convicted of Offense Carrying a 

Mandatory Minimum Penalty

27.7%

(N=22,708)

Convicted - Relieved of 

Mandatory Minimum Penalty

21.9%

(N=17,907)

Convicted - Subject to Mandatory 

Minimum Penalty at Sentencing

50.4%

(N=41,210)

BOP Population 

as of September 30, 2016

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafile, USSCBOP. 

Drug Offenders in BOP Population 

as of September 30, 2016

Figure 36. Drug Offenders in the BOP Population

At the End of Fiscal Year 2016
54 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Within the subset of drug offenders, 72.3 percent 

were convicted of an offense carrying a mandatory 

minimum penalty. This is significantly higher 

than the percentage of the offenders in the total 

BOP population convicted of an offense carrying a 

mandatory minimum penalty, which stands at 55.7 

percent (n=92,870).97 As shown in Figure 36, 50.4 

percent (n=41,210) of drug offenders were convicted 

of, and remained subject to, a drug mandatory 

minimum penalty at sentencing, while 21.9 

percent (n=17,907) were convicted of and relieved 

from an offense carrying a mandatory minimum 

penalty. The remaining 27.7 percent (n=22,708) 

of drug offenders were not convicted of an offense 

carrying a drug mandatory minimum penalty. 

As depicted in Figure 37, the number of 

offenders convicted of an offense carrying a drug 

mandatory minimum penalty has decreased in 

recent years, which is consistent with the downward 

trend in the total federal prison population. As 

of September 30, 2010, combined Commission 

and BOP data identified 81,084 offenders in 

BOP custody who were convicted of an offense 

carrying a drug mandatory minimum penalty. 

By September 30, 2016, there were 59,117 such 

inmates in BOP custody, a 27.1 percent decrease.

 As part of this decline, both the population 

of offenders who were relieved of a mandatory 

minimum penalty and those who remained 

subject to such a penalty at sentencing decreased 

in number since 2010. Nevertheless, they have 

done so at significantly different rates. While 

the number of offenders in BOP custody who 

remained subject to a mandatory minimum penalty 

at sentencing decreased 19.3 percent between 

September 30, 2010 (n=51,038) and September 

30, 2016 (n=41,210), the number of offenders who 

were convicted of but relieved from such a penalty 

decreased 40.4 percent during the same period 

(30,046 as of September 30, 2010 to 17,907 as of 

September 30, 2016). At the same time, there was 

an increase in the population of offenders convicted 

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0

40,000

80,000

120,000

160,000

200,000

Not Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

Convicted - Relieved of Mandatory Minimum Penalty

Convicted - Subject to Drug Mandatory Minimum Penalty at Sentencing

Figure 37. Number of Offenders in Prison Not Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty, Relieved of an Offense Carrying a Drug Mandatory Minimum Penalty, and Subject to a 

Drug Mandatory Minimum Penalty at Sentencing 

At the End of Fiscal Years 1995 - 2016
 55

Section Four:

Data Analysis

of violating a statute with no drug mandatory 

minimum penalty from 19,719 as of September 

30, 2010 to 22,708 as of September 30, 2016. 

These trends are consistent with the changes in 

charging and sentencing practices discussed above. 

As fewer offenders were convicted of offenses 

carrying drug mandatory minimum penalties, that 

population declined, while the number of nonmandatory minimum offenders increased slightly. 

Similarly, the differing rates of decrease between 

the number of offenders who were relieved of a 

mandatory minimum and those who remained 

subject to such penalties also reflected the stated 

goals of the Department of Justice’s 2013 Smart on 

Crime initiative to more narrowly target mandatory 

minimum penalties to more serious drug offenders. 

Combined Commission and BOP data also 

reflect changes in the distribution of offenders in 

the federal prison population who were convicted of 

violating drug statutes with and without mandatory 

minimum penalties. Following the general trend 

of the total BOP population,98 the percentage of 

the prison drug population convicted of statutes 

carrying drug mandatory minimum penalties 

decreased slightly from a peak of 80.4 percent as of 

September 30, 2010 to 72.3 percent as of September 

30, 2016. Among this group, the percentage of 

offenders subject to a mandatory minimum penalty 

remained remarkably stable at between 50.4 percent 

and 51.0 percent during fiscal years 2010 through 

2016. Conversely, the percentage of offenders 

who were convicted of a statute carrying a drug 

mandatory minimum penalty but relieved from 

the penalty at sentencing has steadily decreased 

from 29.8 percent to 21.9 percent during the same 

period, which is the lowest percentage since fiscal 

year 1996. 

0%

20%

40%

60%

80%

100%

Not Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

Convicted - Relieved of Mandatory Minimum Penalty

Convicted - Subject to Drug Mandatory Minimum Penalty at Sentencing

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

Figure 38. Percent of Offenders in Prison Not Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty, Relieved of an Offense Carrying a Mandatory Minimum Penalty, and Subject to a Drug 

Mandatory Minimum Penalty at Sentencing

At the End of Fiscal Years 1995 - 2016
56 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

As demonstrated in Figure 39, the percentages 

of drug offenders who received relief through 

substantial assistance, safety valve, or both have hit 

all-time lows at 18.1 percent, 9.8 percent, and 2.4 

percent, respectively. Since the Commission’s 2011 

Mandatory Minimum Report, the portion of federal 

drug offenders who received substantial assistance 

relief decreased slightly from 22.2 percent in fiscal 

year 2010 (18.8% receiving substantial assistance, 

and 3.4% receiving both substantial assistance and 

safety valve relief) to 20.5 percent in fiscal year 

2016 (18.1% receiving substantial assistance, and 

2.4% receiving both substantial assistance and 

safety valve relief). The frequency of safety valve 

relief has decreased even more significantly from 

18.3 percent in fiscal year 2010 (14.9% receiving 

substantial assistance, and 3.4% receiving both 

substantial assistance and safety valve relief) to 

12.2 percent in fiscal year 2016 (9.8% receiving 

substantial assistance, and 2.4% receiving both 

substantial assistance and safety valve relief). As 

a result, over two-thirds (69.7%) of drug offenders 

convicted of an offense carrying a drug mandatory 

minimum in 2016 did not receive any form of relief. 

This compares to 62.9 percent in fiscal year 2010, 

and is up significantly from the mid-1990s when only 

half of offenders convicted of an offense carrying a 

drug mandatory minimum did not receive relief. 

These trends again appear consistent with 

the intent of the Department of Justice’s 2013 

Smart on Crime Initiative. That is, while fewer 

offenders were convicted of an offense carrying 

a mandatory minimum penalty in recent years, 

those who were tended to be more serious 

offenders who are less likely to be eligible for relief.

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance and Safety Valve

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

Figure 39. Percent of Offenders in Federal Prison Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty by Type of Relief

At the End of Fiscal Years 1995 - 2016
 57

Section Four:

Data Analysis

Drug Mandatory Minimum Offenders in the 

Federal Prison Population – By Race 

All racial groups experienced a steady 

decrease in the population of drug offenders since 

2013, following more than a decade of increases. 

At the end of fiscal year 2013, Hispanic offenders 

(n=38,125) became the most common racial group 

in the federal prison drug population for the first 

time, overtaking Black offenders (n=37,067). This 

trend continued in the years since, with Hispanic 

offenders (n=33,429) making up the largest portion 

of drug offenders in BOP custody at the end of fiscal 

year 2016. Black offenders (n=29,131) comprised the 

second largest group, followed by White offenders 

(n=17,295) and Other Race offenders (n=1,852). 

In addition to comprising the largest population 

of drug offenders in BOP custody, Hispanic drug 

offenders in prison were also more likely than any 

other race to have been convicted of an offense 

carrying a drug mandatory minimum penalty 

in recent years. As shown in Figure 41, 75.3 

percent of Hispanic drug offenders in prison were 

convicted of an offense carrying a drug mandatory 

minimum penalty at the end of fiscal year 2016. 

This percentage, however, has declined since fiscal 

year 2010 (84.1% of all Hispanic drug offenders 

in prison). Similarly, 73.0 percent of Black drug 

offenders in prison were convicted of an offense 

carrying a drug mandatory minimum penalty at 

the end of fiscal year 2016, a steady decline since 

fiscal year 2010 (81.6% of all Black drug offenders 

in prison). The percentage of White drug offenders 

and Other Race drug offenders convicted of an 

offense carrying a mandatory minimum penalty 

also decreased during this time to 66.0 percent and 

65.3 percent, respectively, at the end of fiscal year 

2016. 

In contrast, the percentage of offenders in 

prison subject to a drug mandatory minimum 

increased for all demographic groups, except Black 

drug offenders (which decreased since the end of 

fiscal year 2010 (from 58.9% to 56.9%)). Despite 

the decrease, Black drug offenders in prison 

were the demographic group most likely to have 

remained subject to a drug mandatory minimum 

penalty. At the end of fiscal year 2016, 56.9 percent 

of Black drug offenders in prison were subject to a 

drug mandatory minimum penalty at sentencing, 

followed by Hispanic drug offenders (48.6%), 

White drug offenders (43.7%), and Other Race drug 

offenders (41.9%). 

Drug Mandatory Minimum Offenders in the 

Federal Prison Population – By Gender

As reflected in Figure 43, the number of male 

offenders in the federal prison drug population 

decreased from a high of 94,772 at the end of fiscal 

year 2011 to 75,299 at the end of fiscal year 2016 

(a 20.5% decrease). The population of female drug 

offenders also decreased slightly in the last three 

fiscal years, but was more steady over the study 

period. 

The percentage of males in prison who were 

convicted of an offense carrying a drug mandatory 

minimum penalty also decreased, from 80.7 percent 

at the end of fiscal year 2010 to 73.3 percent in 2016. 

The percentage of female drug offenders in prison 

convicted of an offense carrying a drug mandatory 

minimum penalty demonstrated a similar decrease 

during this period, falling from 76.5 percent at the 

end of fiscal year 2010 to a low of 60.2 percent at 

the end of fiscal year 2016.
58 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

0

20,000

40,000

60,000

80,000

100,000

White Black Hispanic Other

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

White Black Hispanic Other

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

White Black Hispanic Other

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

Figure 40. Number of Drug Offenders 

in Federal Prison by Race 

At the End of Fiscal Years 1995 - 2016

Figure 41. Percentage of Offenders in 

Federal Prison Convicted of an Offense 

Carrying a Drug Mandatory Minimum 

Penalty by Race 

At the End of Fiscal Years 1995 - 2016

Figure 42. Percentage of Offenders 

in Federal Prison Subject to a Drug 

Mandatory Minimum Penalty at 

Sentencing by Race 

At the End of Fiscal Years 1995 - 2016
 59

Section Four:

Data Analysis

The percentage of male offenders in prison 

who were subject to a drug mandatory minimum 

steadily increased until 2010 and has remained 

relatively stable since. At the end of fiscal year 

1995, 9.5 percent of male offenders in prison were 

subject to a drug mandatory minimum penalty at 

sentencing. This increased to a high of 52.4 percent 

at the end of fiscal years 2012 and 2013, but has 

remained stable since, leveling off at 52.1 percent 

at the end of fiscal year 2016. The percentage 

of female offenders in prison subject to a drug 

mandatory minimum penalty, though always lower 

than the percentage of male offenders, followed 

a similar pattern but has decreased since 2010. 

As of the end of fiscal year 2016, 30.9 percent of 

female offenders in prison were subject to a drug 

mandatory minimum penalty at sentencing.

Drug Mandatory Minimum Offenders in the 

Federal Prison Population – By Citizenship

Following a steady increase from the end of 

fiscal year 1995 (n=33,069) through the end of fiscal 

year 2011 (n=78,420), the population of U.S. citizens 

in the federal prison population for drug offenses 

decreased to 64,223 at the end of fiscal year 2016. 

The population of non-U.S. citizen drug offenders 

followed a similar pattern, increasing from the 

end of fiscal year 1995 (n=11,748) through the 

end of fiscal year 2011 (n=23,537) before steadily 

decreasing to 17,519 at the end of fiscal year 2016. 

While the percentage has declined in recent 

years, the majority of both U.S. citizen drug 

offenders (71.0%) and non-U.S. citizen drug 

offenders (76.8%) in prison at the end of fiscal 

year 2016 were convicted of an offense carrying a 

drug mandatory minimum penalty. As reflected in 

Figure 47, the percentage of both U.S. citizen drug 

offenders and non-U.S. citizen drug offenders in 

prison who were convicted of an offense carrying 

a drug mandatory minimum penalty significantly 

increased over the course of the study period (from 

18.0% at the end of fiscal year 1995 to 71.0% at the 

end of fiscal year 2016, and from 19.3% at the end 

of fiscal year 1995 to 76.8% at the end of fiscal year 

2016, respectively), though both have declined in 

recent years. 

A similar trend is seen in Figure 48 when 

analyzing offenders who remained subject to a 

mandatory minimum penalty at sentencing. The 

percentages of U.S. citizen and non-U.S. citizen 

drug offenders who were in prison and were 

subject to a drug mandatory minimum penalty at 

sentencing both increased over the study period 

(from 9.4% at the end of fiscal year 1995 to 51.8% 

at the end of fiscal year 2016, and from 9.1% at the 

end of fiscal year 1995 to 45.1% at the end of fiscal 

year 2016, respectively). 
60 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

0

40,000

80,000

120,000

160,000

200,000

Male Female

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Male Female

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Male Female

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

Figure 43. Number of Drug Offenders 

in Federal Prison by Gender 

At the End of Fiscal Years 1995 - 2016

Figure 44. Percentage of Offenders in 

Federal Prison Convicted of an Offense 

Carrying a Drug Mandatory Minimum 

Penalty by Gender 

At the End of Fiscal Years 1995 - 2016

Figure 45. Percentage of Offenders 

in Federal Prison Subject to a Drug 

Mandatory Minimum Penalty at 

Sentencing by Gender 

At the End of Fiscal Years 1995 - 2016
 61

Section Four:

Data Analysis

0

40,000

80,000

120,000

160,000

200,000

U.S. Citizen Non-U.S. Citizen

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen

SOURCE: U.S. Sentencing Commission, and Bureau of Prisons Combined 2016 Datafiles, USSCBOP.

Figure 46. Number of Drug Offenders 

in Federal Prison by Citizenship

At the End of Fiscal Years 1995 - 2016

Figure 47. Percentage of Offenders in 

Federal Prison Convicted of an Offense 

Carrying a Drug Mandatory Minimum 

Penalty by Citizenship 

At the End of Fiscal Years 1995 - 2016

Figure 48. Percentage of Offenders 

in Federal Prison Subject to a Drug 

Mandatory Minimum Penalty at 

Sentencing by Citizenship 

At the End of Fiscal Years 1995 - 2016
62 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Recidivism

Any policy discussion regarding the impact and 

appropriate use of mandatory minimum penalties 

would not be complete without consideration of their 

relationship to recidivism rates. The Commission 

thus considered the percentage of offenders who 

recidivated (as measured by rearrest rates) by the 

length of the drug mandatory minimum term faced, 

as well as the number of recidivism events, time to 

recidivism event, and most serious event.

As reflected in Figure 49, the Commission’s 

recidivism data demonstrated that there was an 

inverse relationship between the length of any 

drug trafficking mandatory minimum penalty 

and recidivism rate. Recidivism, as measured by 

rearrest rates, among drug trafficking offenders 

not convicted of an offense carrying a drug 

mandatory minimum penalty was 54.7 percent, 

while those convicted of an offense carrying a 

five-year mandatory minimum penalty had a lower 

recidivism rate of 50.6 percent, those convicted of 

an offense carrying a ten-year mandatory minimum 

penalty had an even lower recidivism rate of 44.7 

percent, and those convicted of an offense carrying 

a mandatory minimum penalty of twenty years had 

the lowest recidivism rate, 37.0 percent. The longer 

sentences received by offenders convicted of drug 

mandatory minimum penalties result in older ages 

at release. Offenders who were not convicted of 

an offense carrying a mandatory minimum penalty 

were approximately four years younger at release 

than those convicted of an offense carrying a tenyear mandatory minimum penalty (34 compared 

to 38 years old). This difference in age at release 

is likely one factor in explaining the link between 

lower mandatory minimum penalties and higher 

recidivism.99

54.7%

50.6%

44.7%

37.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

None 60 Months 120 Months 240 Months

SOURCE: U.S. Sentencing Commission’s 2005 Recidivism Release Cohort Datafile, RECID05_OFFUPDT.

Figure 49. Rearrest Rates for Offenders by Length of Drug Mandatory Minimum Penalties

Fiscal Year 2016
 63

Section Four:

Data Analysis

Of those offenders convicted of an offense 

carrying a drug mandatory minimum penalty, 

nearly half (47.7%) were rearrested during the eightyear study period, while fewer were reconvicted 

(28.6%) or reincarcerated (21.8%). While the most 

serious post-release event was most frequently drug 

trafficking for those reconvicted or reincarcerated 

(18.7% and 21.9%, respectively), it was assault for 

those rearrested (24.7%). 

The Commission has provided more detailed 

analysis of recidivism among drug offenders in 

its recent publication, Recidivism Among Federal 

Drug Trafficking Offenders,

100 which examined 

the recidivist behavior of a group of 10,888 federal 

drug trafficking offenders who were released in 

calendar year 2005. 

Recidivism Measure Rearrest Reconviction Reincarceration

Percent 47.7% 28.6% 21.8%

Median Time to Recidivism 28 Months 38 Months 37 Months

Median Number of Recidivism Events 2 1 1

Most Serious Post-Release Event Assault

(24.7%, n=787)

Drug Trafficking

(18.7%, n=359)

Drug Trafficking

(21.9%, n=321)

Median Age at Release 33 32 32

SOURCE: U.S. Sentencing Commission’s 2005 Recidivism Release Cohort Datafile, RECID05_OFFUPDT. The Commission excluded 

cases from this analysis that were missing information necessary to perform the analysis. Median age at release is shown for 

recidivist offenders only. 

Table 7. Recidivism Rates for Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016
64 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)
5 Conclusion 
66 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Conclusion

Since the Commission’s 2011 Mandatory 

Minimum Report, there have been significant 

legislative and prosecutorial changes, as well as 

judicial opinions, affecting the use of mandatory 

minimum penalties. These changes were chiefly 

directed at low-level, non-violent drug offenders. 

In particular, the Fair Sentencing Act of 2010 

repealed the mandatory minimum penalty for 

simple possession of crack cocaine and increased 

the quantities of crack cocaine necessary to trigger 

a mandatory minimum penalty. In 2013, the 

Department of Justice’s Smart on Crime Initiative 

instructed prosecutors not to charge the drug 

quantities necessary to trigger mandatory minimum 

penalties for certain non-violent, less culpable 

drug offenders. These changes are reflected in the 

data trends reported in this publication, including 

a significant decrease in the number of offenders 

convicted of an offense carrying a drug mandatory 

minimum penalty since fiscal year 2010. 

At the same time, drug mandatory minimum 

penalties continue to have a significant impact 

on the sentencing of drug offenders and on the 

federal prison population. The data demonstrates 

that offenders convicted of an offense carrying 

a drug mandatory minimum penalty continue 

to receive longer sentences than offenders not 

convicted of an offense carrying a drug mandatory 

minimum. These longer sentences, coupled with 

the fact that drug offenses are the most common 

offenses carrying mandatory minimum penalties, 

considerably affect the prison population. At the 

end of the last fiscal year, nearly half of all federal 

inmates were drug offenders and nearly threequarters of those drug offenders in prison were 

convicted of an offense carrying a drug mandatory 

minimum penalty. The data also demonstrates 

that the effects of mandatory minimum penalties 

on sentencing occur for drug offenders across the 

culpability spectrum and regardless of an offender’s 

role in the offense. 
Endnotes
68 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

1 U.S. Sentencing Comm’n, Overview of Mandatory Minimum Penalties in the Federal Criminal 

Justice System [hereinafter 2017 Overview Publication], available at https://www.ussc.gov/sites/default/files/pdf/

research-and-publications/research-publications/2017/20170711_Mand-Min.pdf.

2 The term “mandatory minimum penalty” refers to a federal criminal statute requiring, upon conviction of a 

federal criminal offense and the satisfaction of criteria set forth in that statute, the imposition of a specified minimum 

term of imprisonment. This publication uses the terms “drug mandatory minimum penalty,” “drug mandatory 

minimum sentencing provision,” “statute carrying a drug mandatory minimum penalty,” “convicted of an offense 

carrying a drug mandatory minimum penalty,” and related terms interchangeably in discussing statutory provisions 

carrying a minimum term of imprisonment. A provision that requires a mandatory minimum fine, mandatory 

minimum term of probation, mandatory minimum term of supervised release, or any other mandatory component of 

a sentence other than imprisonment is not considered a mandatory minimum penalty for purposes of this publication. 

3 U.S. Sentencing Comm’n, 2011 Report to Congress: Mandatory Minimum Penalties in the Federal 

Criminal Justice System [hereinafter 2011 Mandatory Minimum Report], available at https://www.ussc.gov/

research/congressional-reports/2011-report-congress-mandatory-minimum-penalties-federal-criminal-justicesystem.

4 The Commission submitted the 2011 Mandatory Minimum Report pursuant to the statutory directive 

contained in section 4713 of the Matthew Shepard and James Byrd, Jr. Hate Crimes Prevention Act of 2009. See

Division E of the National Defense Authorization Act for Fiscal Year 2010, Pub. L. No. 111-84, 123 Stat. 2190, 

2843 (enacted October 28, 2009). The Commission also submitted its 2011 Mandatory Minimum Report pursuant 

to its general authority under 28 U.S.C. §§ 994–995, and its specific authority under 28 U.S.C. § 995(a)(20) which 

provides that the Commission shall have authority to “make recommendations to Congress concerning modification 

or enactment of statutes relating to sentencing, penal, and correctional matters that the Commission finds to be 

necessary and advisable to carry out an effective, humane, and rational sentencing policy.”

5 A detailed historical discussion of statutory mandatory minimum penalties for drug offenses is presented 

in the Commission’s 2011 Mandatory Minimum Report, supra note 2, at 23–25.

6 See 2017 Overview Publication, supra note 1, at 34 & Figure 7. 

7 For definitions of the various offender functions and a description of how the offender function was 

determined for each case, see infra at 43–44. The special coding project for this publication was similar to the coding 

project the Commission undertook for its analysis in the 2011 Mandatory Minimum Report. See 2011 Mandatory 

Minimum Report, supra note 2, at nn.636–40 & accompanying text.

8 21 U.S.C. §§ 841, 960.

9 See 21 U.S.C. §§ 859, 860, and 861. A person who commits one of those offenses is subject to a mandatory 

minimum penalty of at least one year of imprisonment, unless a greater mandatory minimum penalty otherwise 

applies.
 69

Endnotes

10 Controlled substance is defined as “a drug or other substance, or immediate precursor, included in 

Schedule I, II, III, IV, or V of part B of this subchapter,” and includes powder cocaine, crack cocaine, marijuana, 

methamphetamine, and heroin, among others. 21 U.S.C. § 802(6).

11 These mandatory minimum penalties became effective on November 1, 1987, for all drug types, except 

methamphetamine. See Pub. L. No. 99-570, § 1002, 100 Stat. 3207, 3207-2 (1986) (amending 21 U.S.C. § 841(b)

(1)). The mandatory minimum penalties for methamphetamine became effective on November 18, 1988. See Pub. 

L. No. 100-690, § 6470(g)(3), 102 Stat. 4181, 4378 (1988) (amending 21 U.S.C. § 841(b)(1)). Congress also added a 

mandatory minimum penalty for simple possession of crack cocaine in 1988. See Pub. L. No. 100-690, § 6371, 102 

Stat. 4181, 4370 (1988) (amending 21 U.S.C. § 844(a)). The Fair Sentencing Act of 2010 (FSA) altered the mandatory 

minimum penalties established by the 1986 and 1988 Acts by repealing the mandatory minimum penalty for simple 

possession of crack cocaine and by increasing the quantities required to trigger the five- and ten-year mandatory 

minimum penalties for crack cocaine trafficking offenses from five to 28 grams and 50 to 280 grams, respectively. 

See Pub. L. No. 111-220, § 2, 124 Stat. 2372 (amending 21 U.S.C. §§ 841, 844).

12 These increased mandatory minimum penalties are applicable only if the government provides notice 

pursuant to 21 U.S.C. § 851, which provides that “[n]o person who stands convicted of an offense under this part 

shall be sentenced to increased punishment by reason of one or more prior convictions, unless before trial, or before 

entry of a plea of guilty, the United States attorney files an information with the court (and serves a copy of such 

information on the person or counsel for the person) stating in writing the previous convictions to be relied upon.”

13 See 21 U.S.C. §§ 841(b)(1)(B), 960(b)(2)(A)–(C), (G), and (H).

14 See 21 U.S.C. §§ 841(b)(1)(A), 960(b)(1)(A)–(C), (G), and (H).

15 See 21 U.S.C. §§ 846, 963.

16 See 21 U.S.C. §§ 841(b) and 960(b).

17 A more detailed history of drug mandatory minimums can be found in Chapter Two of 2011 Mandatory 

Minimum Report. See2011 Mandatory Minimum Report, supra note 2, at 23–25. See alsoU.S. Sentencing Comm’n, 

Report to the Congress: Cocaine and Federal Sentencing Policy, at 8, note 26 (May 2007), available at https://

www.ussc.gov/sites/default/files/pdf/news/congressional-testimony-and-reports/drug-topics/200705_RtC_Cocaine_

Sentencing_Policy.pdf; U.S. Sentencing Comm’n, Report to the Congress: Cocaine and Federal Sentencing 

Policy, at 6–7 (May 2002), available at https://www.ussc.gov/sites/default/files/pdf/news/congressional-testimonyand-reports/drug-topics/200205-rtc-cocaine-sentencing-policy/200205_Cocaine_and_Federal_Sentencing_Policy.

pdf; U.S. Sentencing Comm’n, Special Report to the Congress: Cocaine and Federal Sentencing Policy, 

at 117–19, (Feb. 1995), available at https://www.ussc.gov/sites/default/files/pdf/news/congressional-testimony-andreports/drug-topics/199502-rtc-cocaine-sentencing-policy/CHAP5-8.pdf; U.S. Sentencing Comm’n, Special 

Report to Congress: Mandatory Minimum Penalties in the Federal Criminal Justice System (as directed 

by section 1703 of Public Law 101–647), at 28–29 (Aug. 1991), available at https://www.ussc.gov/sites/default/files/

pdf/news/congressional-testimony-and-reports/mandatory-minimum-penalties/1991_Mand_Min_Report.pdf.
70 

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18 Because of the heightened concern and national sense of urgency surrounding drugs generally and crack 

cocaine specifically, Congress bypassed much of its usual deliberative legislative process in passing the Act. As 

a result, there were no committee hearings and no Senate or House Reports accompanying the bill that ultimately 

passed, limiting the legislative history for the bill that was enacted into law to statements made by senators and 

representatives during floor debates.

19 See 132 Cong. Rec. 27,193–94 (daily ed. Sept. 30, 1986) (statement of Sen. Robert Byrd) (“For the 

kingpins—the masterminds who are really running these operations—and they can be identified by the amount 

of drugs with which they are involved—we require a jail term upon conviction. If it is their first conviction, the 

minimum term is 10 years. . . . Our proposal would also provide mandatory minimum penalties for the middle-level 

dealers as well. Those criminals would also have to serve time in jail. The minimum sentences would be slightly 

less than those for the kingpins, but they nevertheless would have to go to jail—a minimum of 5 years for the first 

offense.”). See also 132 Cong. Rec. 22,993 (daily ed. Sept. 11, 1986) (statement of Rep. John LaFalce) (“[S]eparate 

penalties are established for the biggest traffickers, with another set of penalties for other serious drug pushers.”); 132 

Cong. Rec. 13779 (daily ed. Sept. 26, 1986) (“the most serious drug traffickers, so-called ‘drug kingpins’, would face 

a mandatory minimum of 10 years and up to life imprisonment”) (Senate section-by-section analysis).

20 The House version provided tougher penalties for “cocaine freebase,” H.R. 5394, 99th Cong., 2d Sess. 

§ 101 (1986), while the Senate version provided penalties for “cocaine base,” S. 2878, 99th Cong., 2d Sess. § 1002, 

132 Cong. Rec. S13649 (daily ed. Sept. 25, 1986). Congress ultimately enacted the Senate version by incorporating 

it into H.R. 5484, which became the Anti–Drug Abuse Act of 1986. See 132 Cong. Rec. H11219–20 (daily ed. Oct. 

17, 1986).

21 H.R. Rep. No. 99-845, pt. 1, at 11–12 (1986).

22 See id.

23 See H.R. Rep. No. 103-460 (1994) (accompanying H.R. 3979 (Mandatory Minimum Sentencing Reform 

Act of 1994, which ultimately added the statutory safety valve), citing to H.R. Rep. No. 99-845, supra note 21, and 

floor statement of Sen. Byrd, supra note 19. 

24 See 18 U.S.C. § 3553(e) (“Upon motion of the Government, the court shall have the authority to impose 

a sentence below a level established by statute as a minimum sentence so as to reflect a defendant’s substantial 

assistance in the investigation or prosecution of another person who has committed an offense.”).

25 18 U.S.C. § 3553(f).

26 The safety valve provisions apply to offenses under section 401, 404, or 406 of the Controlled Substances 

Act (21 U.S.C. §§ 841, 844, 846) and section 1010 or 1013 of the Controlled Substances Import and Export Act (21 

U.S.C. §§ 960, 963).
 71

Endnotes

27 See 2017 Overview Publication, supra note 1, at 18–19 (explaining the statutory and guideline “substantial 

assistance” and “safety valve” provisions).

28 USSG §2D1.1(a)(1)–(4).

29 USSG §2D1.1(a)(5).

30 See USSG §2D1.1. In 2014, the Commission amended the Drug Quantity Table to reduce by two levels the 

offense levels assigned to the quantities that trigger mandatory minimum penalties, resulting in corresponding ranges 

that include the mandatory minimum penalties. See USSG App. C, amend. 782 (effect. Nov. 1, 2014). Prior to the 

amendment, the base offense levels assigned corresponded to guideline ranges that were slightly above the statutory 

mandatory minimum penalties. Offenses involving drug quantities that trigger a five-year statutory minimum were 

assigned a base offense level 26 (63 to 78 months for a defendant in Criminal History Category I) and offenses 

involving drug quantities that trigger a ten-year statutory minimum were assigned a base offense level of 32 (121 

months to 151 months for a defendant in Criminal History Category I).

31 The majority of drug offenders (96.3%, n=18,862) were sentenced under USSG §2D1.1. Additional relevant 

guidelines include USSG §§ 2D1.2 (Drug Offenses Occurring Near Protected Locations or Involving Underage or 

Pregnant Individuals; Attempt or Conspiracy) (1.6%, n=318); 2D2.1 (Unlawful Possession: Attempt or Conspiracy) 

(1.1%, n=218); 2D1.11 (Unlawfully Distributing, Importing, Exporting or Possessing a Listed Chemical; Attempt or 

Conspiracy) (0.4%, n=75); 2D2.2 (Acquiring a Controlled Substance by Forgery, Fraud, Deception, or Subterfuge; 

Attempt or Conspiracy) (0.3%, n=53); 2D1.8 (Renting or Managing a Drug Establishment: Attempt or Conspiracy) 

(0.1%, n=18); 2D1.10 (Endangering Human Life While Illegally Manufacturing a Controlled Substance; Attempt 

or Conspiracy) (0.1%, n=12); 2D1.5 (Continuing Criminal Enterprise: Attempt or Conspiracy) (0.1%, n=12); 2D1.12 

(Unlawful Possession, Manufacture, Distribution, Transportation, Exportation, or Importation of Prohibited 

Flask, Equipment, Chemical, Product, or Material; Attempt or Conspiracy) (0.0%, n=6); 2D1.7 (Unlawful Sale 

or Transportation of Drug Paraphernalia) (0.0%, n=6); 2D1.13 (Structuring Chemical Transactions or Creating a 

Chemical Mixture to Evade Reporting or Recordkeeping Requirements; Presenting False or Fraudulent Identification 

to Obtain a Listed Chemical; Attempt or Conspiracy) (0.0%, n=2); and 2D3.1 (Regulatory Offenses Involving 

Registration Numbers) (0.0%, n=2).

32 See USSG §5C1.2(a). As required by Congressional directive, the new offense level cannot be lower than 

17 for offenders whose mandatory minimums were at least five years in length. See USSG §5C1.2(b).

33 See USSG §2D1.1(b)(17).

34 For purposes of this publication, the phrase “offense carrying a drug mandatory minimum penalty” 

refers to drug offenses involving mandatory minimum penalties specifically relating to the unlawful distribution, 

manufacture, or importation of controlled substance, as well as the possession of such substances with the intent 

to distribute. As such, unless otherwise expressly noted, all analysis in this section is limited to offenders whose 

primary Chapter Two guideline is found in Chapter Two, Part D (Offenses involving Drugs and Narco-Terrorism) 

of the Guidelines Manual. A “drug offender” may also have a conviction for violating 18 U.S.C. § 924(c), for 
72 

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possession or use of a firearm during the commission of the drug offense. Those offenders will also be included in 

the Commission’s future publication on firearms mandatory minimum penalties. 

35 In fiscal year 2016, the Commission’s datafile included 67,742 cases and of those cases, the Commission 

received complete guideline application information and sufficient documentation for analysis in the 62,251 cases 

considered for this publication. See 2017 Overview Publication, supra note 1, at 28. The methodology used in 

this publication, with respect to records collection and data analysis, is described in detail in the 2017 Overview 

Publication supra note 1, at 28.

36 Id. at 29–30.

37 Id.

38 Id. at 34 & Figure 7. Drug offenses have accounted for the majority of offenses carrying a mandatory 

minimum penalty since the 1990s, following passage of the Anti-Drug Abuse Act of 1986, Pub. L. No. 99-570, 100 

Stat. 3207, which established mandatory minimum penalties for drug offenses. 

39 Id. at 35.

40 Id. at 35–36 & Figure 8.

41 Id.

42 Pub. L. No. 111-220, 124 Stat. 2372, at § 2 (Aug. 2, 2010). See 2017 Overview Publication, supra note 1, 

at 22–23 (discussing the FSA and Commission response).

43 See Pub. L. No. 111-220, 124 Stat. 2372, at §§ 6–7.

44 See USSG App. C, amend. 750 (effective Nov. 1, 2011) (implementing as permanent the temporary, 

emergency amendment (USSG App. C, amend. 748 (effective Nov. 1, 2010)) that implemented the FSA); USSG App. 

C, amend. 759 (effective Nov. 1, 2011). The statutory changes made by the FSA apply only to offenders sentenced 

on or after August 3, 2010, the Act’s effective date. Thus, the revised penalties apply to offenders who committed 

a crime after the Act became effective, as well as those who committed a crime before the Act went into effect but 

were sentenced after the Act’s effective date. The revised FSA provisions do not, however, apply retroactively to any 

offender sentenced before the Act’s effective date. See Dorsey v. United States, 132 S. Ct. 2321 (2013).

45 See Statement of Judge Patti B. Saris, Chair, United States Sentencing Commission, For the Hearing on 

“S. 2123, Sentencing Reform and Corrections Act of 2015” Before the Committee on the Judiciary, United States 

Senate (Oct. 19, 2015), available at https://www.ussc.gov/sites/default/files/pdf/news/congressional-testimonyand-reports/testimony/20151021_Saris_Testimony.pdf; Statement of Judge Patti B. Saris, Chair, United States 

Sentencing Commission, For the Hearing on “H.R. 3717, Sentencing Reform Act of 2015” Before the U.S. House of 

Representatives Judiciary Committee (Nov. 18, 2015), available at https://www.ussc.gov/sites/default/files/pdf/news/
 73

Endnotes

congressional-testimony-and-reports/submissions/20151117_HR3713.pdf.

46 See U.S. Sentencing Comm’n, Report to the Congress: Impact of the Fair Sentencing Act of 

2010, at 3 (Aug. 2015), available at https://www.ussc.gov/sites/default/files/pdf/news/congressional-testimony-andreports/drug-topics/201507_RtC_Fair-Sentencing-Act.pdf. The Commission completed this study pursuant to the 

Congressional directive in the FSA to analyze and report on the Act’s impact. 

47 See U.S. Dep’t of Justice, Attorney General John Ashcroft, Memorandum: Department Policy Concerning 

Charging Criminal Offenses, Disposition of Charges, and Sentencing (September 22, 2003).

48 See U.S. Dep’t of Justice, Attorney General Eric Holder, Memorandum: Department Policy on Charging 

and Sentencing (May 19, 2010), available at https://www.justice.gov/sites/default/files/oip/legacy/2014/07/23/holdermemo-charging-sentencing.pdf.

49 133 S. Ct. 2151 (2013).

50 Id. at 2160.

51 See U.S. Dep’t of Justice, Attorney General Eric Holder, Memorandum: Department Policy on Charging 

Mandatory Minimum Sentences and Recidivist Enhancements in Certain Drug Cases (August 12, 2013), available at

https://www.justice.gov/ sites/default/files/ag/legacy/2014/04/11/ag-memo-drug-guidance.pdf (“We must ensure that 

our most severe mandatory minimum penalties are reserved for serious, high-level, or violent drug traffickers. In 

some cases, mandatory minimum and recidivist enhancement statutes have resulted in unduly harsh sentences and 

perceived or actual disparities that do not reflect our Principles of Federal Prosecution.”).

52 Id. 

53 Id. The memorandum provided “[w]hen determining whether an enhancement is appropriate, prosecutors 

should consider the following factors: (1) Whether the defendant was an organizer, leader, manager or supervisor 

of others within a criminal organization; (2) Whether the defendant was involved in the use or threat of violence in 

connection with the offense; (3) The nature of the defendant’s criminal history, including any prior history of violent 

conduct or recent prior convictions for serious offenses; (4) Whether the defendant has significant ties to large-scale 

drug trafficking organizations, gangs, or cartels; (5) Whether the filing would create a gross sentencing disparity 

with equally or more culpable co-defendants; and (6) Other case-specific aggravating or mitigating factors.” Id.; see 

also 2017 Overview Publication, supra note 1, at 23–24 (discussing Department of Justice guidance and relevant 

Supreme Court case law).

54 See U.S. Dep’t of Justice, Attorney General Jefferson Sessions, Memorandum: Department Charging and 

Sentencing Policy (May 10, 2017), available at https://www.justice.gov/opa/press-release/file/965896/download.

55 This percentage is significantly higher than the portion of offenders convicted of any mandatory minimum 

penalty (21.9%). This, however, is unsurprising, given the role of mandatory minimums in drug offenses, as 
74 

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Mandatory Minimum Penalties for Federal Drug Offenses (2017)

reflected by the fact that drug trafficking offenses have accounted for approximately two-thirds of offenses carrying 

a mandatory minimum in recent years, which is significantly higher than the next largest class of offenses. See 2017 

Overview Publication, supra note 1, at 34 & Figure 7. 

56 There was approximately a 15% decrease in the size of the overall federal offender population. The 

Commission analyzed 62,251 cases for this publication and 73,239 fiscal year 2010 cases for the 2011 Mandatory 

Minimum Report.

57 See infra at 31 & Figure 14.

58 2011 Mandatory Minimum Report, supra note 2, at 158.

59 See 2017 Overview Publication, supra note 1, at 30–31 (describing the Commission’s methodology for 

tracking factors identified by the Department of Justice in the Smart on Crime Initiative).

60 See Figure 2 in Appendices D through H.

61 See 2017 Overview Publication, supra note 1, at 10 (noting that mandatory minimum penalties apply 

to several different types of federal offenses and are of varying lengths depending on the offense type and specific 

criteria).

62 A complete distribution of offenders convicted of an offense carrying a drug mandatory minimum penalty, 

as well as those who remained subject to such a penalty at sentencing is provided for each circuit and district in 

Appendix A.

63 The Commission obtains data on the race and ethnicity of the offender from the Presentence Report. The 

“Other Race” category includes offenders of Native American, Alaskan Native, and Asian or Pacific Islander origin. 

Of the offenders analyzed for this study, there were 2,484 offenders identified as “Other” race offenders: 1,085 

(43.7%) were of Asian/Pacific Islander origin, 1,186 (47.8%) were Native-American/Alaskan Native, and 213 (8.5%) 

were of other origin. For drug offenders in fiscal year 2016, the “Other” race category consists of 52.3% Asian/Pacific 

Islander (n=295), 39.7% Native-American/Alaskan Native (n=224), and 8.0% were of other origin (n=45). 

64 See Appendices D through H.

65 This is, in large part, because non-U.S. citizens are often convicted of immigration offenses, which do not 

carry mandatory minimum penalties.

66 See Appendix B.

67 See Appendix F, Table F2.

68 See Appendix E, Table E2.
 75

Endnotes

69 See Appendices D through H.

70 See supra at Figure 4.

71 2017 Overview Publication, supra note 1, at Figure 9.

72 Id. at 41.

73 In fiscal year 2016, more than three-quarters of crack cocaine offenders were Black (82.6%), followed by 

Hispanic (11.3%), White (5.6%), and Other Race (0.5%).

74 There were 1,562 crack cocaine offenders in fiscal year 2016, a 67.1% decrease from fiscal year 2010 

(n=4,751).

75 In fiscal year 2016, more than half of methamphetamine offenders were Hispanic (50.4%), followed by 

White (38.8%), Black (6.0%), and Other Race (4.8%).

76 There were 6,508 methamphetamine trafficking offenders in fiscal year 2016, a 56.1% increase from fiscal 

year 2010 (n=4,169).

77 Other Race crack cocaine offenders received relief less than Black crack cocaine offenders (0.0%). 

However, there were only eight offenders in this category. Other Race marijuana offenders had the highest rate of 

relief (72.7%), followed by White marijuana offenders (71.9%).

78 See infra at 48–49.

79 See USSG §§5C1.2, 3B1.1.

80 See Appendices D through H.

81 Originally developed in the 1990s with consultation from the Drug Enforcement Agency, the Commission has 

historically used these categories as the basis of its offender function analysis. See, e.g., 2011 Mandatory Minimum 

Report, supra note 2, at 165–73; U.S. Sentencing Comm’n Report to the Congress: Cocaine and Federal 

Sentencing Policy A-2 (2007), available at https://www.ussc.gov/sites/default/files/pdf/news/congressionaltestimony-and-reports/drug-topics/200705_RtC_Cocaine_Sentencing_Policy.pdf. Function categories used in this 

analysis do not necessarily correlate with guideline definitions of similar terms. For example, the definition of 

Manager/Supervisor used in the coding project to describe offender function does not match the guideline definition 

of manager or supervisor in USSG §3B1.1 (Aggravating Role) and the determination of offender function was made 

without regard to whether §3B1.1 or §3B1.2 applied. 

82 See Appendix D, Figure D8.
76 

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83 See Appendix F, Figure F8.

84 Id. 

85 Powder cocaine Organizers/Leaders had the highest percentage of offenders subject to a drug mandatory 

minimum penalty at sentencing (63.6%). See Appendix D, Figure D9.

86 Offenders who functioned as Managers/Supervisors were convicted of an offense carrying a drug 

mandatory minimum penalty at the highest rate (79.7%), but as reflected in Figure 28 only accounted for 2.0% of all 

drug offenders in the 2016 sample. 

87 See Appendix F, Figure F9.

88 See 2011 Mandatory Minimum Report, supra note 2, at 219 & Figure 8–35. 

89 See id. at 204 & Figure 8–29.

90 See Appendix E, Figure E9.

91 See supra nn.32–43 & accompanying text. For a detailed discussion of the changes in the application of 

mandatory minimum sentences, see Section 4 of the Commission’s 2017 Overview Publication. See 2017 Overview 

Publication, supra note 1, at 22–25.

92 See USSG §§5C1.2, 3B1.1.

93 2017 Overview Publication, supra note 1, at 48–49. 

94 These population figures were obtained from the Bureau of Prisons data and reflect complete population 

figures. The remaining federal prison population analysis in this section is based on matching the BOP data with 

Commission data and therefore may reflect fewer offenders. 

95 See 2011 Mandatory Minimum Report, at Ch.4. In the 2011 Mandatory Minimum Report, the 

Commission noted that these factors have included changes to mandatory minimum penalties themselves, both 

in terms of number and scope, as well as other systemic changes to the federal criminal justice system, such as 

the expanded federalization of criminal law, increased size and changes in the composition of the federal criminal 

docket, and higher rates of imposition of sentences of imprisonment. See id.

96 2017 Overview Publication, supra note 1, at 49. 

97 Id.

98 Id. at 51 & Figure 21. 
 77

Endnotes

99 U.S. Sentencing Comm’n, Recidivism Among Federal Drug Trafficking Offenders 16–17

[hereinafter Drug Recidivism Report], available at https://www.ussc.gov/sites/default/files/pdf/research-andpublications/research-publications/2017/20170221_Recidivism-Drugs.pdf.

100 Id.
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Mandatory Minimum Penalties for Federal Drug Offenses (2017)
Appendix A
United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

80 

CIRCUIT

District Number Percent Number Percent Number Percent

TOTAL 62,251 100.0 19,584 31.5 8,760 14.1

D.C. CIRCUIT 250 0.4 122 48.8 69 27.6

District of Columbia 250 0.4 122 48.8 69 27.6

FIRST CIRCUIT 1,943 3.1 822 42.3 440 22.6

Maine 198 0.3 105 53.0 20 10.1

Massachusetts 460 0.7 156 33.9 45 9.8

New Hampshire 174 0.3 43 24.7 13 7.5

Puerto Rico 1,021 1.6 486 47.6 349 34.2

Rhode Island 90 0.1 32 35.6 13 14.4

SECOND CIRCUIT 3,257 5.2 1,301 39.9 523 16.1

Connecticut 302 0.5 149 49.3 62 20.5

New York

 Eastern 756 1.2 265 35.1 113 14.9

 Northern 277 0.4 110 39.7 54 19.5

 Southern 1,292 2.1 475 36.8 219 17.0

 Western 449 0.7 173 38.5 66 14.7

Vermont 181 0.3 129 71.3 9 5.0

THIRD CIRCUIT 2,021 3.3 706 34.9 340 16.8

Delaware 69 0.1 25 36.2 13 18.8

New Jersey 657 1.1 196 29.8 85 12.9

Pennsylvania

 Eastern 574 0.9 152 26.5 103 17.9

 Middle 299 0.5 126 42.1 33 11.0

 Western 365 0.6 189 51.8 103 28.2

Virgin Islands 57 0.1 18 31.6 3 5.3

FOURTH CIRCUIT 4,506 7.0 1,703 37.8 688 15.3

Maryland 660 1.1 229 34.7 120 18.2

North Carolina

 Eastern 543 0.9 196 36.1 90 16.6

 Middle 420 0.7 137 32.6 20 4.8

 Western 650 1.0 224 34.5 124 19.1

South Carolina 617 1.0 172 27.9 97 15.7

Virginia

 Eastern 814 1.3 255 31.3 147 18.1

 Western 305 0.5 181 59.3 53 17.4

West Virginia

 Northern 296 0.5 178 60.1 28 9.5

 Southern 201 0.3 131 65.2 9 4.5

DRUG MANDATORY MINIMUM STATUS FOR ALL OFFENDERS 

IN EACH CIRCUIT AND DISTRICT1

Fiscal Year 2016

Total All Drug Offenders

Drug Mandatory 

Mandatory
 81

Appendix A

CIRCUIT

District Number Percent Number Percent Number Percent

FIFTH CIRCUIT 15,297 24.6 4,157 27.2 2145 14.0

Louisiana

 Eastern 328 0.5 112 34.1 70 21.3

 Middle 160 0.3 51 31.9 23 14.4

 Western 207 0.3 74 35.7 33 15.9

Mississippi

 Northern 157 0.3 27 17.2 5 3.2

 Southern 226 0.4 78 34.5 29 12.8

Texas

 Eastern 811 1.3 381 47.0 261 32.2

 Northern 1,329 2.1 578 43.5 252 19.0

 Southern 6,233 10.0 1,155 18.5 882 14.2

 Western 5,846 9.4 1,701 29.1 590 10.1

SIXTH CIRCUIT 4,334 7.0 1,584 36.5 742 17.1

Kentucky

 Eastern 432 0.7 230 53.2 75 17.4

 Western 285 0.5 119 41.8 86 30.2

Michigan

 Eastern 867 1.4 206 23.8 95 11.0

 Western 316 0.5 76 24.1 25 7.9

Ohio

 Northern 560 0.9 167 29.8 62 11.1

 Southern 472 0.8 179 37.9 63 13.3

Tennessee

 Eastern 740 1.2 364 49.2 232 31.4

 Middle 204 0.3 55 27.0 30 14.7

 Western 458 0.7 188 41.0 74 16.2

SEVENTH CIRCUIT 2,231 3.6 761 34.1 376 16.9

Illinois

 Central 258 0.4 102 39.5 63 24.4

 Northern 627 1.0 179 28.5 79 12.6

 Southern 312 0.5 155 49.7 69 22.1

Indiana

 Northern 285 0.5 62 21.8 29 10.2

 Southern 329 0.5 118 35.9 96 29.2

Wisconsin

 Eastern 296 0.5 104 35.1 31 10.5

 Western 124 0.2 41 33.1 9 7.3

EIGHTH CIRCUIT 4,637 7.4 1,721 37.1 910 19.6

Arkansas

 Eastern 354 0.6 198 55.9 85 24.0

 Western 252 0.4 106 42.1 17 6.7

Iowa

 Northern 347 0.6 130 37.5 99 28.5

 Southern 347 0.6 138 39.8 53 15.3

Minnesota 481 0.8 154 32.0 87 18.1

Missouri

 Eastern 740 1.2 216 29.2 92 12.4

 Western 804 1.3 306 38.1 184 22.9

Nebraska 532 0.9 243 45.7 144 27.1

North Dakota 356 0.6 145 40.7 97 27.2

South Dakota 424 0.7 85 20.0 52 12.3

Total All Drug Offenders

Drug Mandatory 

Mandatory
United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

82 

CIRCUIT

District Number Percent Number Percent Number Percent

NINTH CIRCUIT 10,791 17.3 3,623 33.6 979 9.1

Alaska 166 0.3 58 34.9 37 22.3

Arizona 4,090 6.6 1,100 26.9 51 1.3

California

 Central 865 1.4 265 30.6 182 21.0

 Eastern 655 1.1 244 37.3 107 16.3

 Northern 433 0.7 105 24.2 53 12.2

 Southern 2,317 3.7 1,067 46.1 128 5.5

Guam 65 0.1 18 27.7 0 0.0

Hawaii 138 0.2 72 52.2 61 44.2

Idaho 254 0.4 100 39.4 37 14.6

Montana 310 0.5 123 39.7 80 25.8

Nevada 391 0.6 95 24.3 43 11.0

Northern Mariana Islands 20 0.0 5 25.0 4 20.0

Oregon 358 0.6 114 31.8 77 21.5

Washington

 Eastern 298 0.5 102 34.2 61 20.5

 Western 431 0.7 155 36.0 58 13.5

TENTH CIRCUIT 7,319 11.8 1,321 18.0 483 6.6

Colorado 464 3.0 112 24.1 52 11.2

Kansas 459 0.7 175 38.1 97 21.1

New Mexico 4,954 8.0 632 12.8 130 2.6

Oklahoma

 Eastern 100 0.2 37 37.0 21 21.0

 Northern 210 0.3 78 37.1 28 13.3

 Western 295 0.5 96 32.5 32 10.9

Utah 623 1.0 102 16.4 64 10.3

Wyoming 214 0.3 89 41.6 59 27.6

ELEVENTH CIRCUIT 5,665 9.1 1,763 31.1 1,065 18.8

Alabama

 Middle 151 0.2 30 19.9 21 13.9

 Northern 333 0.5 91 27.3 54 16.2

 Southern 313 0.5 93 29.7 52 16.6

Florida

 Middle 1,393 2.2 550 39.5 439 31.5

 Northern 241 0.4 62 25.7 41 17.0

 Southern 2,130 3.4 581 27.3 370 17.4

Georgia

 Middle 303 0.5 117 38.6 33 10.9

 Northern 523 0.8 120 22.9 50 9.6

 Southern 278 0.5 119 42.8 5 1.8

1 Of the 67,742 cases sentenced in fiscal year 2016, the Commission received complete guideline information in 61,958. The Commission 

did not receive complete guideline information for another 287 cases in which the only statute of conviction was 18 U.S.C. § 924(c) and 111 

cases in which an offender was sentenced under 18 U.S.C. § 1028A and the guidelines were not applied, but these cases are included in 

the analysis. Of the remaining 63,357 cases, 105 were excluded due to missing statutory information. 

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16. 

Total All Drug Offenders

Drug Mandatory 

Mandatory
A

Appendix B
84 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Table B1. Average Age of Drug Offenders at Sentencing

Fiscal Year 2016

All Drug 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 19,584 8,760 4,519 4,241

AGE (YEARS)

All Drugs 36 37 36 37

Powder Cocaine 37 38 38 38

Crack	Cocaine 35 35 36 34

Heroin 36 37 37 37

Marijuana 33 35 34 37

Methamphetamine 36 37 36 37

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
A

Appendix C
86 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure C1. Length of Drug Mandatory Minimum Penalty for Offenders Convicted of an 

Offense Carrying a Mandatory Minimum by Function

Fiscal Year 2016 Sample Data

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.

29.5% 26.6%

42.7% 37.2%

20.3%

67.6%

45.1%

67.8%

74.6%

46.7%

2.9%

0.1%

1.5%

1.8%

0.3%

22.6% 22.8%

29.4%

30.6%

33.3%

19.2%

29.4%

13.5%

20.5%

18.1%

47.3%

43.0%

23.5%

28.9%

43.5%

10.4%

25.5%

18.6%

5.0%

34.9%

0.7%

7.6%

1.5% 3.2%

1.5% 1.1% 0.2%

0%

20%

40%

60%

80%

100%

No Mandatory Minimum Less than Five Years 5 Years 10 Years 20 Years or Greater
A

Appendix D: 

Powder Cocaine
88 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Not Convicted of 

an Offense 

Carrying a Drug 

Mandatory 

Minimum Penalty

39.8%

(N=1,516)

Convicted of an 

Offense Carrying 

a Drug 

Mandatory 

Minimum Penalty

60.2%

(N=2,293)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure D1. Powder Cocaine Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016
 89

Appendix D: 

Powder Cocaine Offenders

SOURCE: U.S. Sentencing Commission, 2016 Datafiles, USSCFY16.

Figure D2. Length of Mandatory Minimum Penalty for Powder Cocaine Offenders 

Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016

< 5 Years

0.8%

(N=18)

5 Years

39.8%

(N=913) 10 Years

57.0%

(N=1,308)

20 Years

2.2%

(N=50)

>20 Years

0.2%

(N=4)
90 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure D3. Number of Powder Cocaine Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty by District

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Number of Offenders: <50 50-99 100-249 250-499 500-750 >750
 91

Appendix D: 

Powder Cocaine Offenders

Table D1. Demographic Characteristics of Powder Cocaine Offenders

Fiscal Year 2016

All Powder 

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,809 2,293 1,364 929

RACE

White 6.9% 5.2% 5.4% 4.7%

Black 30.2% 25.9% 19.6% 35.2%

Hispanic 61.8% 67.9% 74.0% 59.1%

Other 1.1% 1.0% 1.0% 1.0%

CITIZENSHIP

U.S. Citizen 64.9% 59.9% 47.7% 77.9%

Non-U.S. Citizen 35.1% 40.1% 52.3% 22.1%

GENDER

Male 89.2% 91.8% 89.3% 95.5%

Female 10.8% 8.2% 10.7% 4.5%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
92 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Table D2. Guideline Sentencing Characteristics, Role in the Offense and Criminal History of 

Powder Cocaine Offenders

Fiscal Year 2016

All Powder 

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,809 2,293 1,364 929

CHARACTERISTICS

Weapon Specific Offense 

Characteristic

11.4% 12.1% 7.0% 19.5%

Firearms Mandatory Minimum 

Applied

6.0% 6.0% 3.2% 10.1%

Safety Valve Reduction 41.0% 42.9% 72.2% 0.0%

ROLE IN THE OFFENSE

Aggravating Role 10.0% 13.8% 7.8% 22.5%

Mitigating Role 18.0% 12.4% 19.2% 2.5%

CRIMINAL HISTORY CATEGORY

I 62.3% 65.0% 80.8% 41.8%

II 11.1% 11.3% 6.1% 18.8%

III 11.3% 10.6% 5.9% 17.6%

IV 4.7% 4.1% 2.1% 7.1%

V 2.3% 1.9% 1.2% 2.9%

VI 8.3% 7.2% 4.0% 11.8%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 93

Appendix D: 

Powder Cocaine Offenders

Figure D4. Demographics of Powder Cocaine Offenders Relieved of a 

Drug Mandatory Minimum Penalty by Race of Offender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

40.5% 37.3%

55.1%

35.3%

39.1%

16.5%

23.7% 24.2%

13.1% 13.0%

30.5%

20.3%

14.5%

37.4%

26.1%

12.5%

18.6%

6.2%

14.3%

21.7%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

All Powder Cocaine Offenders White Black Hispanic Other

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
94 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure D5. Demographics of Powder Cocaine Offenders Relieved of a 

Drug Mandatory Minimum Penalty by Citizenship and Gender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

52.6%

22.3%

42.1%

22.3% 19.6%

12.1%

16.9%

12.8%

19.2%

47.3%

28.8%

48.9%

8.6%

18.3%

12.2%

16.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen Male Female

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
 95

Appendix D: 

Powder Cocaine Offenders

Figure D6. Average Sentence Length of Powder Cocaine Offenders

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

43 mos.

88 mos.

67 mos.

76 mos. 69 mos.

48 mos.

118 mos.

0

60

120

180

Not

Convicted of

Drug

Mandatory

Minimum

Convicted of

Drug

Mandatory

Minimum

Relieved of

Mandatory

Minimum

Substanial

Assistance

Safety Valve Substantial

Assistance &

Safety Valve

Subject to

Drug

Mandatory

Minimum

months
96 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure D7. Average Sentence for Powder Cocaine Offenders by Demographic Characteristics

By Race

Fiscal Year 2016

48 mos.

70 mos.

43 mos.

115 mos.

72 mos.

96 mos.

57 mos.

127 mos.

72 mos.

86 mos.

71 mos.

114 mos.

53 mos.

70 mos.

33 mos.

127 mos.

0

60

120

180

All Powder Cocaine Offenders Convicted of Drug

Mandatory Minimum

Relieved of Mandatory

Minimum

Subject to Drug

Mandatory Minimum

White Black Hispanic Other

months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 97

Appendix D: 

Powder Cocaine Offenders

Table D3. Average Sentence for Powder Cocaine Offenders by Citizenship and Gender

Fiscal Year 2016

All Powder 

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,809 2,293 1,364 929

CITIZENSHIP

U.S. Citizen 67 months 84 months 51 months 114 months

Non-U.S. Citizen 75 months 93 months 81 months 133 months

GENDER

Male 74 months 91 months 70 months 120 months

Female 32 months 46 months 35 months 85 months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
98 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table D4. Sentence Relative to the Guideline Range of Powder Cocaine Offenders

Fiscal Year 2016

All Powder 

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,809 2,293 1,364 929

SENTENCE RELATIVE TO THE GUIDELINE RANGE

Within Range 40.7% 43.4% 29.3% 63.9%

Above Range 1.4% 0.8% 0.2% 1.6%

Substantial Assistance §5K1.1 23.0% 29.0% 48.8% 0.0%

Other Government Sponsored 

(no §5K1.1)

11.7% 6.8% 3.3% 12.0%

Non-Government Sponsored 

Below Range

23.2% 20.0% 18.3% 22.5%
 99

Appendix D: 

Powder Cocaine Offenders

Figure D8. Offender Function1

Powder Cocaine Offenders2

Fiscal Year 2009 and 2016 Sample Data

1 There were offenders in the samples whose function could not be determined. These offenders are not included in the overall percentages. 2 In the fiscal year 2009 sample, 6.0 percent of powder cocaine offenders had “Other” or “Miscellaneous” functions. In the fiscal year 2016 sample, 8.5 percent 

of powder cocaine offenders had “Other” or “Miscellaneous” functions. These percentages are not represented in the figure above. There were no powder 

cocaine offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

24.1%

3.8%

20.7%

4.1% 5.7% 4.4%

21.1%

3.7% 6.6%

20.7%

1.5%

13.6%

4.5%

10.2%

1.9%

18.4%

6.2%

14.4%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data
100 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure D9. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum 

Penalty and Subject to a Drug Mandatory Minimum Penalty by Offender Function

Powder Cocaine Offenders1

Fiscal Year 2016 Sample Data

79.5%

72.7%

47.5%

87.9%

33.8%

85.7%

50.8%

26.7%

85.7%

41.1%

63.6%

27.3%

54.6%

21.6% 21.4%

9.7% 11.1%

15.2%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of Drug Mandatory Minimum Penalty Subject to Drug Mandatory Minimum at Sentencing

1There were no powder cocaine offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
 101

Appendix D: 

Powder Cocaine Offenders

Figure	D10.		Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty Who Were Relieved of the Penalty by Offender Function

Powder Cocaine Offenders1

Fiscal Year 2016 Sample Data

51.7%

87.5%

57.5% 62.1% 64.0%

25.0% 19.1%

41.7%

17.8%

27.5%

12.5%

14.9% 10.3% 8.0%

16.7%

10.3%

16.7%

3.3%

12.5% 25.5%

17.2% 24.0%

25.0% 52.9%

25.0%

61.1%

8.3% 2.1%

10.3% 4.0%

33.3%

17.7% 16.7% 17.8%

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

1There were no powder cocaine offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
102 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

134 mos.

181 mos.

81 mos.

135 mos.

65 mos. 71 mos. 63 mos.

41 mos.

99 mos. 93 mos.

161 mos.

68 mos.

100 mos.

50 mos. 57 mos. 47 mos.

28 mos.

87 mos.

0

50

100

150

200

250

Average Guideline Minimum Average Sentence

Figure D11. Average Guideline Minimum and Average Sentence by Offender Function

Powder Cocaine Offenders1

Fiscal Year 2016 Sample Data

1There were no powder cocaine offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
A

Appendix E: 

Crack Cocaine
104 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Not Convicted of an Offense 

Carrying a Drug Mandatory 

Minimum Penalty

53.4%

(N=834)

Convicted of an Offense 

Carrying a Drug 

Mandatory Minimum 

Penalty

46.6%

(N=728)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure E1. Crack Cocaine Offenders Convicted of an Offense Carrying a 

Drug Mandatory Minimum Penalty

Fiscal Year 2016
 105

Appendix E: 

Crack Cocaine Offenders

SOURCE: U.S. Sentencing Commission, 2016 Datafiles, USSCFY16.

Figure E2. Length of Mandatory Minimum Penalty for Crack Cocaine Offenders Convicted 

of an Offense Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016

< 5 Years

2.3%

(N=17)

5 Years

59.9%

(N=436)

10 Years

33.2%

(N=242)

20 Years

3.9%

(N=28)

>20 Years

0.7%

(N=5)
106 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure E3. Number of Crack Cocaine Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty by District

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Number of Offenders: <50 50-99 100-249 250-499 500-750 >750
 107

Appendix E: 

Crack Cocaine Offenders

Table E1. Demographic Characteristics of Crack Cocaine Offenders

Fiscal Year 2016

All Powder 

Crack	

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 1,562 728 220 508

RACE

White 5.6% 3.0% 4.1% 2.6%

Black 82.6% 85.0% 79.1% 87.6%

Hispanic 11.3% 11.6% 16.8% 9.3%

Other 0.5% 0.4% 0.0% 0.6%

CITIZENSHIP

U.S. Citizen 97.5% 96.7% 93.2% 98.2%

Non-U.S. Citizen 2.5% 3.3% 6.8% 1.8%

GENDER

Male 90.7% 93.8% 87.7% 96.5%

Female 9.3% 6.2% 12.2% 3.5%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
108 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Table E2. Guideline Sentencing Characteristics, Role in the Offense and Criminal History of Crack 

Cocaine Offenders

Fiscal Year 2016

All	Crack	

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug

Mandatory Minimum Penalty

Relieved of Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 1,562 728 220 508

CHARACTERISTICS

Weapon Specific Offense 

Characteristic

22.9% 28.6% 24.6% 30.3%

Firearms Mandatory Minimum 

Applied

9.7% 11.5% 14.6% 10.2%

Safety Valve Reduction 7.1% 6.9% 22.7% 0.0%

ROLE IN THE OFFENSE

Aggravating Role 7.0% 10.9% 11.4% 10.6%

Mitigating Role 5.5% 3.3% 7.7% 1.4%

CRIMINAL HISTORY CATEGORY

I 18.3% 17.7% 32.3% 11.4%

II 11.0% 9.8% 9.6% 9.8%

III 20.4% 22.8% 15.5% 26.0%

IV 13.3% 15.1% 13.6% 15.8%

V 8.4% 7.6% 6.8% 7.9%

VI 28.7% 27.1% 22.3% 29.1%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 109

Appendix E: 

Crack Cocaine Offenders

Figure E4. Demographics of Crack Cocaine Offenders Relieved of a Drug Mandatory 

Minimum Penalty by Race of Offender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

69.7%

59.1%

71.8%

56.0%

100.0%

23.4%

31.8%

22.2%

31.0%

5.2% 4.6% 4.9% 8.3%

1.7% 4.6% 1.1%

4.8%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

All Crack Cocaine Offenders White Black Hispanic Other

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
110 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure E5. Demographics of Crack Cocaine Offenders Relieved of a 

Drug Mandatory Minimum Penalty by Citizenship and Gender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

70.9%

37.5%

71.7%

40.0%

22.9%

37.5%

22.6%

35.6%

5.0%

12.5%

4.7%

13.3%

1.3%

12.5%

1.0%

11.1%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen Male Female

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
 111

Appendix E: 

Crack Cocaine Offenders

Figure E6. Average Sentence Length of Crack Cocaine Offenders

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

60 mos.

101 mos.

62 mos.

71 mos.

34 mos.

21 mos.

118 mos.

0

60

120

180

Not

Convicted of

Drug

Mandatory

Minimum

Convicted of

Drug

Mandatory

Minimum

Relieved of

Mandatory

Minimum

Substanial

Assistance

Safety Valve Substantial

Assistance &

Safety Valve

Subject to

Drug

Mandatory

Minimum

months
112 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure E7. Average Sentence for Crack Cocaine Offenders by Demographic Characteristics

By Race

Fiscal Year 2016

42 mos.

81 mos.

39 mos.

111 mos.

83 mos.

102 mos.

66 mos.

117 mos.

75 mos.

97 mos.

48 mos.

136 mos.

51 mos.

109 mos. 109 mos.

0

60

120

180

All Crack Cocaine Offenders Convicted of Drug

Mandatory Minimum

Relieved of Mandatory

Minimum

Subject to Drug

Mandatory Minimum

White Black Hispanic Other

months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 113

Appendix E: 

Crack Cocaine Offenders

Table E3. Average Sentence for Crack Cocaine Offenders by Citizenship and Gender

Fiscal Year 2016

All	Crack	

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 1,562 728 220 508

CITIZENSHIP

U.S. Citizen 79 months 102 months 63 months 118 months

Non-U.S. Citizen 71 months 80 months 44 months 139 months

GENDER

Male 84 months 104 months 66 months 119 months

Female 35 months 60 months 35 months 96 months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
114 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table E4. Sentence Relative to the Guideline Range of Crack Cocaine Offenders

Fiscal Year 2016

All	Crack	

Cocaine 

Offenders

Convicted of an

Offense Carrying a Drug

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 1,562 728 220 508

SENTENCE RELATIVE TO THE GUIDELINE RANGE

Within Range 41.0% 42.2% 7.7% 57.1%

Above Range 1.8% 1.5% 0.9% 1.8%

Substantial Assistance §5K1.1 20.7% 25.0% 82.7% 0.0%

Other Government Sponsored 

(no §5K1.1)

9.9% 8.7% 0.5% 12.2%

Non-Government Sponsored 

Below Range

26.6% 22.7% 8.2% 28.9%
 115

Appendix E: 

Crack Cocaine Offenders

Figure E8. Offender Function1

Crack Cocaine Offenders2

Fiscal Year 2009 and 2016 Sample Data

1 There were offenders in the samples whose function could not be determined. These offenders are not included in the overall percentages. 2 In the fiscal year 2009 sample, 4.3 percent of crack cocaine offenders had “Other” or “Miscellaneous” functions. In the fiscal year 2016 sample, 2.6 percent of 

crack cocaine offenders had “Other” or “Miscellaneous” functions. These percentages are not represented in the figure above.

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

0.5%

3.6% 6.6%

27.9%

1.2%

47.0%

3.2% 2.6% 0.2% 2.9%

0.0%

6.5%

10.4%

25.1%

1.3%

45.0%

3.6% 1.0% 0.3%

4.2%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data
116 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure E9. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum 

Penalty and Subject to a Drug Mandatory Minimum Penalty by Offender Function1

Crack Cocaine Offenders

Fiscal Year 2016 Sample Data

70.0%

56.3%

66.2%

50.0%

37.0%

27.3% 30.8%

40.0% 37.5%

49.4% 50.0%

22.5%

9.1%

15.4%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of Drug Mandatory Minimum Penalty Subject to Drug Mandatory Minimum at Sentencing

1There were no crack cocaine offenders whose function was “high-level supplier/importer,” therefore, this function is not depicted. Crack offenders who are 

mules or couriers are excluded from this analysis.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
 117

Appendix E: 

Crack Cocaine Offenders

Figure	E10.		Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum 

Penalty Who Were Relieved of the Penalty by Offender Function1

Crack Cocaine Offenders

Fiscal Year 2016 Sample Data

57.1%

66.7%

74.5%

100.0%

60.8%

33.3%

50.0%

42.9% 27.8%

19.6%

37.3%

66.7%

25.0%

5.6% 5.9% 2.0%

25.0%

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

1There were no crack cocaine offenders whose function was “high-level supplier/importer,” therefore, this function is not depicted.

Crack offenders who are mules or couriers are excluded from this analysis.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
118 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

214 mos.

121 mos. 112 mos.

187 mos.

102 mos.

75 mos.

53 mos.

128 mos.

99 mos.

83 mos.

152 mos.

67 mos.

48 mos. 38 mos.

0

50

100

150

200

250

Average Guideline Minimum Average Sentence

Figure E11. Average Guideline Minimum and Average Sentence by Offender Function1

Crack Cocaine Offenders

Fiscal Year 2016 Sample Data

1 There were no crack cocaine offenders whose function was “high-level supplier/importer,” therefore, this function is not depicted.

Crack offenders who are mules or couriers are excluded from this analysis.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
A

Appendix F: 

Marijuana
120 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Not Convicted of an Offense 

Carrying a Drug Mandatory 

Minimum Penalty

73.9%

(N=2,583)

Convicted of an Offense 

Carrying a Drug 

Mandatory Minimum 

Penalty

26.1%

(N=914)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure F1. Marijuana Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016
 121

Appendix F: 

Marijuana Offenders

SOURCE: U.S. Sentencing Commission, 2016 Datafiles, USSCFY16.

Figure F2. Length of Mandatory Minimum Penalty 

for Marijuana Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016

< 5 Years

0.6%

(N=5)

5 Years

83.3%

(N=761)

10 Years

15.4%

(N=141)

20 Years

0.4%

(N=4)

>20 Years

0.3%

(N=3)
122 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure F3. Number of Marijuana Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty by District

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Number of Offenders: <50 50-99 100-249 250-499 500-750 >750
 123

Appendix F: 

Marijuana Offenders

Table F1. Demographic Characteristics of Marijuana Offenders

Fiscal Year 2016

All Marijuana 

Offenders

Convicted of an

Offense Carrying a Drug

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,497 914 634 280

RACE

White 12.0% 14.0% 14.5% 12.9%

Black 8.3% 8.4% 6.2% 13.6%

Hispanic 76.8% 73.9% 75.6% 70.3%

Other 2.8% 3.6% 3.8% 3.2%

CITIZENSHIP

U.S. Citizen 43.7% 44.5% 38.6% 57.7%

Non-U.S. Citizen 56.3% 55.5% 61.4% 42.3%

GENDER

Male 89.4% 94.3% 93.4% 96.4%

Female 10.6% 5.7% 6.6% 3.6%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
124 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Table F2. Guideline Sentencing Characteristics, Role in the Offense and Criminal History of 

Marijuana Offenders

Fiscal Year 2016

All Marijuana 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,497 914 634 280

CHARACTERISTICS

Weapon Specific Offense 

Characteristic

4.7% 7.4% 3.6% 16.1%

Firearms Mandatory Minimum 

Applied

1.9% 1.1% 0.6% 2.1%

Safety Valve Reduction 53.3% 54.5% 78.4% 0.0%

ROLE IN THE OFFENSE

Aggravating Role 4.9% 11.8% 7.6% 21.4%

Mitigating Role 37.6% 26.2% 33.3% 10.0%

CRIMINAL HISTORY CATEGORY

I 65.9% 68.1% 85.3% 28.9%

II 13.0% 10.1% 5.2% 21.1%

III 11.3% 11.5% 5.5% 25.0%

IV 4.7% 4.6% 2.1% 10.4%

V 1.9% 1.8% 0.6% 4.3%

VI 3.2% 4.1% 1.3% 10.4%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 125

Appendix F: 

Marijuana Offenders

Figure F4. Demographics of Marijuana Offenders Relieved of a Drug Mandatory Minimum 

Penalty by Race of Offender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

30.6% 28.1%

49.4%

29.0% 27.3%

15.0%

29.7%

18.2%

12.0% 12.1%

45.4%

28.1%

22.1%

51.7%

36.4%

9.1% 14.1% 10.4% 7.3%

24.2%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

All Marijuana Offenders White Black Hispanic Other

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
126 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure F5. Demographics of Marijuana Offenders Relieved of a Drug Mandatory Minimum 

Penalty by Citizenship and Gender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

39.7%

23.3%

31.3%

20.7% 19.2%

10.5%

15.2% 11.5%

29.1%

58.4%

45.6%

40.4%

10.6% 7.9% 7.9%

28.9%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen Male Female

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
 127

Appendix F: 

Marijuana Offenders

Figure F6. Average Sentence Length of Marijuana Offenders

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

17 mos.

50 mos.

32 mos.

48 mos.

28 mos.

19 mos.

91 mos.

0

60

120

180

Not

Convicted of

Drug

Mandatory

Minimum

Convicted of

Drug

Mandatory

Minimum

Relieved of

Mandatory

Minimum

Substanial

Assistance

Safety Valve Substantial

Assistance &

Safety Valve

Subject to

Drug

Mandatory

Minimum

months
128 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure F7. Average Sentence for Marijuana Offenders by Demographic Characteristics

By Race

Fiscal Year 2016

29 mos.

55 mos.

26 mos.

130 mos.

37 mos.

69 mos.

40 mos.

98 mos.

23 mos.

47 mos.

32 mos.

84 mos.

25 mos.

37 mos.

22 mos.

77 mos.

0

60

120

180

All Marijuana Offenders Convicted of Drug

Mandatory Minimum

Relieved of Mandatory

Minimum

Subject to Drug

Mandatory Minimum

White Black Hispanic Other

months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 129

Appendix F: 

Marijuana Offenders

Table F3. Average Sentence for Marijuana Offenders by Citizenship and Gender

Fiscal Year 2016

All Marijuana 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,497 914 634 280

CITIZENSHIP

U.S. Citizen 30 months 59 months 35 months 96 months

Non-U.S. Citizen 22 months 42 months 29 months 85 months

GENDER

Male 27 months 51 months 32 months 92 months

Female 12 months 29 months 18 months 76 months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
130 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table F4. Sentence Relative to the Guideline Range of Marijuana Offenders

Fiscal Year 2016

All Marijuana 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 3,497 914 634 280

SENTENCE RELATIVE TO THE GUIDELINE RANGE

Within Range 47.6% 54.3% 43.7% 78.2%

Above Range 1.7% 0.8% 0.3% 1.8%

Substantial Assistance §5K1.1 12.0% 24.1% 34.7% 0.0%

Other Government Sponsored 

(no §5K1.1)

20.7% 6.9% 6.0% 8.9%

Non-Government Sponsored 

Below Range

18.0% 14.0% 15.3% 11.1%
 131

Appendix F: 

Marijuana Offenders

Figure F8. Offender Function1

Marijuana Offenders2

Fiscal Year 2009 and 2016 Sample Data

1 There were offenders in the samples whose function could not be determined. These offenders are not included in the overall percentages. 2 In the fiscal year 2009 sample, 4.9 percent of marijuana offenders had “Other” or “Miscellaneous” functions. In the fiscal year 2016 sample, 3.0 percent of 

marijuana offenders had “Other” or “Miscellaneous” functions. These percentages are not represented in the figure above. 

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

10.5%

0.8%

5.2%

1.6% 2.3%

2.3%

0.9%

54.7%

12.0%

5.0%

10.7%

0.5% 0.6%

2.4% 2.1% 2.0% 0.5%

32.1% 33.7%

12.5%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data
132 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure F9. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty and Subject to a Drug Mandatory Minimum Penalty

by Offender Function1

Marijuana Offenders

Fiscal Year 2016 Sample Data

39.4%

66.7%

50.0%

6.3%

64.3%

33.3%

21.6% 23.7%

32.5%

19.7%

33.3%

25.0%

6.3%

35.7% 33.3%

5.6% 3.6%

12.1%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of Drug Mandatory Minimum Penalty Subject to Drug Mandatory Minimum at Sentencing

1In the fiscal year 2016 sample, there were no “Street Level Dealer” marijuana offenders convicted of or subject to a drug mandatory minimum penalty, 

therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
 133

Appendix F: 

Marijuana Offenders

Figure	F10.		Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty Who Were Relieved of the Penalty by Offender Function

Marijuana Offenders1

Fiscal Year 2016 Sample Data

50.0% 50.0% 50.0%

100.0%

55.6%

100.0%

26.1%

15.1%

37.0%

28.6%

0.0% 0.0%

22.2%

10.9%

3.8%

18.5%

10.7%

50.0% 50.0%

22.2%

47.8%

75.5%

37.0%

10.7% 15.2%

5.7% 7.4%

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

1In the fiscal year 2016 sample, there were no “Street Level Dealer” marijuana offenders convicted of or subject to a drug mandatory minimum penalty, 

therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
134 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

62 mos.

84 mos.

45 mos. 38 mos.

113 mos.

26 mos.

73 mos.

23 mos. 21 mos.

37 mos. 47 mos.

70 mos.

39 mos. 30 mos.

106 mos.

31 mos.

58 mos.

18 mos. 18 mos. 28 mos.

0

50

100

150

200

250

Average Guideline Minimum Average Sentence

Figure F11. Average Guideline Minimum and Average Sentence by Offender Function

Marijuana Offenders 

Fiscal Year 2016 Sample Data

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
A

Appendix G: 

Methamphetamine
136 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Not Convicted of an 

Offense Carrying a Drug 

Mandatory Minimum 

Penalty

45.4%

(N=2,955)

Convicted of an Offense 

Carrying a Drug 

Mandatory Minimum 

Penalty

54.6%

(N=3,553)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure G1. Methamphetamine Offenders Convicted of an Offense 

Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016
 137

Appendix G: 

Methamphetamine Offenders

SOURCE: U.S. Sentencing Commission, 2016 Datafiles, USSCFY16.

Figure G2. Length of Mandatory Minimum Penalty for Methamphetamine Offenders 

Convicted of an Offense Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016

< 5 Years

0.5%

(N=16)

5 Years

36.9%

(N=1,312)

10 Years

59.5%

(N=2,113)

20 Years

2.7%

(N=96)

>20 Years

0.5%

(N=16)
138 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure G3. Number of Methamphetamine Offenders Convicted of an 

Offense Carrying a Drug Mandatory Minimum Penalty by District

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Number of Offenders: <50 50-99 100-249 250-499 500-750 >750
 139

Appendix G: 

Methamphetamine Offenders

Table G1. Demographic Characteristics of Methamphetamine Offenders

Fiscal Year 2016

All 

Methamphetamine 

Offenders

Convicted of an

Offense Carrying a Drug

Mandatory Minimum 

Penalty

Relieved of 

Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 6,508 3,553 1,707 1,846

RACE

White 38.8% 42.7% 41.2% 44.1%

Black 6.0% 6.8% 5.3% 8.3%

Hispanic 50.4% 46.2% 49.4% 43.2%

Other 4.8% 4.2% 4.1% 4.4%

CITIZENSHIP

U.S. Citizen 76.1% 77.6% 73.4% 81.6%

Non-U.S. Citizen 23.9% 22.4% 26.7% 18.4%

GENDER

Male 79.6% 84.5% 79.0% 89.5%

Female 20.4% 15.5% 21.0% 10.5%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
140 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Table G2. Guideline Sentencing Characteristics, Role in the Offense and Criminal History of 

Methamphetamine Offenders

Fiscal Year 2016

All 

Methamphetamine 

Offenders

Convicted of an

Offense Carrying a Drug

Mandatory Minimum 

Penalty

Relieved of 

Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 6,508 3,553 1,707 1,846

CHARACTERISTICS

Weapon Specific Offense 

Characteristic

17.7% 21.3% 14.4% 27.6%

Firearms Mandatory Minimum 

Applied

3.8% 5.0% 3.7% 6.1%

Safety Valve Reduction 30.8% 22.4% 46.6% 0.0%

ROLE IN THE OFFENSE

Aggravating Role 6.2% 9.0% 5.5% 12.2%

Mitigating Role 21.4% 11.3% 16.8% 6.3%

CRIMINAL HISTORY CATEGORY

I 44.5% 36.3% 54.5% 19.3%

II 12.8% 12.7% 9.9% 15.3%

III 14.3% 16.3% 12.8% 19.5%

IV 8.8% 10.9% 6.9% 14.6%

V 5.3% 6.3% 4.1% 8.4%

VI 14.3% 17.6% 11.8% 22.9%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 141

Appendix G: 

Methamphetamine Offenders

Figure G4. Demographics of Methamphetamine Offenders Relieved of a Drug Mandatory 

Minimum Penalty by Race of Offender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

52.0% 53.7%

62.8%

48.6%

54.0%

25.6%

33.7%

25.2%

17.9%

28.7%

15.7%

7.1% 8.3%

25.1%

11.3%

6.7% 5.5% 3.7%

8.4% 6.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

All Methamphetamine Offenders White Black Hispanic Other

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
142 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure G5. Demographics of Methamphetamine Offenders Relieved of a Drug Mandatory 

Minimum Penalty by Citizenship and Gender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

54.6%

42.7%

55.1%

35.1%

29.1%

14.0%

24.5%

32.3%

10.5%

33.4%

14.7%

20.7%

5.8%

10.0%

5.8%

12.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen Male Female

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
 143

Appendix G: 

Methamphetamine Offenders

Figure G6. Average Sentence Length of Methamphetamine Offenders

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

58 mos.

110 mos.

78 mos.

93 mos.

68 mos.

46 mos.

140 mos.

0

60

120

180

Not

Convicted of

Drug

Mandatory

Minimum

Convicted of

Drug

Mandatory

Minimum

Relieved of

Mandatory

Minimum

Substanial

Assistance

Safety Valve Substantial

Assistance &

Safety Valve

Subject to

Drug

Mandatory

Minimum

months
144 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure G7. Average Sentence for Methamphetamine Offenders by Demographic 

Characteristics By Race

Fiscal Year 2016

94 mos.

112 mos.

78 mos.

140 mos.

98 mos.

118 mos.

87 mos.

137 mos.

82 mos.

109 mos.

78 mos.

142 mos.

64 mos.

97 mos.

71 mos.

119 mos.

0

60

120

180

All Methamphetamine

Offenders

Convicted of Drug

Mandatory Minimum

Relieved of Mandatory

Minimum

Subject to Drug

Mandatory Minimum

White Black Hispanic Other

months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 145

Appendix G: 

Methamphetamine Offenders

Table G3. Average Sentence for Methamphetamine Offenders by Citizenship and Gender

Fiscal Year 2016

All 

Methamphetamine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum 

Penalty

Relieved of 

Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 6,508 3,553 1,707 1,846

CITIZENSHIP

U.S. Citizen 88 months 112 months 79 months 139 months

Non-U.S. Citizen 82 months 106 months 77 months 145 months

GENDER

Male 94 months 115 months 81 months 143 months

Female 58 months 83 months 66 months 115 months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
146 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table G4. Sentence Relative to the Guideline Range of Methamphetamine Offenders

Fiscal Year 2016

All 

Methamphetamine 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum 

Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 6,508 3,553 1,707 1,846

SENTENCE RELATIVE TO THE GUIDELINE RANGE

Within Range 31.1% 34.7% 15.9% 52.1%

Above Range 0.6% 0.6% 0.2% 1.0%

Substantial Assistance §5K1.1 25.9% 32.4% 67.5% 0.0%

Other Government Sponsored 

(no §5K1.1)

20.7% 12.1% 4.4% 19.1%

Non-Government Sponsored 

Below Range

21.7% 20.2% 12.0% 27.8%
 147

Appendix G: 

Methamphetamine Offenders

Figure G8. Offender Function1

Methamphetamine Offenders2

Fiscal Year 2009 and 2016 Sample Data

1 There were offenders in the samples whose function could not be determined. These offenders are not included in the overall percentages. 2 In the fiscal year 2009 sample, 8.1 percent of methamphetamine offenders had “Other” or “Miscellaneous” functions. In the fiscal year 2016 sample, 3.1 

percent of methamphetamine offenders had “Other” or “Miscellaneous” functions. These percentages are not represented in the figure above. 

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

6.4% 3.4%

6.9%

38.5%

1.1%

14.8%

3.7%

12.0%

0.4%

4.8%

13.1%

2.4% 2.5%

35.3%

0.8%

13.9%

1.3%

19.2%

2.7% 5.8%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data
148 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure G9. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum 

Penalty and Subject to a Drug Mandatory Minimum Penalty by Offender Function

Methamphetamine Offenders

Fiscal Year 2016 Sample Data

72.5% 73.3%

59.4%

69.6%

80.0%

42.1%

68.8%

27.4%

34.3%

43.2%

37.7%

43.3% 40.6%

35.9%

40.0%

21.4% 25.0%

5.7%

11.4% 13.5%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of Drug Mandatory Minimum Penalty Subject to Drug Mandatory Minimum at Sentencing

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
 149

Appendix G: 

Methamphetamine Offenders

Figure	G10.		Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory Minimum 

Penalty Who Were Relieved of the Penalty by Offender Function

Methamphetamine Offenders

Fiscal Year 2016 Sample Data

52.1%

59.1%

68.4%

51.6% 50.0% 50.7%

36.4%

20.9%

33.3% 31.3%

24.0%

40.9% 21.1%

34.7%

25.0%

38.7%

27.3%

9.0%

8.3% 15.6%

20.7%

10.5%

9.6% 5.3%

18.2%

55.2%

50.0%

31.3%

3.3% 4.1%

25.0%

5.3%

18.2% 14.9% 8.3%

21.9%

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
150 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

188 mos.

246 mos.

145 mos.

134 mos.

193 mos.

82 mos.

69 mos.

99 mos.

77 mos.

68 mos.

144 mos.

183 mos.

117 mos.

102 mos.

115 mos.

60 mos. 53 mos. 59 mos.

47 mos. 49 mos.

0

50

100

150

200

250

Average Guideline Minimum Average Sentence

Figure G11. Average Guideline Minimum and Average Sentence by Offender Function

Methamphetamine Offenders 

Fiscal Year 2016 Sample Data

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
A

Appendix H: 

Heroin
152 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Not Convicted of an Offense 

Carrying a Drug Mandatory 

Minimum Penalty

57.1%

(N=1,588)

Convicted of an Offense 

Carrying a Drug 

Mandatory Minimum 

Penalty

42.9%

(N=1,192)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Figure H1. Heroin Offenders Convicted of an Offense Carrying a Drug 

Mandatory Minimum Penalty

Fiscal Year 2016
 153

Appendix H: 

Heroin Offenders

SOURCE: U.S. Sentencing Commission, 2016 Datafiles, USSCFY16.

Figure H2. Length of Mandatory Minimum Penalty for Heroin Offenders Convicted of an 

Offense Carrying a Drug Mandatory Minimum Penalty

Fiscal Year 2016

< 5 Years

2.7%

(N=32)

5 Years

48.3%

(N=576)

10 Years

43.0%

(N=512)

20 Years

6.0%

(N=71)

>20 Years

0.1%

(N=1)
154 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure H3. Number of Heroin Offenders Convicted of an Offense Carrying a 

Drug Mandatory Minimum Penalty by District

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Number of Offenders: <50 50-99 100-249 250-499 500-750 >750
 155

Appendix H: 

Heroin Offenders

Table H1. Demographic Characteristics of Heroin Offenders

Fiscal Year 2016

All Heroin 

Offenders

Convicted of an

Offense Carrying a Drug

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 2,780 1,192 566 626

RACE

White 16.8% 10.1% 10.6% 9.6%

Black 40.0% 41.7% 27.6% 54.4%

Hispanic 42.0% 46.7% 60.4% 34.4%

Other 1.2% 1.5% 1.4% 1.6%

CITIZENSHIP

U.S. Citizen 81.3% 78.5% 67.3% 88.7%

Non-U.S. Citizen 18.8% 21.5% 32.7% 11.3%

GENDER

Male 83.7% 88.7% 83.4% 93.5%

Female 16.3% 11.3% 16.6% 6.6%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
156 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Table H2. Guideline Sentencing Characteristics, Role in the Offense and Criminal History of 

Heroin Offenders

Fiscal Year 2016

All Heroin 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of Mandatory 

Minimum Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 2,780 1,192 566 626

CHARACTERISTICS

Weapon Specific Offense 

Characteristic

13.4% 16.9% 9.5% 23.5%

Firearms Mandatory Minimum 

Applied

4.4% 4.8% 4.2% 5.3%

Safety Valve Reduction 25.7% 25.2% 52.8% 0.0%

ROLE IN THE OFFENSE

Aggravating Role 9.2% 17.2% 12.2% 21.7%

Mitigating Role 14.4% 8.7% 16.1% 2.1%

CRIMINAL HISTORY CATEGORY

I 39.8% 38.8% 60.6% 19.2%

II 12.2% 12.6% 8.5% 16.3%

III 17.6% 18.0% 11.8% 23.5%

IV 8.8% 7.6% 5.1% 9.9%

V 5.4% 5.8% 2.8% 8.5%

VI 16.3% 17.2% 11.1% 22.7%

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 157

Appendix H: 

Heroin Offenders

Figure H4. Demographics of Heroin Offenders Relieved of a Drug Mandatory Minimum 

Penalty by Race of Offender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

52.5% 50.0%

68.6%

38.7%

55.6%

22.4%

31.7%

23.4%

19.4% 22.2%

16.8%

5.8% 6.3%

28.4%

22.2%

8.3% 12.5%

1.8%

13.5%

0.0%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

All Heroin Offenders White Black Hispanic Other

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
158 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure H5. Demographics of Heroin Offenders Relieved of a Drug Mandatory Minimum 

Penalty by Citizenship and Gender

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

59.4%

27.7%

55.4%

30.4%

23.5%

18.4%

23.0%

17.8%

10.5%

39.5%

15.0%

31.1%

6.6%

14.5%

6.7%

20.7%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

U.S. Citizen Non-U.S. Citizen Male Female

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve
 159

Appendix H: 

Heroin Offenders

Figure H6. Average Sentence Length of Heroin Offenders

Fiscal Year 2016

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

42 mos.

90 mos.

56 mos.

73 mos.

47 mos.

30 mos.

120 mos.

0

60

120

180

Not

Convicted of

Drug

Mandatory

Minimum

Convicted of

Drug

Mandatory

Minimum

Relieved of

Mandatory

Minimum

Substanial

Assistance

Safety Valve Substantial

Assistance &

Safety Valve

Subject to

Drug

Mandatory

Minimum

months
160 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure H7. Average Sentence for Heroin Offenders by Demographic Characteristics

By Race

Fiscal Year 2016

45 mos.

80 mos.

59 mos.

101 mos.

79 mos.

110 mos.

65 mos.

131 mos.

55 mos.

75 mos.

52 mos.

110 mos.

52 mos.

77 mos.

41 mos.

105 mos.

0

60

120

180

All Heroin Offenders Convicted of Drug

Mandatory Minimum

Relieved of Mandatory

Minimum

Subject to Drug

Mandatory Minimum

White Black Hispanic Other

months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
 161

Appendix H: 

Heroin Offenders

Table H3. Average Sentence for Heroin Offenders by Citizenship and Gender

Fiscal Year 2016

All Heroin 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 2,780 1,192 566 626

CITIZENSHIP

U.S. Citizen 66 months 96 months 58 months 123 months

Non-U.S. Citizen 50 months 67 months 53 months 105 months

GENDER

Male 69 months 95 months 60 months 123 months

Female 31 months 52 months 37 months 87 months

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.
162 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

SOURCE: U.S. Sentencing Commission, 2016 Datafile, USSCFY16.

Table H4. Sentence Relative to the Guideline Range of Heroin Offenders Drug Offenders

Fiscal Year 2016

All Heroin 

Offenders

Convicted of an

Offense Carrying a Drug 

Mandatory Minimum Penalty

Relieved of 

Mandatory Minimum 

Penalty

Subject to Drug

Mandatory Minimum 

Penalty at Sentencing

Total (# of offenders) 2,780 1,192 566 626

SENTENCE RELATIVE TO THE GUIDELINE RANGE

Within Range 35.5% 38.8% 16.6% 58.8%

Above Range 2.7% 1.7% 0.2% 3.0%

Substantial Assistance §5K1.1 21.6% 30.7% 64.7% 0.0%

Other Government Sponsored 

(no §5K1.1)

15.0% 8.9% 3.7% 13.6%

Non-Government Sponsored 

Below Range

25.2% 20.0% 14.8% 24.6%
 163

Appendix H: 

Heroin Offenders

Figure H8. Offender Function1

Heroin Offenders2

Fiscal Year 2009 and 2016 Sample Data

1 There were offenders in the samples whose function could not be determined. These offenders are not included in the overall percentages. 2 In the fiscal year 2009 sample, 3.1 percent of heroin offenders had “Other” or “Miscellaneous” functions. In the fiscal year 2016 sample, 3.0 percent of heroin 

offenders had “Other” or “Miscellaneous” functions. These percentages are not represented in the figure above. There were no heroin offenders whose 

function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2009 and 2016 Function Datafiles, FUNCSAMPFY09 and FUNCSAMPFY16.

9.6%

4.8%

18.3%

2.2%

21.4%

4.8%

15.3%

11.4% 9.1% 9.2%

2.8%

26.5%

1.5%

30.8%

1.3%

10.6%

6.9% 7.5%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

2009 Sample Data 2016 Sample Data
164 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

Figure H9. Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty and Subject to a Drug Mandatory Minimum Penalty by Offender Function

Heroin Offenders1

Fiscal Year 2016 Sample Data

81.6% 80.0%

56.3%

87.5%

20.0%

14.3%

47.4%

27.0%

37.5% 40.8%

46.7%

35.9%

62.5%

9.1%

0.0%

14.0%

8.1% 7.5%

0.0%

20.0%

40.0%

60.0%

80.0%

100.0%

Convicted of Drug Mandatory Minimum Penalty Subject to Drug Mandatory Minimum at Sentencing

1There were no heroin offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
 165

Appendix H: 

Heroin Offenders

Figure	H10.		Percent of Offenders Convicted of an Offense Carrying a Drug Mandatory 

Minimum Penalty Who Were Relieved of the Penalty by Offender Function

Heroin Offenders1

Fiscal Year 2016 Sample Data

50.0%

58.3% 63.8%

71.4%

45.5%

29.6% 30.0%

20.0%

20.0%

41.7% 27.5% 14.3%

42.4%

100.0%

3.7%

13.3%

22.5%

5.0% 14.3% 6.1%

44.4%

30.0%

46.7%

7.5% 3.8% 6.1%

22.2%

40.0%

20.0%

0%

20%

40%

60%

80%

100%

No Relief Substantial Assistance Safety Valve Substantial Assistance & Safety Valve

1There were no heroin offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
166 

United States Sentencing Commission

Mandatory Minimum Penalties for Federal Drug Offenses (2017)

131 mos.

180 mos.

97 mos.

140 mos.

69 mos. 59 mos. 70 mos. 53 mos. 58 mos.

92 mos.

145 mos.

75 mos.

100 mos.

47 mos.

62 mos.

49 mos.

31 mos. 35 mos.

0

50

100

150

200

250

Average Guideline Minimum Average Sentence

Figure H11. Average Guideline Minimum and Average Sentence by Offender Function

Heroin Offenders1

Fiscal Year 2016 Sample Data

1There were no heroin offenders whose function was “grower or manufacturer,” therefore, this function is not depicted.

SOURCE: U.S. Sentencing Commission, 2016 Function Datafile, FUNCSAMPFY16.
 167

Appendix H: 

Heroin Offenders