Guide to Publications & Resources

2000 – 2001
Table of Contents

Introduction ................................................................... 1

GPO Regional Depository Libraries ......................................... 1

Publication and Resource Availability .............................................. 2

Information Resources .......................................................... 3

HelpLine ............................................................... 3

Internet Site ............................................................. 3

Video and Audio Tapes ................................................... 3

Newsclips, Public Comment, and Official Records .............................. 5

Library Resources ....................................................... 7

Training ............................................................... 7

Commission Publications ........................................................ 8

Guidelines Manuals ...................................................... 8

Annual Reports .......................................................... 9

Reports to Congress ..................................................... 10

Legal Briefs ........................................................... 15

Policy Development Team & Working Group Reports ........................... 17

Staff Discussion Papers – Simplification Project ............................... 27

Other Reports and Publications ............................................ 29

Commission Data ............................................................. 37

Monitoring Datasets ..................................................... 37

Historical Datasets ...................................................... 45

Special Study Datasets ................................................... 46

Index by Publication Title ..................................................... A-1

Index by Subject ............................................................. B-1
Guide to Publications & Resources # 2000–2001

1

Introduction

The United States Sentencing Commission, created by the Sentencing Reform Act of 1984,

establishes for the federal courts sentencing policies and practices that further the purposes and

objectives set forth in the Act. The Commission is specifically directed by the Act (1) to establish

a research and development program; (2) to provide a clearinghouse and information center for the

collection, preparation, and dissemination of information on federal sentencing practices; and (3)

to serve in a consulting capacity in the development, maintenance, and coordination of sound

sentencing practices. The Commission conducts research in support of its mandate, compiles

information on data sources and relevant criminal justice studies, and collects data on guidelines

application and other federal criminal justice processes to inform the Congress, the criminal

justice community, and the public.

GPO Regional Depository Libraries

Under an agreement with the Government Printing Office, copies of all basic Sentencing

Commission publications are made available in hard copy or on microfiche to patrons using the

GPO Regional Depository Libraries across the nation.

The location of the nearest Federal Depository Library can be determined in several ways: 

(1) request a free copy of the Directory of Depository Libraries from the U.S. Government Printing

Office, Library Programs Services, Stop: SLLD, Washington, DC 20401; (2) ask your local

library for the address of the nearest Federal Depository Library; and (3) use the Internet:

http://www.access.gpo.gov/su_docs/locators/findlibs/index.html.
United States Sentencing Commission

2

Publication and Resource Availability

The Commission seeks to carry out its congressional mandates through the most efficient

use of government resources and consistent with its agreement with the Administrative Office of

the U.S. Courts regarding the confidentiality of certain documents. Public access is available to

all items listed in this Guide to Publications & Resources. Some may be downloaded from the

Commission’s web site, some are available on request, others are placed in libraries across the

nation, and still others must be viewed on-site. Availability is indicated by the following codes:

USSC

OnLine

Available on Commission’s Internet site at the address

http://www.ussc.gov. See page 3 for details.

SC-Request On request from the Sentencing Commission while

supplies last, then on-site inspection.

SC-Inspect On-site inspection at the Sentencing Commission.

SC-Loan From the Sentencing Commission for 24-hour loan.

GPO From the Government Printing Office for a fee.

RDL On-site inspection at GPO Regional Depository Libraries. 

See page 1 for details.

Publisher From private publishers as indicated.

ICPSR From the Inter-University Consortium for Political and

Social Research, University of Michigan (data only).

www.ICPSR.umich.edu/NACJD/archive.html

Address publication inquiries to:

United States Sentencing Commission

Office of Publishing and Public Affairs

One Columbus Circle, N.E.

Suite 2-500

Washington, D.C. 20002-8002

pubaffairs@ussc.gov

Publications Request Line: 202-502-4568
Guide to Publications & Resources # 2000–2001

3

Information Resources

HelpLine (202–502–4545)

The Commission operates a telephone HelpLine to assist judges, probation officers,

prosecuting and defense attorneys, law clerks, and congressional staff members with

guideline application questions. The HelpLine is open to callers Monday through Friday

between 8:30 a.m. and 5:00 p.m., EST. 

Internet Site – www.ussc.gov

Visitors to the Commission’s web site (USSC OnLine) at the address www.ussc.gov can

browse as well as download Commission documents and materials. USSC OnLine is

organized into nine categories: What’s New, General Information, Reports to Congress,

Publications, Guidelines Manuals and Amendments, Guideline Training and Education,

Federal Sentencing Statistics, Commission Meeting Information, and Hearing Transcripts

and Testimony. The web site provides links to other federal judicial agencies, and features

information about state sentencing commissions, the Judicial Fellows Program, and

Commission employment opportunities.

Video and Audio Tapes

Audio and Videotape Sets: Drugs & Violence in America (June 16-18, 1993).

SC-Loan.

These two collections of ten video and nine audio tapes record the Commission’s

symposium on Crime and Punishment in the United States. This first symposium, Drugs &

Violence in America, studied drug abuse and violence from three perspectives: causation,

prevention, and treatment. Participants included the Chief Justice of the United States, the

Attorney General, members of Congress, state officials, federal and state judges and

corrections officials, and law enforcement personnel.

Instructional Videotape on Guideline Amendments (November 1, 1993).

SC-Loan.

This training videotape, developed by the Sentencing Commission, highlights significant

new guideline amendments that took effect on November 1, 1993. In the 45-minute

presentation, members of the Commission’s staff explain the effects of changes to the drug

guidelines, the consolidation of numerous guidelines, revisions to the tax guidelines,

additions to the retroactivity policy statement, and other amendments.
United States Sentencing Commission

4

Videotape Set: Corporate Crime in America: Strengthening the <Good Citizen’ Corporation

(September 7-8, 1995).

SC-Loan.

This collection of ten videotapes records the Commission’s second symposium on Crime

and Punishment in the United States. This corporate crime symposium focused on changes

in corporate and business culture since sentencing guidelines for organizational offenders

became effective in 1991. Symposium presentations also addressed topics and policy

issues raised in the wake of the guidelines’ new emphasis on effective compliance

programs.

Instructional Videotape on Guideline Amendments (December 1995).

SC-Loan.

This 35-minute training videotape examines the most important of the 25 amendments to the

sentencing guidelines that took effect November 1, 1995. Most of the 1995 guideline

amendments were the direct result of congressional directives, instructions, or statutory

changes contained in crime legislation enacted in 1994.

Instructional Videotape on Guideline Amendments (November 1997).

SC-Loan.

This 20-minute training videotape examines the most important of the amendments to the

sentencing guidelines that took effect November 1, 1997. The majority of the amendments

discussed respond to congressional directives, including those that increase penalties for

methamphetamine and immigration offenses. Accompanying the video is a written

reference guide that provides additional information about all of the new amendments.

Videotape on Federal Sentencing Guidelines Application (May 19, 1999).

SC-Loan.

This video is designed to provide an introduction to guidelines application for those with

limited federal sentencing guidelines experience. The video, featuring staff members from

the Commission’s training and legal staff, was taped at the Eighth Annual National Seminar

on the Federal Sentencing Guidelines.

Videotape: Restitution – Determining Victims and Harms for Restitution in Federal Criminal

Cases (July 1999).

SC-Loan.

This videotape, presented by representatives of the U.S. Sentencing Commission and the

Administrative Office of the U.S. Courts, reviews the Mandatory Victims Restitution Act

as well as other federal laws related to restitution. It was designed primarily to assist

judges and probation officers step-by-step to determine the amount of restitution owed.
Guide to Publications & Resources # 2000–2001

5

Videotape: Sentencing Guidelines – Departure Analysis (March 1, 2000).

SC-Loan.

This two-hour videotape about departures was broadcast on the Federal Judicial

Television Network. Panelists from the Commission’s training and legal staff use various

scenarios to illustrate the ways in which departure issues should be handled.

Newsclips, Public Comment, and Official Records

A collection of guidelines-related news clippings. 

SC-Inspect.

Files of public comment from individuals and organizations. 

SC-Inspect.

Minutes of Commission meetings.

(1992-present — USSC OnLine; RDL; pre-1992 — SC-Inspect; RDL.)

United States Sentencing Commission Public Hearing Transcripts.

SC-Inspect; SC-Loan; RDL.

United States Sentencing Commission Public Hearings

Date Location Topic

April 15, 1986 Washington, DC Offense Seriousness

May 22, 1986 Washington, DC Prior Criminal Record

June 10, 1986 Washington, DC Organizational Guidelines

July 15, 1986 Washington, DC Sentencing Options (no transcript)

September 23, 1986 Washington, DC Plea Agreements (no transcript)

October 17, 1986 Chicago, IL Individual Guidelines

October 21, 1986 New York, NY Individual Guidelines

October 29, 1986 Atlanta, GA Individual Guidelines

November 5, 1986 Denver, CO Individual Guidelines

November 18, 1986 San Francisco, CA Individual Guidelines

December 2-3, 1986 Washington, DC Individual Guidelines

February 17, 1987 Washington, DC Capital Punishment
United States Sentencing Commission

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March 11-12, 1987 Washington, DC Individual Guidelines

March 22, 1988 Washington, DC Individual Guidelines (no transcript)

October 11, 1988 New York, NY Organizational Guidelines

December 2, 1988 Pasadena, CA Organizational Guidelines

April 7, 1989 Washington, DC Individual Guidelines

February 14, 1990 Washington, DC Organizational Guidelines

March 15, 1990 Washington, DC Individual Guidelines

December 13, 1990 Washington, DC Organizational Guidelines

March 5, 1991 Washington, DC Individual Guidelines

February 25, 1992 Washington, DC Individual Guidelines

March 22, 1993 Washington, DC Individual Guidelines

November 9, 1993 Washington, DC Cocaine and Sentencing Policy

March 24, 1994 Washington, DC Individual Guidelines

March 14, 1995 Washington, DC Individual Guidelines

March 11, 1996 Washington, DC Individual Guidelines

August 12, 1996 Denver, CO Guideline Simplification

March 18, 1997 Washington, DC Individual Guidelines

October 15, 1997 Washington, DC Definition of Loss

February 10, 1998 Washington, DC Telemarketing Fraud

March 5, 1998 San Francisco, CA Theft, Fraud, and Tax Crimes

March 12, 1998 Washington, DC Individual Guidelines

June 17, 1998 Washington, DC Individual Guidelines

March 23, 2000 Washington, DC Individual Guidelines

Library Resources
Guide to Publications & Resources # 2000–2001

7

SC-Inspect.

The Commission library, open to the public by appointment, contains a collection of

publications on criminal justice and sentencing-related issues.

Training

USSC OnLine.

A variety of exercises, visual aids, and other training materials designed by the

Commission are available to the public.

The Drug Conversion Software Program helps to determine marijuana equivalencies of

various drugs to aid calculation of the base offense level for offenses involving different

types of drugs. Once the type of drug, amount, and unit of measurement are entered, the

program will compute the marijuana equivalency in kilograms for each type of drug. This

program has been revised to incorporate the 1997 amendments related to flunitrazepam and

methamphetamine. This program cannot be used for offense conduct involving these two

drugs that occurred prior to

November 1, 1997.
United States Sentencing Commission

8

Commission Publications

Guidelines Manuals

The Guidelines Manual (1987-present) contains the official guidelines, policy statements,

and commentary issued by the Sentencing Commission. Prior to their implementation on

November 1, 1987, the Commission issued two drafts for public comment. Each

succeeding edition incorporates amendments generated during the previous amendment

cycle.

Preliminary Draft, Sentencing Guidelines (September 1986). 

SC-Inspect; RDL.

Revised Draft, Sentencing Guidelines (January 1987). 

SC-Inspect; RDL.

Sentencing Guidelines and Policy Statements (Submitted to Congress on

April 13, 1987).

SC-Inspect; RDL.

Guidelines Manual (Effective 11/1/87). 

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 01/15/88). 

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 06/15/88). 

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 10/15/88). 

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 11/01/89). 

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 11/01/90).

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 11/01/91).

2 volumes.

SC-Inspect; RDL.

Amendments to the Guidelines Manual Mandated By Public Law 102-141

(Effective 11/27/91).

SC-Request; RDL.
Guide to Publications & Resources # 2000–2001

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Guidelines Manual (Amendments effective 11/01/92).

2 volumes.

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 11/01/93).

2 volumes.

SC-Inspect; RDL.

Guidelines Manual (Amendments effective 11/01/94).

2 volumes.

USSC OnLine; RDL.

Guidelines Manual (Amendments effective 11/01/95).

2 volumes.

USSC OnLine; RDL.

Amendments to the Sentencing Guidelines (Effective 11/01/96).

USSC OnLine; RDL.

Guidelines Manual (Amendments effective 11/01/97).

2 volumes.

USSC OnLine; RDL.

Guidelines Manual (Amendments effective 11/01/98).

2 volumes.

USSC OnLine; RDL.

Supplement to the 1998 Guidelines Manual (Amendment effective 05/01/00).

USSC OnLine; RDL.

Guidelines Manual (Amendments effective 11/01/00).

2 volumes.

USSC OnLine; GPO; Publisher (West, Matthew Bender, McGraw-Hill, Aspen Law and

Business); RDL.

Annual Reports

The Commission’s Annual Report has increased in size and coverage since being

introduced in 1986. It reports on Commission activities and research data covering the

fiscal year ending prior to publication. The Annual Report includes a Commission

overview, discussion of recent amendments to the sentencing guidelines and current legal

issues, and (for the years 1988-1995) extensive data on sentencing guideline application in

the form of tables and graphics.

Annual Report (1986 - present).

USSC OnLine (1995-present); SC-Request; SC-Inspect; RDL.
United States Sentencing Commission

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Sourcebook of Sentencing Statistics (1996-present).

USSC OnLine; SC-Request; RDL.

Beginning in 1996, the descriptive statistics portion of the Annual Report was placed in

this companion volume. The book contains demographic data on individual defendants,

guideline application, organizational sentencing practices, and sentencing appeals. In

addition, it provides selected district, circuit, and national sentencing data.

Reports to Congress

Supplementary Report on the Initial Sentencing Guidelines and Policy Statements

(June 18, 1987). 

SC-Inspect; RDL.

This report supplements and further explains the sentencing guidelines, policy statements,

and related commentary submitted to Congress on

April 13, 1987, along with the technical, conforming, and clarifying amendments submitted

on May 1, 1987. It also provides a brief historical overview of the Sentencing Reform Act

of 1984, a summary of the Commission’s guidelines development process, and an analysis

of the expected effects of the guidelines and related legislation on federal correctional

resource requirements.

Statutory Penalties Project Description and Compilations of Federal Criminal

Offenses – Preliminary Report to the Congress (November 1, 1989). 

SC-Inspect; RDL.

The Sentencing Commission is charged with reviewing penalty provisions of federal

criminal statutes and suggesting appropriate changes. This report is organized into three

sections. The first organizes federal statutes into 18 generic crime groups by title and

section of the U.S. Code. The second organizes the statutes into 18 generic crime groups

according to the maximum penalty contained in each statute. The third organizes all

statutes that fall within one of the most frequently prosecuted offense types according to the

maximum penalty for the offense.
Guide to Publications & Resources # 2000–2001

11

Supplementary Report to the Congress: Statutory Penalty Review Project

(February 13, 1991). 

SC-Inspect; RDL.

This report identifies four groups of statutory penalties that appear inconsistent with the

goals of sentencing reform as identified in the 1984 Act: (1) Offenses in Deprivation of

Civil Rights, (2) Assault, (3) The Travel Act, and (4) Involuntary Manslaughter. In

general, the report makes recommendations designed to remove various impediments

created by statutory maximum penalties.

Special Report to the Congress: Mandatory Minimum Penalties in the Federal Criminal Justice

System (August 1991).

USSC OnLine; SC-Request; Publisher (West); RDL.

This report responds to a statutory directive that the Commission examine the compatibility

of the sentencing guidelines and mandatory minimum penalties, the effect of mandatory

minimums on the federal system, and congressional alternatives to mandatory minimums for

directing sentencing policy. It includes an historical overview of mandatory minimum

penalties in the federal system, a synopsis of the development of guideline sentencing, and

a detailed empirical study of mandatory minimums. The study uses monitoring data of the

Sentencing Commission as well as data collected for use in the Commission’s evaluation

study.

Supplementary Report on Sentencing Guidelines for Organizations

(August 30, 1991). 

SC-Loan; RDL.

This report supplements the sentencing guidelines for organizational defendants (Chapter

Eight of the Guidelines Manual, effective November 1, 1991). It addresses guideline

background, structure, underlying rationale, empirical bases, and significant estimated

effects. Chapter One discusses Commission procedures in developing the organizational

guidelines. Chapter Two addresses the Commission’s resolution of major issues. Chapter

Three examines the structure of past practice for fines imposed on organizations, the

magnitude of average fines imposed, and the probable effect of the guidelines on the level

of fines.

The Federal Sentencing Guidelines: A Report on the Operation of the Guidelines System and

Short-Term Impacts on Disparity in Sentencing, Use of Incarceration, and Prosecutorial Discretion

and Plea Bargaining (December 1991) 2 volumes and Executive Summary.

SC-Request; RDL.

This report fulfills a requirement in the Sentencing Reform Act of 1984 that the

Commission study the impact of the guidelines on the criminal justice system four years

after their implementation. The study examines the impact of the guidelines on

prosecutorial discretion, plea bargaining, disparities in sentencing, and the use of

incarceration. 
United States Sentencing Commission

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Study results were based on data obtained from interviews conducted with judges and

federal court practitioners as well as data from the Federal Bureau of Prisons, the U.S.

Parole Commission, the Executive Office for U.S. Attorneys, the Administrative Office of

the U.S. Courts, and the Commission’s monitoring system.

Analysis of Sentencing-Related Provisions of S. 2305 and H.R. 3371 Conference Report Crime

Bills (Spring 1992).

SC-Request; RDL.

This report analyzes and compares two crime bills considered during the 102nd Congress: 

S. 2305, introduced by Senator Thurmond in 1992, and H.R. 3371, a conference bill that

passed the House of Representatives in October 1991 but never came to a vote in the

Senate. The report includes suggested technical modifications along with general

recommendations regarding the proposed legislation.

Analysis of the Violent Crime Control and Law Enforcement Act of 1994 (H.R. 3355) (February

22 and June 8, 1994).

SC-Request; RDL.

This two-part report, prepared at the request of the chairmen of two House Judiciary

Subcommittees, analyzes and offers recommendations regarding key provisions in the

Senate and House versions of the crime bill. It includes analyses of the bill’s “three

strikes,” mandatory minimum “safety valve,” and enhanced firearm penalty provisions

along with prison impact assessments.

Report to Congress on the Maximum Utilization of Prison Resources

(June 30, 1994).

SC-Request; RDL.

In response to a directive in the Sentencing Reform Act of 1984, the Sentencing

Commission and the Federal Bureau of Prisons jointly prepared this report which

examines: (1) the modernization of existing facilities; (2) the use of existing federal and

other surplus facilities; and (3) inmate classification and periodic review of such

classification for use in placing inmates in the least restrictive facility necessary to ensure

adequate security. Examining key programs, the report discusses inmate employment,

alternatives to incarceration, “boot camps,” drug treatment, family issues, and literacy and

education.

Special Report to the Congress: Cocaine and Federal Sentencing Policy

(February 1995).

USSC OnLine; SC-Request; RDL.

This report responds to a statutory directive that the Commission examine federal

sentencing policy as it relates to powder and crack cocaine and make recommendations for

appropriate changes. The report examines the pharmacology, methods of use, and public
Guide to Publications & Resources # 2000–2001

13

health impact of cocaine; the drug’s effects on society; cocaine distribution and marketing;

cocaine’s relationship to crime; the legislative history of cocaine penalties and

constitutional challenges; and data related to federal drug offenders. The study includes a

thorough review of available research, an analysis of cocaine sentences imposed under the

sentencing guidelines, and recommendations that the Commission and the Congress make

appropriate adjustments to the guidelines and the underlying statutes.

Report to the Congress: Adequacy of Penalties for the Intentional Exposure of Others, through

Sexual Activity, to the Human Immunodeficiency Virus

(March 1995).

USSC OnLine; RDL.

In response to a statutory directive, the Commission reported on whether revisions to the

sentencing guidelines were needed to accommodate offenses involving willful exposure to

HIV. The report examines (1) the operation of the guidelines given the absence of a

specific federal statute punishing the intentional transmission of HIV; (2) cases sentenced

in fiscal year 1993 to determine the frequency with which HIV exposure was an issue at

sentencing; and (3) pertinent case law.

Report to the Congress: Adequacy of Penalties for Fraud Offenses Involving Elderly Victims

(March 1995).

USSC OnLine; RDL.

This report responds to a congressional directive to review the adequacy of victim-related

guideline adjustments for fraud offenses against older victims. The report includes (1) an

overview of the legislative history leading to the statutory directive; (2) a discussion of the

operation of the relevant sentencing guidelines and policy statements; (3) an examination of

case law; and (4) an empirical analysis of relevant sentencing data.

Report to the Congress: Analysis of Penalties for Federal Rape Cases

(March 1995).

USSC OnLine; RDL.

Responding to a statutory directive, this report (1) compares federal sentences for cases in

which the rape victim is known to the defendant with cases in which the victim is not

known; (2) compares federal sentences for cases involving offenses occurring on federal

territory with sentences in surrounding states; and (3) analyzes the effect of rape sentences

on populations residing in federal territory. The report discusses relevant sentencing

guidelines, compares federal and state penalties for sexual assault, and analyzes Sentencing

Commission sexual abuse data.

Analysis of the Sentencing-Related Provisions of the Senate Committee Print of the Immigration

Reform Act of 1995 (Winter 1996).

SC-Request; RDL.
United States Sentencing Commission

14

This report analyzes the principal criminal penalty provisions of the Senate Committee

Print of the Immigration Reform Act of 1995. The analysis was prepared in response to a

January 24, 1996, request from Senator Edward M. Kennedy, the ranking minority member

of the Senate Immigration Subcommittee. The report includes recommendations for

changes to the bill to more fully achieve the goals of the Sentencing Reform Act of 1984. 

Report to the Congress: Sex Offenses Against Children (June 1996).

USSC OnLine; RDL.

This report analyzes all 1994 and 1995 cases involving sexual abuse, child pornography,

or the promotion of illegal sexual contact. The report responds to a congressional

directive in the Sex Crimes Against Children Prevention Act of 1995. Pertinent statutory

provisions are analyzed and recommendations are presented. 

Report to the Congress: Adequacy of Federal Sentencing Guideline Penalties for Computer Fraud

and Vandalism Offenses (June 1996).

USSC OnLine; RDL.

This report responds to the Antiterrorism and Effective Death Penalty Act of 1996’s

directive to review the deterrent effect of existing guidelines as they apply to various

computer crimes. The Commission reviewed its data on guideline convictions under the

pertinent statute, conducted a search to determine whether any recidivism had occurred,

developed a profile of a “typical offender,” and conducted a literature review of

deterrence studies of “white collar” crime.

Special Report to Congress: Cocaine and Federal Sentencing Policy (April 1997).

USSC OnLine; RDL.

This report contains Sentencing Commission recommendations regarding penalties for

powder and crack cocaine. The report, made pursuant to a congressional directive,

recommends that the current penalty differential for federal powder and crack cases be

reduced by changing quantity levels that trigger mandatory minimum penalties for both

powder and crack. Recommended are a range of possible options to adjust both powder

and crack penalties. Appended to this report is Vice Chairman Gelacak’s Concurring

Opinion.

Report to the Congress: Sentencing Policy for Money Laundering Offenses, Including Comments

on Department of Justice Report (September 18, 1997).

USSC OnLine; RDL.

This report responds to a congressional directive to comment on the Department of

Justice’s report on federal prosecutorial charging and plea practices affecting money

laundering. In the report, the Commission reported that the broad and inconsistent use of

money laundering penalties, coupled with an inflexible, arbitrarily determined guideline

structure, is resulting in substantial unwarranted disparity and disproportionality. 
Guide to Publications & Resources # 2000–2001

15

Report to the Congress: Telemarketing Fraud Offenses–Explanation of Recent Guideline

Amendments (October 1998).

USSC OnLine; RDL.

This report was submitted in response to the Telemarketing Fraud Prevention Act of 1998. 

It includes an explanation of actions taken by the Commission to promulgate or amend

sentencing guidelines to provide for increased penalties for persons convicted of offenses

relating to the conduct of telemarketing. It also estimates the impact of the amendments

described in the report.

Legal Briefs

Brief for the United States Sentencing Commission as amicus curiae in Mistretta v. United States,

488 U.S. 361 (1989). 

SC-Inspect; RDL.

Mistretta involved four separation of powers issues as well as a contention that Congress

had excessively delegated its legislative authority. In its amicus brief, the Sentencing

Commission principally argued that (1) the structure of the Commission was not violative

of separation of powers provisions and did not involve any congressional selfaggrandizement; (2) neither the executive nor the judicial branches are disrupted by the

delegation of the Commission to the judiciary; (3) the mixed composition of the

Commission does not violate separation of powers because judges may take part in extrajudicial tasks, and the prohibition against sharing the “judicial power of the United States”

with the executive branch is inapplicable; and (4) removal powers granted to the President

in no way threaten the tenure or salary of the judges.

Brief for the United States Sentencing Commission as amicus curiae in United States v. Lopez,

938 F.2d 1293 (D.C. Cir. 1991). 

SC-Inspect; RDL.

In this brief, submitted at the request of the court, the Commission contended that (1) a

court could not set aside a sentencing guideline or policy statement for failure of the

Commission to articulate adequately the basis and purpose of the provision, and (2) the

Commission had provided an appropriate statement of reasons for its guidelines and policy

statements. The Commission illustrated the reasons why the Administrative Procedures

Act (APA) did not apply to the Sentencing Commission, with the exception of two

individual provisions found within 5 U.S.C. § 553(c) dealing with publication and public

hearing procedures. The Commission asserted that it need only support its guideline

decisions with a “report [to Congress] stating the reasons for the Commission’s

recommendations.”

Brief for the United States Sentencing Commission as amicus curiae in United States v. Bell, 991

F.2d 1445 (8th Cir. 1993).

SC-Inspect; RDL.
United States Sentencing Commission

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The United States Sentencing Commission filed a brief of amicus curiae in support of the

Government’s position as appellant that the ex post facto clause is not applicable to

sentencing guideline amendments. The Commission’s brief contended that the guidelines

themselves are not laws and therefore not subject to ex post facto restrictions because (1)

the procedure through which guideline amendments are promulgated involves no

legislative action; (2) judges retain discretion to sentence outside the guidelines as a result

of a flexible departure standard; and (3) the guidelines do not reclassify substantive crimes

but are based on statutory offense categories.

Memorandum of Law by the United States Sentencing Commission as amicus curiae in United

States v. McLellan, Criminal Action No. 1:91-CR-326A-01 (JOF) (N.D.GA. 1995).

SC-Inspect.

In this case, the defendant moved to invalidate the U.S. Sentencing Commission and the

sentencing guidelines on separation of powers grounds. The defendant contended that the

Supreme Court decision in Mistretta v. U.S. resolved only the facial validity of the

Sentencing Reform Act and that, irrespective of the Court’s decision, the Commission’s

actions in implementing the Act had violated the separation of powers doctrine. In its

memorandum of law as amicus curiae, the Commission argued that in resolving conflicts

of sentencing law among the federal circuits, advising Congress on sentencing issues, and

conducting studies of sentencing issues, it was fulfilling duties mandated by the Act. These

duties were all found to be proper for the Commission in Mistretta, and thus the

Commission was in no way stepping outside the bounds of its constitutional role in

fulfilling them.

Policy Development Team & Working Group Reports

Inter-disciplinary panels of Commission staff (“working groups” and policy development

teams) produce reports and documents on specific topic areas identified by commissioners. 

The groups study specific guideline issues, identify areas of concern, and make

recommendations to the Commission.

Criminal Livelihood Working Group Report (March 23, 1988).

SC-Loan; RDL.

This report examines various issues relevant to the criminal livelihood guideline (§4B1.3),

including (1) difficulties in applying the guideline, (2) the guideline’s impact on lowerincome petty offenders, and (3) the point at which the guideline is calculated (i.e., before

or after calculation of Acceptance of Responsibility). The working group analyzed

legislative history, constitutional issues, monitoring data, and possible modifications to the

guideline.

Career Offender Guidelines Working Group Report (March 25, 1988).

SC-Loan; RDL.
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This report examined career offender guideline questions (§§4B1.1 and 4B1.2) arising

from hotline calls and a training survey. The working group also examined a Seventh

Circuit case that raised issues of “ambiguity” in the guidelines. The working group report

includes a review of 18 U.S.C. § 924(e) and the career offender guideline, examining the

development, the legislative history, and the operation of the statute and the guideline. The

report examines specific career offender guideline issues and proposals.

Bank Robbery Working Group Report (March 29, 1989).

SC-Loan; RDL.

This working group report includes (1) an analysis of preguidelines sentencing practice for

bank robbery offenses drawn from the 1985 augmented FPSSIS data, designed to permit

Commission comparison between past practice and the guidelines; (2) an analysis of time

served by offenders in cases involving unarmed robbery of one bank in which no deaths,

injuries, or abductions occurred and the offender had no prior adult convictions and did not

warrant consideration as a minor participant or a leader; and (3) an analysis of key offense

and offender characteristics of 146 bank robbery cases sentenced under the guidelines.

Drugs, Firearms, and Violent Offenses Working Group Report

(December 18, 1989).

SC-Loan; RDL.

The working group, in assessing areas for proposed amendments, consulted current and

pending legislation, hotline calls, Commission sentencing data, case law, public comment,

Department of Justice proposals, and information from the Bureau of Alcohol, Tobacco,

and Firearms. The report recommends restructuring the arson guideline (§2K1.4) to raise

the base offense level and to address the more mainstream arson cases. In addition, it

recommends clarification of the application notes for drug guidelines 2D1.1 and 2D1.2. 

Following its review of the firearms guidelines, the group proposed amending guideline

2K2.1 to cover violations of 18 U.S.C. § 924(e). The group also proposed changes to the

murder-for-hire guideline for conspiracy or solicitation to murder and recommended

restructuring the guideline covering assault with intent to commit murder (§2A.1.1).

Revocation Working Group Report (December 18, 1989).

SC-Loan; RDL.

This working group’s goal was the development of guidelines for violations of probation

and supervised release that would replace the policy statements in Chapter Seven of the

Guidelines Manual. The group reviewed existing policy statements, relevant literature,

legislative history, statistical data, recommendations from the Department of Justice, and

an internal draft of proposed guidelines for violation and revocation procedures.

Criminal History Working Group Report (December 20, 1989).

SC-Loan; RDL.
United States Sentencing Commission

18

This working group analyzed issues regarding the addition of a Criminal History Category

VII to the sentencing table and reviewed data on the distribution of criminal history points

and departures due to adequacy of criminal history. The group also analyzed issues

regarding the assignment of criminal history points to uncounseled misdemeanor

convictions and reviewed practices and policies with respect to counting such convictions

for criminal history purposes.

Role in the Offense Working Group Report (January 4, 1990).

SC-Loan; RDL.

The working group evaluated the operation of the role in the offense guidelines: guideline

3B1.1 (Aggravating Role – particularly the organizer-leader-supervisor-manager

distinction and the “otherwise extensive” provision) and guideline 3B1.2 (Mitigating Role

– particularly the treatment of relative culpability of defendants). The working group

analyzed potential problems in the application of these guidelines by examining

preguidelines cases, Commission data, case files, appellate case law, and departure cases.

Working Group Report on Child Pornography, Obscenity Offenses, and Hate Crimes (January 16,

1990).

SC-Loan; RDL.

The working group reviewed a broad range of resources in considering potential

amendments to the guidelines for offenses involving prostitution, sexual exploitation of

minors, obscenity, and civil rights. The report contains a collection of relevant statutes,

discusses the legislative history, digests data from Commission case files, and discusses

court decisions. The report also reviews guideline application issues originating from

hotline calls and public comment on proposed guideline amendments. 

Aliens Working Group Report (October 18, 1990).

SC-Loan; RDL.

The working group studied guidelines pertaining to violations of immigration,

naturalization, and passport laws (§§2L1.1, 2L2.1, and 2L2.3). The group found that the

specific offense characteristic in each of these guidelines, based on whether the defendant

previously had been convicted of the same or a similar offense, was not an adequate

measure of the scope of the offense. The working group considered public comment and

studied pertinent case files to construct an alternative set of specific offense characteristics

for those guidelines. Based on its case analysis, the working group suggested that a more

direct measure of the scope of the offense would be tables listing offense levels based on

the number of individuals or documents involved in the offense.

Drug Working Group Report – Listed Chemicals (November 13, 1990).

SC-Loan; RDL.

The working group examined the Chemical Diversion Trafficking Act,
Guide to Publications & Resources # 2000–2001

19

21 U.S.C. § 841(d), to develop recommendations for guideline sanctions against conduct

proscribed by the Act. The group summarized the legislative history of the Act and its

primary listed chemical offenses, profiled offenders and cases brought under the Act,

reviewed monitoring data, summarized appellate case law, and proposed two guideline

amendment options.

Working Group Report on Category 0/VII (November 20, 1990).

SC-Loan; RDL.

The working group examined the feasibility and consequences of expanding the sentencing

table to include a Criminal History Category VII and creating a new category for “first

offender.” By analyzing Commission data and case law, the group profiled defendants who

might fall under Criminal History Categories 0 and VII. The group explored theoretical

and practical considerations involved in defining “first offender” and surveyed the

potential impact of various options.

Bank Robbery Working Group Report (December 10, 1990).

SC-Loan; RDL.

To inform the Commission about potential amendment options, the working group explored

three issues of concern about the way in which offenders are sentenced pursuant to the

robbery guideline: (1) Are offense levels for unarmed bank robbery too low?

(2) Are the enhancements for weapon use sufficient? (3) Should an enhancement be

provided for bank robberies committed but that do not lead to a conviction? The group

studied Commission data, hotline reports, appellate court decisions, nationwide data

provided by the FBI, and input from practitioners.

Firearms and Explosive Materials Working Group Report (December 11, 1990).

SC-Loan; RDL.

The working group studied the firearms and explosives guidelines by reviewing

Commission data, case files, and appellate decisions and by soliciting input from

appropriate agencies and interested parties. The group proposed combining a number of

firearms and explosives guidelines to eliminate duplication and confusion in application

and to incorporate additional specific offense characteristics.

Acceptance of Responsibility Working Group Report (October 16, 1991). 

SC-Loan; RDL.

This working group undertook a broad examination of the acceptance of responsibility

guideline (§3E1.1) in response to a request from the Criminal Law Committee of the

Judicial Conference for additional mitigation at higher offense levels. The group focused

specifically on (1) whether the guideline was being interpreted and applied consistently

across the country; (2) whether the guideline provided an appropriate offense level

reduction; (3) whether the guideline needed to differentiate more precisely among
United States Sentencing Commission

20

defendants; and (4) whether factors that the guideline did not consider would help a court

determine when the reduction was warranted.

Criminal History Working Group Report: Category 0, Category VII, Career Offender (October 17,

1991). 

SC-Loan; RDL.

This working group examined (1) the possible modification of criminal history categories

by adding a Category 0 and/or Category VII and (2) factors to narrow or expand the

applicability of the career offender guideline. The group explored various methods of

defining a “first offender” (a possible criterion for Criminal History Category 0). The

group also examined the data to develop the criminal history point boundary for Category

VI to define eligibility for a new Category VII. A supplemental report was submitted

February 21, 1992.

Preliminary Report to the Commission: Staff Working Group on Alternatives

(October 23, 1991). 

SC-Loan; RDL.

In 1990, the Judicial Conference of the United States and the Alternatives to Imprisonment

Project chaired by Commissioner Helen G. Corrothers submitted reports to the

Commission recommending an increase in the number of existing intermediate punishments,

an expansion of the pool of eligible defendants, and a general increase in district courts’

flexibility in sentencing certain offenders. This working group undertook a coordinated

assessment of the two reports and examined written comments and public hearing testimony

about alternatives.

Child Sex Offense Working Group Report (December 1991). 

SC-Loan; RDL.

Congress directed the Sentencing Commission to amend guidelines for offenses involving

sexual crimes against children if the Commission determined that current penalties were

inadequate. In response, the child sex offense working group conducted a study of

sentences for sexual abuse, kidnapping, and pornography cases.

Drug Working Group Report (March 27, 1992).

SC-Loan; RDL.

The working group reviewed a broad range of information as it considered possible

amendments to guidelines for relevant conduct, mitigating role in the offense, drug

trafficking offenses, and renting or managing a drug establishment. To assist the

Commission’s consideration of these issues, the working group reviewed approximately

1,500 case files to profile sentencing drug defendants and identify offense characteristics

that relate to mitigating role adjustments. The group analyzed the impact of prosecutorial

selection of statutes that contain a lesser statutory maximum. As part of this analysis, the
Guide to Publications & Resources # 2000–2001

21

group profiled so-called “courier” and “mule” cases to examine the relationship between

this offense behavior and the application of the mitigating role adjustment. The data were

organized to permit modeling of the impact of potential amendment options.

Money Laundering Working Group Report (October 14, 1992). 

SC-Loan; RDL.

This report addresses whether the money laundering guidelines appropriately reflect

offense seriousness. The working group held meetings with practitioners and analyzed

computer data drawn from actual case files. Evidence indicated that offense levels for

money laundering counts varied significantly from offense levels for the underlying counts

(e.g., drug trafficking or a fraudulent scheme). A high percentage of offenders convicted of

money laundering also were involved in the underlying crime, which suggests that money

laundering was incidental to the underlying conduct. However, the guideline offense level

for money laundering in drug cases exceeded that for the underlying conduct 52.5 percent

of the time and 96 percent of the time in non-drug cases. The group analyzed ways of

aligning these levels.

Violent Crimes/Firearms/Gangs Working Group Report (October 14, 1992).

SC-Loan; RDL.

This working group examined (1) whether or not present guideline penalties for these

offense types were adequate and (2) specific application problems associated with these

guidelines. The purpose of the gang study was to examine issues pertinent to incorporating

gang membership and gang crime as sentencing factors.

The group conducted a systematic study of the offenses against the person and the revised

firearm guidelines. The study included computer analyses of Commission data, an analysis

of published court opinions dealing with the pertinent guidelines, an examination of

emerging questions and problems directed to the Commission, and input from practitioners. 

The gang study included a literature review, a survey of state sentencing commissions, and

a review of pertinent case law. The group issued an addendum to this report March 30,

1993.

Report of the Drugs/Role/Harmonization Working Group (November 10, 1992).

SC-Loan; RDL.

The primary focus of this working group was the current quantity-driven drug guideline. Its

principal task was to explore alternative means of distinguishing drug offenses and

offenders on bases other than drug quantity. The group also reviewed relevant case law to

identify additional potential areas of interest concerning the drug and role guidelines, with

the primary objective of identifying circuit court conflicts about guideline application.

The group examined the language and legislative history of the 1986 Anti-Drug Abuse

Act, conducted empirical research using Commission data, examined hotline information,
United States Sentencing Commission

22

and reviewed state sentencing guidelines for drug trafficking offenders. The group issued

on April 1, 1993, an addendum reporting on its case review project.

Juvenile Offenders Working Group Report (November 10, 1992). 

SC-Request; RDL.

The impetus for this working group was a statutory directive requiring the Commission to

“study the feasibility of developing guidelines for the disposition of juvenile delinquents.” 

The report summarizes the group’s progress to date following its analysis of available

data. The report references a Supreme Court case, United States v. R.L.C., which held

that the maximum sentence for juvenile delinquents is set by the guidelines. The group

suggests an amendment incorporating this holding and deleting a current policy statement,

5H1.1 – age, which states that the guidelines do not apply to “a person sentenced as a

juvenile delinquent under the provisions of 18 U.S.C. § 5037.”

White Collar Crime Working Group Report (April 1993).

SC-Loan; RDL.

This working group considered issues relating to guidelines governing various economic

offenses, including property, fraud, antitrust, and tax offenses. The report focuses

primarily on theft and fraud issues on the one hand and tax issues on the other. With

respect to theft and fraud, the report discusses reliance on loss as a primary determinant of

offense severity, the guideline definition of loss, calibration of the loss tables,

consolidation of the theft and fraud guidelines, enhancement for more than minimal

planning, and the abuse of trust adjustment. With respect to tax, the major areas of inquiry

cover the impact on tax offenses of the expanded availability of non-prison sentences,

simplification of the tax guidelines, and tax offenses involving illegally derived income. 

Computer Fraud Working Group Report (September 8, 1993).

SC-Loan; RDL.

The Computer Fraud Working Group studied the effectiveness of the fraud guideline and

related guidelines on computer fraud offenses. To accomplish this, the working group met

with interested parties, conducted an empirical analysis of cases sentenced under 18

U.S.C. § 1030, and reviewed public comment, legislative history, case law, relevant

literature, and hotline calls. Based on this review, the group recommended that the

Commission not adopt a new guideline for computer offenses, but instead revise the loss

commentary in the fraud guideline and explore whether other guidelines might be more

appropriate for certain offenses. The report also includes suggestions regarding

amendments to fraud guideline commentary. A working group report summary is also

available from the Commission.
Guide to Publications & Resources # 2000–2001

23

Public Corruption Working Group Report (September 8, 1993).

SC-Loan; RDL.

The Public Corruption Working Group was charged with examining sentencing practices

under the public corruption guidelines. The review, which included an examination of

approximately 300 public corruption cases, identified a number of topics involving

application of the public corruption guidelines that warranted examination: (1) a

structural issue that involved the scope of application of the guidelines; (2) issues

involving application of guideline adjustments in complex cases; and (3) an issue

concerning the appropriateness of departures on grounds of collateral consequences.

Food and Drug Working Group Preliminary Report (February 1994).

SC-Loan; RDL.

The Food and Drug Working Group was established to conduct a two-year assessment of

the feasibility of formulating organizational guidelines for offenses involving food, drugs,

and agricultural products (§2N2.1). The group’s preliminary report includes (1) an

overview of the pertinent guideline and the most commonly prosecuted offenses sentenced

under it; (2) an analysis of food and drug cases involving individuals sentenced under

guideline 2N2.1 during fiscal years 1991 and 1992; (3) a description of food and drug

cases involving organizational defendants sentenced under preguidelines law; and (4) an

analysis of significant application issues.

Money Laundering Working Group Report (February 28, 1995).

USSC OnLine; RDL.

This follow-up to an October 1992 report reviews the history of the money laundering

guidelines, summarizes the earlier report, and updates case law and other relevant

information available since the 1992 report. A working group report summary is also

available from the Commission.

Food and Drug Working Group Report (February 1995).

USSC OnLine; RDL.

This update to a February 1994 report includes an overview of guideline 2N2.1 and the

most commonly prosecuted crimes sentenced under it, provides a description and analysis

of food and drug cases involving individuals sentenced under guideline 2N2.1 in fiscal

years 1991-93, and describes food and drug cases involving organizational defendants

sentenced under preguidelines law.
United States Sentencing Commission

24

Federal Court Practices: Sentence Reductions Based on Defendants’ Substantial Assistance to

the Government (May 1997).

SC-Loan; SC-Inspect.

This working group report studies the policies and practices associated with the

application of the substantial assistance policy statement. Topics include (1) substantial

assistance across districts; (2) caseload composition and trial rates; (3) the characteristics

of defendants who cooperate with authorities and the type of assistance offered; (4)

sentences for codefendants; and (5) the prosecutorial and judicial roles.

Loss Issues Working Paper (October 14, 1997).

SC-Loan; RDL.

This memorandum discusses issues raised about the definition of loss in the case law, in

training, and on the Commission’s HelpLine, and presents some general options to

address those issues to achieve greater sentencing uniformity and predictability. The

paper also incorporates input received from various advisory groups.

Manslaughter Working Group Report (December 15, 1997).

USSC OnLine; RDL.

This report studies the voluntary and involuntary manslaughter guidelines to determine

whether the current penalties are appropriate relative to other violent offenses. The

working group examined three years of Commission sentencing data (FY 94-96),

reviewed legal and social science literature on manslaughter, compared federal

sentencing standards with the practices of selected states, and conducted a public hearing

at which experts on manslaughter testified. The report presents options to amend the

guidelines for Commission consideration.

Telemarketing Fraud Working Group Report (January 1998).

USSC OnLine; SC-Request; RDL.

This report studies telemarketing fraud offenses in conjunction with the Commission’s

multi-year comprehensive assessment of the fraud and related guidelines. The report

provides a legislative history of the relevant statutes and guidelines, assesses guideline

application issues affected by telemarketing fraud enhancements, and examines the scope

and nature of the telemarketing fraud issue.

A Field Test of Proposed Revisions to the Definition of Loss in the Theft and Fraud Guidelines: 

A Report to the Commission (October 20, 1998).

USSC OnLine; RDL.

This report presents the results of a survey of 22 federal judges and 21 probation officers

about the definition of loss in the theft and fraud guidelines. In this field test, each judge

was given the proposed definition and was asked to apply it, with the assistance of a
Guide to Publications & Resources # 2000–2001

25

probation officer, to theft and fraud cases. Judges completed survey instruments on 121

randomly selected and 107 participant-selected cases.

No Electronic Theft Act Policy Development Team Report (February 1999).

SC-Loan; USSC OnLine; RDL.

This report analyzes the legislative history of the No Electronic Theft Act, reviews the

history of sentencing guideline 2B5.3 (Criminal Infringement of Copyright or Trademark),

reviews public comment on electronic theft, presents an empirical analysis of cases

sentenced under §2B5.3, examines the literature on the topic, and discusses relevant state

law and federal regulations.

Methamphetamine Final Report (November 1999).

USSC OnLine; RDL.

This is the final report of the Commission’s Methamphetamine Policy Team regarding the

implementation of the Methamphetamine Trafficking Penalty Enhancement Act of 1998. 

The report examines the methamphetamine problem in the United States, summarizes the

statutory and sentencing guideline history for federal methamphetamine offenses,

discusses characteristics of methamphetamine offenders, and outlines policy options for

responding to the act.

Identity Theft Final Report (December 15, 1999).

USSC OnLine: RDL.

This report details the legislative history of the Identity Theft and Assumption Deterrence

Act of 1998, analyzes the key provisions of the statute, and assesses its impact upon

existing sentencing guidelines. The report also presents analyses of Commission data and

assesses preliminary policy options for Commission consideration.

Sentencing for the Possession or Use of Firearms During a Crime (January 6, 2000).

USSC OnLine; RDL.

This report examines the guidelines’ approach to sentencing for possession or use of a

firearm during a crime of violence or drug trafficking offense. The report provides an

introduction to 18 U.S.C. § 924(c) and recent Supreme Court decisions and legislation

relevant to the statute. 

Cellular Telephone Cloning Final Report (January 25, 2000).

USSC OnLine; RDL.

This report, produced by the Commission’s Economic Crimes Policy Team, addresses the

development of policy options for implementing the directives contained in the Wireless
United States Sentencing Commission

26

Telephone Protection Act. The report also presents background on the issue and the

teams’s analysis and findings.

Sentencing Federal Sexual Offenders: Protection of Children from Sexual Predators Act of 1998

(February 17, 2000).

USSC OnLine; RDL.

This report was produced to assist the Commission in developing possible responses to

the Protection of Children from Sexual Predators Act of 1998. This act contains

directives to the Commission to review relevant guidelines and provide appropriate

enhancements while ensuring reasonable consistency among the guidelines and avoiding

duplicative punishment.

Staff Discussion Papers – Simplification Project

The Sentencing Reform Act (November 1996).

USSC OnLine; RDL.

This staff discussion paper provides an overview of the principal purposes and features

of the Sentencing Reform Act of 1984 (SRA). The principal SRA provisions which shape

and constrain drafting of the sentencing guidelines are described. The paper also

generally describes Congress’s direction to the Commission to consider a variety of

identified offense and offender characteristics and to achieve desired levels of severity

for particular categories of defendants. Finally, the paper enumerates congressional

directives enacted subsequent to the SRA that further limit Commission amendment

discretion.

Relevant Conduct (November 1996).

USSC OnLine; RDL.

This staff discussion paper examines the tension between real-offense and charge-offense

sentencing and the Commission’s response to it: the relevant conduct guideline. The

paper discusses the federal criminal code and the ways in which the code and the

Sentencing Reform Act eliminate the possibility of a pure offense of conviction sentencing

system. The paper reviews the history of the relevant conduct guideline, presents

criticisms of the guideline, and discusses state counterparts. Finally, the paper outlines

broad options to address these issues.

Level of Detail in Chapter Two (November 1996).

USSC OnLine; RDL.

This paper focuses on the 151 offense guidelines in Chapter Two of the Guidelines

Manual. The paper discusses the choices the Commission made about (1) the factors

important to sentencing; (2) the assignment of a specific weight to a base offense level or
Guide to Publications & Resources # 2000–2001

27

a specific offense characteristic (SOC); (3) cross reference determinations; and (4)

departure decisions. Data is presented on the frequency of guideline use, specific offense

characteristics, cross references, and adjustments. The paper concludes with a list of

options for modifying the level of detail in Chapter Two.

Chapter Three Adjustments (November 1996).

USSC OnLine; RDL.

This staff discussion paper examines the major policy issues in Chapter Three of the

Guidelines Manual (except for “Part D - Multiple Counts” which is the topic of a

separate report) by reviewing data, case law, hotline calls, training experiences, and

pertinent literature. The aim of this paper is to explain (1) why Chapter Three includes

certain adjustments; (2) how the adjustments are working; (3) criticisms of these

adjustments; and (4) some options that would simplify or improve the present structure

and operation of Chapter Three guidelines.

Criminal History (November 1996).

USSC OnLine; RDL.

This staff discussion paper has three components: (1) policy issues regarding the ability

of the current criminal history score to adequately distinguish between offenders; (2) an

outline of several issues that create guideline application problems; and (3) alternative

criminal history measures that may improve the current guidelines.

Departures and Offender Characteristics (November 1996).

USSC OnLine; RDL.

This paper analyzes departures and offender characteristics under the guidelines and

includes a discussion of pertinent sections of the applicable statutory directives and their

legislative history, an examination of the way in which the Commission executed those

directives, and a review of empirical information on current departure practice and

appellate review standards. The report also contains summaries of criticisms of the

manner in which departures and offender characteristics are handled under the guidelines,

and a description of the way some state systems treat departures and offender

characteristics. Finally, the paper offers options for change that could simplify and

improve the operation of guidelines relevant to these issues.

Multiple Counts (November 1996).

USSC OnLine; RDL.

This staff discussion paper reviews the guidelines’ multiple count rules (Chapter Three,

Part D). These rules were developed to provide appropriate incremental punishment for

defendants convicted of multiple offenses. The paper presents information from a year’s

worth of hotline calls that dealt with multiple count application. Information on judicial

interpretation was obtained from appellate case law on multiple count issues.
United States Sentencing Commission

28

Sentencing Options Under the Guidelines (November 1996).

USSC OnLine; RDL.

The Sentencing Options Working Group examined the various alternatives to

imprisonment that are possible under the guidelines. This paper analyzes (1) statutory

directives regarding alternatives; (2) the ways in which the guidelines define and allocate

sentencing options; (3) criticisms of the existing approach; (4) guideline complexity; (5)

judicial use of existing options; (6) factors that account for use or non-use of alternatives;

and (7) evaluations of the effectiveness of particular alternatives.

Other Reports and Publications

Dissenting View of Paul H. Robinson on the Promulgation of Sentencing Guidelines by the United

States Sentencing Commission (May 1, 1987). 

SC-Inspect; RDL.

This document contains Commissioner Paul Robinson’s dissenting viewpoint on the

Commission’s promulgation of its initial set of sentencing guidelines.

Preliminary Observations of the Commission on Commissioner Robinson’s Dissent

(May 1, 1987). 

SC-Inspect; RDL.

In this document, the six commissioners who voted affirmatively to promulgate the initial

guidelines issued preliminary observations on Commissioner Robinson’s dissent. 

Supplemental statements were issued by Commissioners Ilene H. Nagel, Michael K.

Block, and George E. MacKinnon.

Discussion Materials on Organizational Sanctions (July 1988). 

SC-Inspect; RDL.

This volume contains discussion materials distributed by the Commission to encourage

public analysis and comment on the development of sentencing standards for organizations

convicted of federal crimes. These materials include a discussion draft of sentencing

guidelines and policy statements for organizations, a draft proposal on standards for

organizational probation, a report on sentencing of organizations in the federal courts

(1984-1987), and a staff working paper on criminal sentencing policy for organizations.
Guide to Publications & Resources # 2000–2001

29

Sentencing Guidelines for Organizational Defendants – Preliminary Draft

(November 1, 1989). 

SC-Loan; RDL.

This document presented the Commission’s preliminary proposal on this issue and was

published to encourage public comment on the proposal and on any other aspect of the

sentencing guidelines, policy statements, and commentary as they applied to the sentencing

of organizations. 

Public Access to Sentencing Commission Documents and Data, 54 Fed. Reg. 51279 (12/13/89). 

SC-Request; USSC OnLine; RDL.

This is a policy notice regarding public access to Sentencing Commission documents and

data and an agreement between the Administrative Office of the U.S. Courts and the

Sentencing Commission concerning the confidentiality of certain sentencing information.

Amendment Highlights (1989-2000).

(Individual years)

SC-Request; RDL.

Amendment Highlights briefly summarizes the substantive and clarifying amendments to

the Guidelines Manual submitted to Congress during each amendment cycle.

Selected Guidelines Application Decisions (1989-2000).

(Individual years)

USSC OnLine; SC-Request; RDL.

The Commission compiles summaries of selected cases, organized according to pertinent

guideline section, involving application of the federal sentencing guidelines or related

sentencing issues.

The Federal Offender: A Program of Intermediate Punishments (Alternatives to Imprisonment

Project) (December 28, 1990). 

SC-Loan; RDL.

The primary purposes of this commissioner-led project were to explore community-based

alternatives to imprisonment, to make recommendations with regard to increasing the

array of sanctions available to the federal courts, and to ascertain the desirability of

increasing the pool of offenders eligible for intermediate sanctions. The report presented

a package of recommendations for consideration by the Commission.
United States Sentencing Commission

30

Sentences Imposed Under the Guidelines (October 1, 1990-September 30, 1991).

SC-Request; RDL.

This compilation is a modified version of the Sentences Imposed Chart, formerly

published by the Statistics Division of the Administrative Office of the U.S. Courts. The

Sentencing Commission modified the original report, basing it on the guidelines applied

rather than on the statutes of conviction. Data for the set of tables emanate from the

26,813 guideline defendants in the Commission’s fiscal year 1991 monitoring files. 

Factors reported in this volume are those considered by the court in arriving at a final

sentencing range.

U.S. Sentencing Commission Selected Reprints, Vol. I (June 1992). 

SC-Inspect; RDL.

This volume compiles eight previously published articles on federal sentencing issues

written by commissioners and staff. Topics include relevant conduct, plea negotiations,

acceptance of responsibility, departures, discretion, and drug trafficking offenses.

Proceedings of the Inaugural Symposium on Crime and Punishment in the United States: Drugs &

Violence in America (June 16-18, 1993).

SC-Request; RDL.

This volume contains the proceedings of the Commission’s first symposium in a series on

Crime and Punishment in the United States. The symposium brought together more than

350 key policymakers to share information and exchange ideas on the topic of drugs and

violence. Chief Justice William H. Rehnquist, Attorney General Janet Reno, Senators

Edward M. Kennedy and Joseph R. Biden, Jr., and Congresswoman Maxine Waters were

among two dozen government officials and experts who addressed the causes, prevention,

and treatment of drug abuse and violence. Video and audio tapes of the symposium are

available on loan from the Commission.

Plea Negotiations Under the Federal Sentencing Guidelines: An Empirical Examination of the

Post-Mistretta Experience (December 1994).

SC-Loan.

This report, authored by U.S. Sentencing Commissioner Ilene H. Nagel and University of

Chicago Professor Stephen J. Schulhofer, explores the inter-relationship between the

federal sentencing guidelines and plea negotiation practices during the period immediately

following the Supreme Court’s decision in Mistretta v. United States. This report

includes an analysis of qualitative data from site visits and an extensive review of

sentencing documents in ten selected jurisdictions.
Guide to Publications & Resources # 2000–2001

31

Update on the Activities of the United States Sentencing Commission

(September 1995).

USSC OnLine; RDL.

This compendium contains (1) reports to Congress on penalties for federal rape cases,

adequacy of penalties for fraud offenses involving elderly victims, and adequacy of

penalties for the intentional exposure of others through sexual activity to HIV; (2) the

Commission’s majority and minority opinions on the crack and powder cocaine issue; and

(3) commissioners’ congressional testimony on cocaine penalties.

Proceedings of the Second Symposium on Crime and Punishment in the United States: Corporate

Crime in America: Strengthening the “Good Citizen” Corporation (September 7-8, 1995).

USSC OnLine; SC-Request; RDL.

This volume contains the proceedings of the Commission’s second symposium in a series

on crime and punishment. The symposium focused on the ways in which companies,

industries, and enforcement officials have responded to (1) the organizational sentencing

guidelines’ “carrot and stick” incentives and (2) other changes in the enforcement

landscape that encourage businesses to develop strong compliance programs and adopt

crime-controlling measures. Participants included federal enforcement officials,

representatives of corporations, private attorneys, and researchers who focus on business

ethics and crime.

A National Sample Survey: Public Opinion on Sentencing Federal Crimes

(October 1995).

USSC OnLine; RDL.

This monograph reports the findings of a national sample survey commissioned by the

U.S. Sentencing Commission. Conducted in 1994 through face-to-face interviews with a

probability sample of the American populace, the study sought to find out how the

American public would sentence persons convicted of crimes under the Federal Criminal

Code. This report describes the sentences given, examines the principles used in giving

sentences, and compares the sentences to those recommended in the guidelines.

Guideline Departures 1989-2000.

USSC OnLine; RDL.

These documents, updated periodically, summarize upward and downward departures

approved and disapproved by appellate courts. Tables are presented that list specific

departure factors along with the cases in which the factors appear.

U.S. Sentencing Commission Selected Reprints, Vol. II (September 1996).

SC-Request; RDL.
United States Sentencing Commission

32

This volume compiles seven previously published articles on federal sentencing issues

written by commissioners and staff. Topics include the role of guideline amendments in

reducing sentencing disparity, charging and bargaining practices, competing sentencing

policies in a “war on drugs” era, and guidelines for organizations.

Just Punishment: Public Perceptions and the Federal Sentencing Guidelines (February 1997).

USSC OnLine; SC-Request; RDL.

In this study, more than 1,700 citizens throughout the United States provided their opinions

on punishment and crime seriousness issues. This first-ever survey of public attitudes

toward federal sentences used a series of crime “vignettes” incorporating relevant offense

and offender characteristics. These vignettes were presented at personal interviews and

respondents were asked to record what they considered to be a “just” and appropriate

sentence in each case. This staff paper describes the survey and its methodology, and

compares public perceptions with the corresponding sentencing guideline ranges for four

selected federal offenses: drug trafficking, bank robbery, immigration offenses, and fraud.

Guideline Sentencing: Determining “Loss” in §§2B1.1 (Theft) and 2F1.1 (Fraud) (April 9,

1997).

USSC OnLine.

In regard to theft and fraud, this document examines “loss” issues such as definitions,

actual damages, consequential damages, gain, intended loss, risk of loss, and diversion of

government benefits.

Rules of Practice and Procedure, 62 Fed. Reg. 38598 (July 18, 1997).

SC-Request; RDL.

This is a notice of the establishment of Sentencing Commission rules of practice and

procedure relating to the manner in which it conducts its business.

Substantial Assistance: An Empirical Yardstick Gauging Equity in Current Federal Policy and

Practice (January 1998).

USSC OnLine; RDL.

This exploratory research report examines the guidelines’ “substantial assistance” policy

statement in light of the guidelines’ overall statutory goal of fair and honest sentencing. 

The study focused on whether different districts’ policies and procedures were consistent

and whether similar defendants were receiving similar sentence reductions for providing

similar assistance. The report explores the policies and procedures across judicial

districts and analyzes the factors associated with substantial assistance reductions and the

magnitude of the departures. Research methodologies include site visits to eight federal

judicial districts, surveys and interviews administered to U.S. attorney offices, and

descriptive and multivariate data analyses.
Guide to Publications & Resources # 2000–2001

33

The Year in Review: 1997-1998 (July 1998).

USSC OnLine; RDL.

The report highlights the accomplishments of the Sentencing Commission during 1997-

1998. The document describes recent achievements in such areas as policy development,

resolution of circuit conflicts, guideline departures, responses to legislative initiatives,

training and education, and research studies.

Probation and Supervised Release: Revocation and Other Issues

(August 18, 1998).

USSC OnLine; RDL.

On the topic of probation and supervised release, this paper looks at relevant key statutory

provisions, applicable guidelines provisions (Chapter Seven of the Guidelines Manual),

legal issues, reimposition of supervised release, delayed revocation, probation and

supervised release imposed under the Assimilative Crimes Act.

Firearms: Selected Federal Statutes and Guideline Enhancements (October 6, 1998).

USSC OnLine.

This document provides a general overview of key sentencing issues and case law arising

from federal firearms statutes and various guideline provisions on firearm enhancements.

Report to the Judicial Conference of the United States (March 1999).

USSC OnLine.

This brief report outlines U.S. Sentencing Commission activities and developments

regarding (1) commissioner vacancies; (2) recent guideline amendments; (3) the ongoing

work of the agency; and (4) the reported cases during the past fiscal year of 1998.

Report to the Judicial Conference of the United States (September 1999).

USSC OnLine; RDL.

This brief report updates (1) developments regarding commissioner vacancies and (2) the

ongoing work of the agency. Among topics discussed are briefing materials on guidelines

policy options pertaining to legislation enacted by the 105th Congress.

Organizational Sentencing Guidelines Bibliography (March 2000).

USSC OnLine.

This bibliography on the organizational sentencing guidelines is provided for general

background information and public reference.
United States Sentencing Commission

34

Loss Issues (May 26, 2000).

USSC OnLine.

This document discusses issues raised about the definition of loss in case law. Topics

examined include actual loss (e.g., causation, consequential damages, interest, and value

received) and alternatives to actual loss (e.g., intended loss, gain, and risk of loss).

Supreme Court Cases and Circuit Conflicts.

SC-Request; RDL.

These documents, updated periodically, summarize Supreme Court decisions along with

circuit conflicts in cases involving the Commission, the federal sentencing guidelines, and

other related issues. Tables are presented that illustrate circuit conflicts that have been

addressed by Commission amendment and those that are ongoing.

GuideLines: News from the U.S. Sentencing Commission.

USSC OnLine; SC-Request; RDL.

GuideLines, the Commission’s periodic newsletter, appears time to time with information

on current Commission activities, research findings, proposed guideline amendments,

training opportunities, and guideline application and legal issues.

Worksheets. (To be used in conjunction with the Guidelines Manual)

USSC OnLine; SC-Request; RDL.

Individual: Worksheets A-D take the user step-by-step through application of the

sentencing guidelines for individual defendants. 

Organizations: Similar to the individual worksheets, Worksheets A-D take the user stepby-step through application of the sentencing guidelines for organizational defendants.

Probation/supervised release violation: This document assists the user with application

of the Commission’s policy statements on supervision violations.

An Overview of the U.S. Sentencing Commission.

USSC OnLine; SC-Request.

This brochure briefly discusses the history of the sentencing guidelines, how the

sentencing guidelines work, innovations under the guidelines system, the organization of

the Sentencing Commission, and the Commission’s functions. A student version of the

brochure is also available.

An Overview of the Federal Sentencing Guidelines.

USSC OnLine; SC-Request.
Guide to Publications & Resources # 2000–2001

35

This document offers a brief description of the U.S. sentencing guidelines and how they

operate. The characterizations of the guidelines in this overview are presented in

simplified form and are not to be used for guideline interpretation, application, or

authority.
United States Sentencing Commission

36

Commission Data

The Sentencing Commission systematically collects and publishes data on the sentencing

process and conducts special studies on sentencing-related issues. To ensure confidentiality of

respondents and sites, open-ended interview data from the evaluation implementation study will

be made available for on-site inspection only. Pursuant to the policy on public access to

Sentencing Commission documents and data (54 Fed. Reg. 51279 (12/13/89)), all case and

defendant identifiers have been removed from the data.

Commission datasets are distributed online by the Inter-University Consortium for

Political and Social Research (ICPSR) at the University of Michigan. The codebook provided

with each dataset discusses in detail other criteria that describe cases included in the data. 

Datasets are available via the following Internet address:

http://www.ICPSR.umich.edu/NACJD/archive.html

For more information, contact Dr. Christopher S. Dunn, ICPSR, P.O. Box 1248, Ann

Arbor, MI 48106. Online, you may direct questions about data to nacjd@icpsr.umich.edu. You

may contact the ICPSR using the toll-free help line, 1-800-999-0960 or dial (734) 998-9900 for

assistance. 

Monitoring Datasets

Datasets described in this section contain data on federal criminal cases sentenced under

the guidelines. Each federal court is required to forward to the Commission several

documents on each case sentenced under the guidelines (except petty offenses) including

the indictment(s), the presentence report (PSR), the judgment of conviction (J&C), any

written plea agreement, a report on the sentencing hearing, any modification of sentence,

and any revocation of probation and supervised release.

The Commission’s staff enters pertinent information from the documents into its data

collection system. This system identifies the status of documents in the file, assigns a

unique identification number, and collects information necessary to determine the

applicability of the case. Cases sentenced under “old law,” cases in which courts held

the guidelines unconstitutional (prior to Mistretta), and those involving solely petty

offenses are not captured in these datasets.

The prospective nature of the Sentencing Reform Act, coupled with constitutional

challenges to the Act, resulted in only 17.9 percent of all federal criminal defendants

sentenced in 1988 being sentenced under the guidelines. These proportions have

increased yearly and are reflected in the increasing number of cases available in the

Commission’s annual Monitoring datasets.

Dataset entries are made on a per defendant/per sentencing basis (i.e., each case is a

consolidated sentencing of a single defendant). Multiple counts and multiple indictments

constitute a consolidated sentencing if the defendants were sentenced at the same time and

if a single PSR (and thus guideline range) is produced. Defendants may appear in more
Guide to Publications & Resources # 2000–2001

37

than one case in the dataset if they are involved in more than one consolidated sentencing. 

Multiple codefendants in the same consolidated sentencing will each appear as a separate

case in the dataset.

Expansion of the Monitoring data collection system has resulted in additional data

elements being made available each year. The earliest datasets primarily contain matched

data from the Federal Probation Sentencing and Supervision Information System (FPSSIS)

datafile of the Administrative Office of the U.S. Courts and sentence information collected

from J&C orders submitted by the courts. In 1990, basic guideline application

information was collected and included in subsequent datasets. In addition, the data

collection system was expanded to compensate for the elimination of the sentencing

portion of the FPSSIS data collection system in August 1990. In 1991, data collection and

files were upgraded to include in-depth guideline application information as well as

additional elements to supplement losses from the FPSSIS system. In 1992, additional

elements such as drug type were added to the automated files. In 1996, drug amount, type

of defense counsel, and amount of loss were added.

In 1995, the Commission released the Appeals dataset, which tracks appellate review of

sentencing decisions.

USSC.88 (Monitoring dataset for calendar year 1988). 

ICPSR.

This dataset includes 6,223 cases received by the Sentencing Commission as of

November 8, 1989, that were sentenced between November 1, 1987, and December 31,

1988 (inclusive).

Information available in this dataset includes data elements from the FPSSIS file of the

Administrative Office of the U.S. Courts and sentence information collected from the J&C

submitted by the court.

USSC.89-H (Monitoring dataset for first six months of calendar year 1989).

ICPSR.

This dataset includes 9,360 cases received by the Sentencing Commission as of

November 8, 1989, that were sentenced between January 1 and

June 30, 1989 (inclusive).

Information available in this dataset includes data elements from the FPSSIS file of the

Administrative Office of the U.S. Courts and sentence information collected from the J&C

submitted by the court.
United States Sentencing Commission

38

USSC.89 (Monitoring dataset for calendar year 1989). 

ICPSR.
Guide to Publications & Resources # 2000–2001

39

This dataset includes 22,676 cases received by the Sentencing Commission as of

February 28, 1990, that were sentenced between January 19, 1989, and December 31,

1989 (inclusive).

Information available in this dataset includes data elements from the FPSSIS file of the

Administrative Office of the U.S. Courts and sentence information collected from the J&C

submitted by the court.

USSC.FY90 (Monitoring dataset for fiscal year 1990). 

ICPSR.

This dataset includes 29,011 cases received by the Sentencing Commission as of

December 28, 1990, that were sentenced between October 1, 1989, and September 30,

1990 (inclusive).

Information available in this dataset includes data elements from the FPSSIS file of the

Administrative Office of the U.S. Courts, sentence information collected from the J&C

submitted by the court, and basic guideline information collected from the PSR and the

report on the sentencing hearing.

USSC.FY91 (Monitoring dataset for fiscal year 1991). 

ICPSR.

This dataset includes 33,419 cases received by the Sentencing Commission as of January

17, 1992, that were sentenced between October 1, 1990, and September 30, 1991

(inclusive).

This dataset includes sentence information collected from the J&C submitted by the court,

background information collected from the PSR, and in-depth guideline information

collected from the PSR and the report on the sentencing hearing.

USSC.FY92 (Monitoring dataset for fiscal year 1992).

ICPSR.

This dataset includes 38,258 cases received by the Sentencing Commission as of January

26, 1993, that were sentenced between October 1, 1991, and September 30, 1992

(inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

USSC.FY93 (Monitoring dataset for fiscal year 1993).

ICPSR.
United States Sentencing Commission

40

This dataset includes 42,107 cases received by the Sentencing Commission as of January

11, 1994, that were sentenced between October 1, 1992, and September 30, 1993

(inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

USSC.FY94 (Monitoring dataset for fiscal year 1994).

ICPSR.

This dataset includes 39,971 cases received by the Sentencing Commission as of

December 23, 1994, that were sentenced between October 1, 1993, and September 30,

1994 (inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

USSC.FY95 (Monitoring dataset for fiscal year 1995).

ICPSR.

This dataset includes 38,500 cases received by the Sentencing Commission as of

December 26, 1995, that were sentenced between October 1, 1994, and September 30,

1995 (inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

USSC.FY96 (Monitoring dataset for fiscal year 1996).

ICPSR.

This dataset includes 42,439 cases received by the Sentencing Commission as of

December 27, 1996, that were sentenced between October 1, 1995, and September 30,

1996 (inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.
Guide to Publications & Resources # 2000–2001

41

USSC.FY97 (Monitoring dataset for fiscal year 1997).

ICPSR.

This dataset includes 48,848 cases received by the Sentencing Commission as of January

31, 1998, that were sentenced between October 1, 1996, and September 30, 1997

(inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

USSC.FY98 (Monitoring dataset for fiscal year 1998).

ICPSR.

This dataset includes 50,754 cases received by the Sentencing Commission as of February

22, 1999, that were sentenced between October 1, 1997, and September 30, 1998

(inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

USSC.FY99 (Monitoring dataset for fiscal year 1999).

ICPSR.

This dataset includes 55,557 cases received by the Sentencing Commission as of February

11, 2000, that were sentenced between October 1, 1998, and September 30, 1999

(inclusive).

Information available in this dataset includes sentence information collected from the J&C

submitted by the court, background information collected from the PSR, and in-depth

guideline information collected from the PSR and the report on the sentencing hearing.

Federal Sentencing Statistics by District and Circuit (1996, 1997, 1998, 1999).

USSC OnLine.

This set of tables provides district, circuit, and national data on primary offense category,

mode of conviction, type of sentence, average length of imprisonment, departure rates, and

incarceration rates of defendants eligible for non-prison sentences. 

USSC.ORGSAN93 (Organizational defendant dataset).

ICPSR.

This dataset includes 50 cases in which organizational defendants were sentenced under

the Chapter Eight guidelines during the period
United States Sentencing Commission

42

November 1, 1991, to September 30, 1993, and 50 antitrust cases sentenced under the fine

provisions of §2R1.1 during the period November 1, 1987, to 

September 30, 1993. The module captures information describing organizational

structure, size, and economic viability; offense of conviction; mode of adjudication;

sanctions imposed; and application of the sentencing guidelines.

USSC.ORGSAN94 (Organizational defendant dataset).

ICPSR.

This dataset includes 86 cases in which organizational defendants were sentenced under

the Chapter Eight guidelines and 18 cases in which organizational defendants were

sentenced under the fine provisions of §2R1.1 (1987) during the period October 1, 1993,

through September 30, 1994. The module captures information describing organizational

structure, size, and economic viability; offense of conviction; mode of adjudication;

sanctions imposed; and application of the sentencing guidelines.

USSC.ORGSAN95 (Organizational defendant dataset).

ICPSR.

This dataset includes 111 cases in which organizational defendants were sentenced under

the Chapter Eight guidelines and four cases in which organizational defendants were

sentenced under the fine provisions of §2R1.1 (1987) during the period October 1, 1994,

through September 30, 1995; and were received by the Commission by December 26,

1995. The module captures information describing organizational structure, size, and

economic viability; offense of conviction; mode of adjudication; sanctions imposed; and

application of the sentencing guidelines. 

USSC.ORGSAN96 (Organizational defendant dataset).

ICPSR.

This dataset includes 148 cases in which organizational defendants were sentenced under

the Chapter Eight guidelines plus seven cases in which organizational defendants were

sentenced under the fine provisions of §2R1.1 (1987) during the period October 1, 1995,

through September 30, 1996; and were received by the Commission by December 27,

1996. The module captures information describing organizational structure, size, and

economic viability; offense of conviction; mode of adjudication; sanctions imposed; and

application of the sentencing guidelines. 

USSC.ORGSAN97 (Organizational defendant dataset).

ICPSR.

This dataset includes 220 cases in which organizational defendants were sentenced under

the Chapter Eight guidelines plus cases in which organizational defendants were

sentenced under the fine provisions of §2R1.1 (1987) during the period October 1, 1996,

through September 30, 1997; and were received by the Commission by January 31, 1998. 
Guide to Publications & Resources # 2000–2001

43

The module captures information describing organizational structure, size, and economic

viability; offense of conviction; mode of adjudication; sanctions imposed; and application

of the sentencing guidelines.

USSC.ORGSAN98 (Organizational defendant dataset).

ICPSR.

This dataset includes cases in which 218 organizational defendants were sentenced under

the Chapter Eight guidelines plus cases in which organizational defendants were

sentenced under the fine provisions of §2R1.1 (1987) during the period October 1, 1997,

through September 30, 1998. The module captures information describing organizational

structure, size, and economic viability; offense of conviction; mode of adjudication;

sanctions imposed; and application of the sentencing guidelines.

USSC.ORGSAN99 (Organizational defendant dataset).

ICPSR.

This dataset includes cases in which 255 organizational defendants were sentenced under

the Chapter Eight guidelines during the period October 1, 1998, through September 30,

1999. The module captures information describing organizational structure, size, and

economic viability; offense of conviction; mode of adjudication; sanctions imposed; and

application of the sentencing guidelines.

USSC.APPEAL93 (Appeals dataset).

ICPSR.

This dataset includes 6,078 appellants whose cases were filed March 9, 1990, through

September 30, 1993, and were received by the Commission by December 22, 1993. 

Information captured in the module includes district, circuit, date of appeal, date of

opinion, legal issues before the court, and the court’s disposition.

USSC.APPEAL94 (Appeals dataset).

ICPSR.

This dataset includes 6,745 appellants whose cases were filed

October 1, 1993, through September 30, 1994, and were received by the Commission by

December 22, 1994. Information captured in the module includes district, circuit, date of

appeal, date of opinion, legal issues before the court, and the court’s disposition.

USSC.APPEAL95 (Appeals dataset).

ICPSR.

This dataset includes 6,863 appellants whose cases were filed 
United States Sentencing Commission

44

October 1, 1994, through September 30, 1995, and were received by the Commission by

December 26, 1995. Information captured in the module includes district, circuit, date of

appeal, date of opinion, legal issues before the court, and the court’s disposition.

USSC.APPEAL96 (Appeals dataset).

ICPSR.

This dataset includes 6,710 appellants whose cases were filed

October 1, 1995, through September 30, 1996, and were received by the Commission by

December 27, 1996. Information captured in the module includes district, circuit, date of

appeal, date of opinion, legal issues before the court, and the court’s disposition.

USSC.APPEAL97 (Appeals dataset).

ICPSR.

This dataset includes 6,496 appellants whose cases were filed October 1, 1996, through

September 30, 1997, and were received by the Commission by January 31, 1998. 

Information captured in the module includes district, circuit, date of appeal, date of

opinion, legal issues before the court, and the court’s disposition.

USSC.APPEAL98 (Appeals dataset).

ICPSR.

This dataset includes 6,387 appellants whose cases were filed October 1, 1997, through

September 30, 1998, and were received by the Commission by February 22, 1999. 

Information captured in the module includes district, circuit, date of appeal, date of

opinion, legal issues before the court, and the court’s disposition.

USSC.APPEAL99 (Appeals dataset).

ICPSR.

This dataset includes 7,103 appellants whose cases were filed October 1, 1998, through

September 30, 1999, and were received by the Commission by February 11, 2000. 

Information captured in the module includes district, circuit, date of appeal, date of

opinion, legal issues before the court, and the court’s disposition.

Historical Datasets

Augmented FPSSIS Fiscal Year 1985 Convictions Dataset (July 1991). 

ICPSR.

The sentencing and related data in this collection were gathered from a stratified random

sample of defendants convicted in U.S. district courts during fiscal year 1985. The
Guide to Publications & Resources # 2000–2001

45

Administrative Office of the U.S. Courts’ Federal Probation Sentencing and Supervision

Information System (FPSSIS) file was the primary source of these data. The data include

a description of the offense, a characterization of the defendant’s background and criminal

record, the method of disposition of the case, and the sentence imposed. Felony and

misdemeanor cases are included, while petty offense cases are not.

Three types of additional information augment the existing FPSSIS data: (1) more

detailed offense and offender characteristics identified by the Sentencing Commission and

coded by federal probation officers; (2) actual time served in prison and projected time

served from the SENTRY datafile of the U.S. Bureau of Prisons; and (3) information

necessary to estimate prospective release dates from the hearing files of the U.S. Parole

Commission.

The Commission collected these data during the development of the initial sentencing

guidelines. Analyses of the data represented a study of past sentencing practices that

proved important in the drafting of the guidelines as well as an assessment of prospective

guidelines’ impact on sentencing practices and prison populations.

This dataset consists of four separate files of 10,570 individuals (drug offenses dataset,

n=2,879; street crimes dataset, n=2,756; white collar crimes dataset, n=2,815; other

offenses, n=2,210) sentenced for serious misdemeanor or felony offenses between

October 1, 1984, and September 30, 1985. Pursuant to the policy on public access to

Sentencing Commission documents and data (54 Fed. Reg. 51279, 12/13/89), all case

and defendant identifiers have been removed from the data.

Special Study Datasets

Organizations Sentenced in Federal Courts, 1988, and Organizations Sentenced in Federal Courts,

1989-90. 

ICPSR.

To support the development of the Chapter Eight guidelines, the Commission conducted

two studies of sentencing practices for organizational defendants in federal district courts. 

Dataset analyses from the two studies are included in the Commission’s Supplementary

Report on Sentencing Guidelines for Organizations.

The data include information on (1) organizational defendants sentenced from January 1

through December 31, 1988 (n=328) and (2) organizational defendants sentenced from

January 1, 1989, through June 30, 1990 (n=446). For each of these studies, relevant

information was extracted from presentence investigation reports, charging documents,

and judgment of conviction orders.

Mandatory Minimum Study Sample Dataset, 1989-90.

ICPSR.
United States Sentencing Commission

1

The FPSSIS data used for the mandatory minimum study include all 267,178 cases sentenced between January 1,

1984, and June 30, 1990. FPSSIS data were used to identify the sample by distinguishing the underlying conduct in a

given case as potentially involving mandatory minimum behavior. To classify cases, the data used were the total pure

amount of drugs and presence of a weapon.

2

These data include the Commission’s monitoring dataset for the fiscal year 1990 (MONFY90), with 29,011

defendants sentenced between October 1, 1989, and September 30, 1990.

46

Pursuant to a congressional directive, the Sentencing Commission completed a study of

federal mandatory minimum statutes. As part of this endeavor, a sample of the

Commission’s fiscal 1990 data release was augmented by a special coding project. This

project was intended to supplement the normal data collection activities of the

Commission with information specific to the application and effect of mandatory minimum

statutes on the guidelines and the federal criminal justice system. In particular, the sample

dataset was developed to supplement the 

FPSSIS1 and Commission monitoring data2 with pertinent preconviction information and

to allow for a procedural tracking of cases and application of mandatory minimum

provisions at various stages of the criminal justice process.

A 12.5 percent random sample was selected from the 29,011 MONFY90 cases. Initial

computer screening identified 2,210 relevant sample cases qualifying due to the presence

of drugs in the offense, drugs and weapons, or robbery with weapons. A study of these

cases yielded a sample of 1,165 cases, representing defendants for whom the offense

behavior indicated the appropriateness of mandatory minimum penalties. A coding

system developed for analysis of these cases incorporated case eligibility for mandatory

minimum charges (e.g., the amount of drug by type sufficient to invoke 21 U.S.C. §

841(b)(1)(A) or requirements satisfying the “using or carrying” firearm provision of 18

U.S.C. § 924(c)). A conservative interpretation of the legal criteria minimized the chance

of inclusion for cases not clearly mandatory in their offense behavior. Information coded

on these 1,165 defendants included real offense behavior, indictment history, mode of

conviction, convicted charges, sentences imposed, plea agreements, stipulations, and

guideline factors.

1991 Evaluation Study.

The datasets identified below were used to prepare The Federal Sentencing Guidelines: 

A Report on the Operation of the Guidelines System and Short-Term Impacts on

Disparity in Sentencing, Use of Incarceration, and Prosecutorial Discretion and Plea

Bargaining, submitted to Congress and the GAO in December 1991: 

1991 Evaluation Study: National Survey Data. 

ICPSR.

The data in this collection are from a national survey of judges and court practitioners

developed in response to issues raised during site visits for the implementation study.
Guide to Publications & Resources # 2000–2001

47

This national mail survey sample consisted of all federal district judges, public defenders,

a random sample of assistant U.S. attorneys engaged in criminal work, federal panel

attorneys, and federal probation officers preparing presentence reports or conducting the

investigation for those reports. Sixty percent of the surveys were returned completed

(1,802 out of 2,998 sampled).

1991 Evaluation Study: Disparity Data. 

ICPSR.

Four disparity datasets, each representing one of four major offense types (bank robbery,

cocaine distribution, heroin distribution, and bank embezzlement) drew data for this study

from the FPSSIS dataset, an augmented FPSSIS dataset constructed by the Commission

representing offenders sentenced in 1985, the Commission’s guidelines sentence

monitoring system, the Federal Bureau of Prisons, and the U.S. Parole Commission. The

dataset available through ICPSR represents data expanded beyond what was available for

the evaluation study and includes demographic variables not coded at the time of the

evaluation. The datasets contain information on preguideline defendants sentenced during

fiscal year 1985 (October 1, 1984 - September 30, 1985) and were compiled to assist the

Commission in developing the initial guidelines. These data came predominantly from the

Administrative Office of the U.S. Courts but were augmented by a special Commission

data collection. Because constitutional challenges to the guidelines delayed nationwide

implementation for 15 months, fewer guideline cases were available for analysis than

originally anticipated. Therefore, to increase the sample size, guideline datasets for bank

robbery, bank embezzlement, and heroin distribution offenses cover more than one fiscal

year (e.g., offenders sentenced between January 19, 1989, and September 30, 1990).

The cocaine dataset includes additional variables not found in the other three disparity

datasets that indicate type and amount of drugs. The Anti-Drug Abuse Act of 1986

(ADAA86), in setting equivalencies for various types and amounts of drugs, established

different equivalencies for powder cocaine and cocaine base. Data available through

FPSSIS do not distinguish between powder cocaine and cocaine base (crack). The

guidelines incorporated the statutory equivalencies by equating one unit of cocaine base to

100 units of cocaine powder (see guideline 2D1.1). The Commission undertook a special

data collection effort that produced a file identifying the particular type of cocaine. 

Consequently, the cocaine dataset covers a much shorter time frame, from September to

December 1990. The Commission’s augmented FPSSIS data serve as the preguidelines

source for the sample of cocaine distribution cases.

Cases in each of the four datasets represent single counts of conviction or multiple counts

that generally would not enhance either the preguidelines or guidelines sentence. The

bank embezzlement dataset contains 1,143 cases (536 preguidelines and 607 guidelines);

the bank robbery sample 1,372 cases (502 preguidelines and 870 guidelines); the heroin

distribution sample 1,454 cases (530 preguidelines and 924 guidelines); and the cocaine

distribution sample 1,710 cases (328 preguidelines and 1,382 guidelines).

1991 Evaluation Study: Time Series Data. 

ICPSR.
United States Sentencing Commission

48

The data in this collection represent two separate studies designed to assess the impact of

the sentencing guidelines. The first is a use of incarceration study, which includes data on

the incarcerative and non-incarcerative sentences imposed and the average length of

expected time to be served in incarceration for all offenses as well as for select groups of

offenses. The second is a prosecutorial discretion and plea bargaining study, which

includes data on the numbers of matters initiated, cases filed, and cases disposed of by

guilty plea and trial.

Both studies reflect monthly time series before and after the implementation of the

guidelines in November 1987. FPSSIS files from the Administrative Office of the U.S.

Courts defined the universe of observations for the study on use of incarceration. FPSSIS

records have been matched with data from the Sentencing Commission’s Monitoring

dataset, the Federal Bureau of Prisons, and the U.S. Parole Commission to obtain the

relevant variables to compute the outcome variable “expected time to be served.” 

Individual sentence records in each of the datasets have been merged into one dataset. 

Data on use of incarceration reflect monthly time series covering the period from 1984 to

1990.

The monthly time series measurements for the prosecutorial discretion and plea

bargaining study cover the period from 1984 to 1990. These monthly time series have

been constructed from two datasets maintained by the Executive Office for U.S. Attorneys: 

(1) Docket and Reporting System for Fiscal Years 1984-1986, and (2) Criminal Master

File with Auxiliary Events and Charge Files (referred to as the new data system) for

fiscal years 1987-1990. These datasets contain processing information about matters

initiated, cases filed, and cases resolved in U.S. attorney offices in each federal district.

1991 Evaluation Study: Implementation Study Interviews.

SC-Inspect.

This is a hard copy of implementation study interviews with judges, probation officers,

assistant U.S. attorneys, federal defenders, private counsel, and federal court clerks.
Guide to Publications & Resources # 2000–2001

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