Source: http://www.ussc.gov/Research_and_Statistics/Annual_Reports_and_Sourcebooks/2001/AppA_01.htm
Timestamp: 2013-12-11 20:22:18
Document Index: 762219201

Matched Legal Cases: ['§5', '§2', '§2', '§2', '§2', '§2', '§2', '§2', '§2', '§ 18', '§2', '§2', '§2']

2001 Annual Report - Appendix A
Descriptions of Datafiles, Variables, and Footnotes Introduction
Federal courts are required to forward to the Commission sentencing information on all defendants sentenced under the Sentencing Reform Act of 1984 (SRA), except in cases that solely involve petty offenses. Standard information on each case is computerized for analysis using data from case files received. Tables in this report use the Commission’s datafile, USSCFY01, which includes information on the 59,897 defendants sentenced under the SRA during fiscal year 2001 (October 1, 2000, through September 30, 2001), for whom data were received as of May 1, 2002. Given the nature of the datafile and reporting requirements, the following are not included: cases initiated but for which no convictions were obtained, defendants convicted for whom no sentences were yet issued, and defendants sentenced but for whom no data were submitted to the Commission. Because the Commission collects information only on cases sentenced under the guidelines, information on cases sentenced under prior law (preguidelines) during FY2001 is not available in this dataset. When cases are sentenced under both prior law and the guidelines, only the guideline relevant information is coded in the dataset. Variables
The following section describes the variables used in this report. Age
The Age of the defendant on the day of sentencing is calculated using the defendant’s date of birth as reported in the Presentence Report and the date of sentencing as reported in the Judgment of Conviction order. Appeals
Appeals data are derived from analyses of opinions and orders from the courts of appeals. For purposes of the appeals data, an appeals case is one in which a federal court of appeals has issued an opinion or order. Opinions and orders submitted by the courts are collected and coded. All appeals cases are coded for identifying data, such as parties, disposition, date, and circuit. In cases in which the appellant is appealing a sentencing issue, the sentencing issue is coded. Conviction issues are not coded.
Using sentencing information obtained from the Judgment of Conviction order, Average Length of Imprisonment is reported as the mean and median terms of imprisonment ordered for cases committed to the Bureau of Prisons. Cases that receive no term of imprisonment are not included in the average. Cases for which a term of imprisonment is ordered but the length is indeterminable also are excluded. In most cases for which the exact term is unknown, the Judgment of Conviction order merely specifies a sentence of time served. Prior to fiscal year 1993, the Commission defined life sentences as 360 months. However, to reflect life expectancy of federal criminal defendants more precisely and to provide more accurate length of imprisonment information, life sentences are now defined as 470 months. Chapter Two Guideline Applied
Chapter Two Guideline Applied represents the offense specific guideline applied from that chapter. For cases in which a cross reference is used, the guideline that most fully explains the sentence is shown. The guideline applied is the last guideline referenced, and may be equivalent to either the guideline referenced by statute or the cross-referenced guideline.
Information on the Citizenship Status of defendants is obtained from the Presentence Report. Defendants are categorized as one of the following: “U.S. citizen,” “resident alien,” “illegal alien,” and “non-U.S. citizen, alien status unknown.” The latter three categories are collapsed into the category of “non-U.S. citizen.”
Information on the Country of Citizenship for non-U.S. citizen defendants is obtained from the Presentence Report and includes the most frequently occurring countries of origin for non-U.S. citizens. Countries appearing less than 50 times are collapsed into the “other” category. Criminal History Category
Criminal History Category is derived from the Report on the Sentencing Hearing provided by the sentencing court. Tables involving the Report on the Sentencing Hearing are based on the cases for which the Commission has received such documents. Criminal history category is taken from the Presentence Report when the Report on the Sentencing Hearing is not available. While the court may disagree with Presentence Report information, the criminal history category is the same in more than 95 percent of cases for which both documents were received. Degree of Departures
Degree of Departure is based on the difference between the length of imprisonment (not including any months of alternative confinement as defined in §5C1.1) and the endpoint of the applicable guideline range. Information on Degree of Departure is calculated based on the extent of departure from the guideline minimum for downward departure and substantial assistance cases and is measured from the guideline maximum for upward departure cases. Life sentences, sentences of probation, and cases where the guideline minimum is zero months are all excluded from all degree of departure calculations due to the logical difficulty in calculating a departure from these values. Departures Information on Departures is obtained primarily from the Report on the Sentencing Hearing. A case is determined to involve no departure if the sentence imposed is within the guideline range established by the court. If the sentence falls outside this range, the case is coded as a departure, and the applicable reasons given by the court are noted. For cases in which no Report on the Sentencing Hearing is provided or the information contained in it is insufficient, the sentence from the Judgment of Conviction order is compared to the guideline range recommended in the Presentence Report. If the sentence imposed falls within the recommended range, the case is coded as within the guideline range. However, if the sentence falls outside the guideline range recommended by the probation officer, the case is not coded as a departure. Because the court may have changed the PSR findings, departure status is coded as missing departure status. Additionally, cases in which no guideline sentencing range was established (e.g., no analogous guideline offenses) are included in the missing departure category. District
Information on the judicial District in which sentencing occurred is obtained from the Judgment of Conviction order.
In a drug case, the amount of the controlled substance is obtained from the Judgment of Conviction order or the Presentence Report and included in the USSCFY01 datafile. It is used to apply the base offense level from USSG §2D1.1. Table 42 shows the number of cases, mean drug weight, and median drug weight for cases involving specific drug types that were sentenced under USSG §2D1.1 and received one of four relevant base offense levels.
Drug Offense Guideline information is obtained from the Presentence Report and is based on the guidelines in USSG Chapter Two, Part D. The six guidelines featured in the tables (§2D1.1, §2D1.2, §2D1.5, §2D1.6, §2D1.8, and §2D2.1) represent the vast majority of drug cases. Drug Type
Information on Drug Type is obtained from the Judgment of Conviction order or the Presentence Report. It is recorded only if at least one of the statutes of conviction recorded by the Commission is a title 21 U.S. Code offense or a non-title 21 offense when the underlying conduct involves a controlled substance. Information about type of drug in the text and tables is derived from the primary drug type (i.e., the type that produces the highest base offense level). The category Marijuana includes Hashish and Hashish oil. The category Methamphetamine includes pure (actual) methamphetamine, “ICE”, methamphetamine mixture, and methamphetamine precursors. (“ICE” has been included in the methamphetamine category since FY1996). All drug types not listed separately in this report are collapsed into the “other” drug category.
Information on education of the defendant is obtained from the Presentence Report and is collapsed into general categories. Technical, military, and vocational training as well as course work at community colleges are included in the Some College category. A general equivalency degree (GED) is included in the High School Graduate category. Fines and Restitution
Fines and Restitution information is obtained from the Judgment of Conviction order. The Total Receiving Fines and Restitution category includes the number of cases ordered to pay a fine, make restitution, or both. Fine information may also include cost of supervision. Cases involving fines and restitution overlap with other sentencing categories because fines and restitution may be ordered in conjunction with the imposition of other sanctions. The average dollar Amount of Payment Ordered, presented both in Mean and Median values, is the dollar amount of the fine and the restitution ordered for cases involving economic sanctions. Cases that receive no fine or restitution are not included in the calculation of the average. The number of cases upon which the average is based may not equal the Total Receiving Fines and Restitution; this is due to the failure of some Judgment of Conviction orders to specify the dollar amount ordered. The Sum of payment ordered reflects the total dollar amount of fines and restitution ordered, excluding cases in which the amount is indeterminable. The median of payments ordered reflects the amount located at the fiftieth percentile of all amounts ordered, excluding cases in which the amount was indeterminable or zero. Gender
Gender of the defendant is obtained from the Presentence Report or probation office. Guideline Defendants Sentenced
The Guideline Sentencing Range is taken from the Report on the Sentencing Hearing provided by the sentencing court. Alternatively, if the Report on the Sentencing Hearing is missing, then the information is taken from the Presentence Report.
For tables in this report, unless otherwise indicated, the guideline sentencing range does not take into account applicable statutory restrictions on either the maximum or the minimum of the range; therefore, it may differ from the available range, which does take into account the statutory restrictions.
The final Offense Level used in these tables is taken from the Report on the Sentencing Hearing provided by the sentencing court. Alternatively, if the Report on the Sentencing Hearing is missing, but the court indicates that it accepts the values contained in the Presentence Report, the guideline factors are taken from the Presentence Report. Organizations
Organization is a “person other than an individual,” according to 18 U.S.C. § 18. The term includes corporations, partnerships, associations, joint-stock companies, unions, trusts, pension funds, unincorporated organizations, governments and political subdivisions thereof, and non-profit organizations. Position of Sentence
Race Information on Race of the defendant is obtained from the Presentence Report in separate categories of race and ethnicity (White, Black, Native American or Alaskan Native, and Asian or Pacific Islander). Ethnicity data indicate whether a defendant is of Hispanic origin. (For purposes of this report, defendants whose ethnic background is designated as Hispanic are represented as Hispanic in all tables regardless of racial background.) The Other category includes defendants of Native American, Alaskan Native, and Asian or Pacific Islander origin. Additionally, for cases in which information on defendant race could not be obtained but the offender was sentenced to prison, the Commission performed a search for the missing demographic information using the Bureau of Prisons SENTRY system. Reasons for Departure
Reasons for Departure as given by the sentencing judge are coded for cases involving departures. This information is obtained from the Report on the Sentencing Hearing when available. Because courts often provide more than one reason for departure, the frequencies on the reason for departure tables may add up to more than the number of cases with reasons for departure. Safety Valve
Safety Valve cases were identified by the application of USSG §2D1.1 (b)(6) (Note that the specific offense characteristic notation varies from year to year. The 2000 Guidelines Manual, the most recent manual used on the fiscal year 2001 datafile, cites §2D1.1 (b)(6) as the applicable specific offense characteristic.). The application of this specific offense characteristic removes the statutory minimum penalties associated with drug distribution of certain amounts. Also, the defendant receives a two-offense-level reduction, pursuant to USSG §2D1.1 (b)(6).
Sentencing Appeals Disposition
Data is derived from analysis of opinions and orders from the courts of appeals. The appeals disposition code indicates the disposition of the case. Affirmed cases are cases in which an appellate court holds that the judgment of the court below is correct and should stand. Reversed cases are those in which an appellate court sets aside, annuls, vacates, or changes to the contrary the decision of a lower court. Affirmed and Reversed cases are cases in which an appellate court affirms one or more, and reverses one or more of the issues that were appealed. Dismissed cases are those an appellate court terminates without a complete trial and without issuing a holding. A dismissal of an appeal places the parties in the same condition as if no appeal had been taken or allowed, and thus acts as a confirmation of the judgment of the court below.
Sentencing Issues Appealed
Data are derived from analyses of opinions and orders from the courts of appeals. Each sentencing issue raised by the appellant is coded by the guideline involved and description of the particular issue addressed within that guideline. Challenges related to sentencing, but not to guideline application, are coded under categories reserved for “constitutional issues” or “other general sentencing issues.”
Information on Year is obtained from the Judgment of Conviction order. Unless otherwise indicated, the sentencing year is defined as the fiscal year in which the defendant was sentenced.
Zone D: a guideline range is in Zone D when the minimum term of imprisonment specified is twelve months or more. See Chapter 5 of the Guidelines Manual for a description of alternatives to imprisonment and the conditions under which they are applicable.
The following footnotes pertain to the “Fiscal Year 2001 Guidelines Sentences” tables provided in Appendix B. Actual figures provided in these footnotes apply only to the national data table. Additional information describing variables and data used are provided earlier in this appendix.
1 Cases with missing or indeterminable information on gender or race are excluded. Nationally, this involves the exclusion of 1,404 cases because of missing information on gender (42) or race (1,395).
2 Cases with missing or indeterminable departure information are excluded. Nationally, this involves the exclusion of 5,046 cases. 3Cases with missing or indeterminable information on the age or gender of the defendant are excluded. Nationally, this involves the exclusion of 1,631 cases.
4 Two hundred twenty-five cases with missing or indeterminable information on mode of conviction are excluded. 5 Of the 59,897 guideline cases, 1,308 are excluded due to one or more of the following reasons: missing information on type of sentence (396), cases in which no prison or probation was imposed (845), or cases in which primary offense type was missing (206).
6 Cases in the Total Receiving Prison and Total Receiving Probation categories total 100 percent of all cases; however, Cases Involving Fines and Restitution overlap with the other categories because fines and restitution may be ordered in conjunction with the imposition of other sanctions.
Cases involving no term of imprisonment and cases with indeterminable terms are excluded from the calculation of the Average Months Prison category. Any sentence of days with at least one month of prison is rounded up to the nearest month. Any sentence of days of less than a month is expressed as a fraction of the month. Life sentences are included in these calculations as 470 months. The 59,691 cases included in the Total Cases column reflects 206 cases that are excluded due to missing information on primary offense type.
Cases involving no term of imprisonment and cases with indeterminable terms are excluded from the category Length of Prison Term. Any sentence of days with at least one month of prison is rounded up to the nearest month. Any sentence of days of less than a month is expressed as a fraction of the month. Life sentences are included in the category Over 60 Months.
7 Cases receiving no order of fine or restitution are excluded from the calculation of the Total Receiving Fines and Restitution. The number of cases upon which the average is based may not equal the Total Receiving Fines and Restitution due to the failure of some Judgment of Conviction Orders to specify the dollar amount ordered. Of the 59,897 guideline cases, 985 cases missing offense type or fine and restitution information are excluded from these calculations. Of the remaining 58,912 cases with such information,42,137 cases with no order of fine or restitution ordered are excluded from these calculations.