Federal Firearm Offenders 1992-1998, DOJ BJS, 1998

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U.S. Department of Justice
Office of Justice Programs

Bureau of Justice Statistics

Special Report
June 2000, NCJ 180795

With Preliminary Data for 1999

Federal Firearm Offenders,
1992-98
By John Scalia
BJS Statistician
Between 1992 and 1999, an annual
average of 6,700 defendants were
charged with a firearm offense in U.S.
district courts. The Federal criminal
code regulates who may lawfully
receive or possess firearms, regulates
the manufacture and distribution of
firearms, and penalizes the criminal
use of firearms. A person may be
disqualified from lawfully purchasing or
possessing a firearm if, among other
reasons, the person has been convicted of a felony, is an unlawful user of
controlled substances, or is subject to
a domestic violence restraining order.
While data describing defendants
charged were incomplete prior to 1992,
available data suggest that firearm
investigations and prosecutions by
U.S. attorneys peaked during 1992.
After 1992 the number of defendants
charged with a firearm offense in U.S.
district courts – either alone or with
another offense – decreased. During
1994, 11% fewer defendants were
charged with a firearm offense than
during 1992. Despite an increase
during 1995, the number of defendants
charged continued to decrease through
1997. During 1998 and 1999 the
number charged increased to 6,728.
Most defendants (85%) charged with a
firearm offense during 1998 were
charged with unlawful possession.

Highlights
The number of defendants charged Imposed sentences for a Federal
with a firearm offense decreased,
firearm offense increased from 79
1992-97, and increased, 1997-99
months, on average, to 100 months
Number of defendants
charged with a firearm offense
8,000

Average number of months
of prison imposed
120
100

Total
6,000

Possession

4,000
2,000

Federal offenders
whose most serious offense
was a firearm offense

All other

20
0
1992

1994

1996

1998 1999

0
1992

1994

1996

1998

preliminary

ù A reason for the decline in firearm
prosecutions was the Supreme
Court’s Bailey decision that limited
prosecutors’ ability to charge defendants with using a firearm during a
violent or drug offense.

ù 85% of firearm defendants were
charged during 1998 with unlawful
possession. Seven percent were
charged with unlawfully receiving or
transferring a firearm.

ù Following Bailey, the number of
defendants receiving a guideline
enhancement for weapon use
increased 31%.

• 8% of defendants were convicted
of a transfer offense during 1998.
Of these, 47% were prohibited from
possessing a firearm; 19% were straw
purchasers; 6%, retail dealers; and
28%, others unlawfully selling firearms.

ù 41% of defendants charged with a
firearm offense were prosecuted in
the 20 most populous Federal judicial
districts; these districts accounted for
about half of all State or local arrests
for violent and drug offenses.

• Defendants convicted of using a
firearm during a crime were sentenced
to serve 92 months, on average, in
addition to the 111 months imposed
for the predicate offense.

Number of suspects investigated
for a firearm offense and number
U.S. attorneys declined to prosecute
Number of suspects investigated for a firearm
offense, when that offense was the most
serious one investigated
8,000
Investigated
6,000

Alternative resolution
Suspect-related reason
Other reasons

Declined

2,000
0
1990

Reason for declination
Total
No crime
Referred or handled
in other prosecution

1992
1994
1996
Year concluded

1998

Figure 1

Of these defendants, 61% were also
charged with a substantive offense
such as drug trafficking or bank
robbery; 39% were charged with only
the firearm offense. About 40% of
those charged with a possession
offense were disqualified from
possessing a firearm based on their
status as a prohibited person.
Seven percent of those charged
with a firearm offense during 1998
were charged with unlawfully receiving
or transferring a firearm. Of the 341
defendants convicted of a transfer
offense during 1998, 135 were identified as prohibited persons attempting
to acquire a firearm, and 56 were
identified as “straw purchasers.” Straw
purchasers are persons who buy
firearms on behalf of others without
disclosing that fact on the forms
required by the Bureau of Alcohol,
Tobacco and Firearms.
This report includes trends from fiscal
year 1992 through 1999. Statistics for
1999 are preliminary, as complete data
for 1999 were not provided in time for
inclusion; final 1999 data are expected
to include additional firearm prosecutions. Detailed analyses are based on
fiscal year 1998 data.
Prosecutorial decisions by U.S.
attorneys

Declinations
Not all suspects in matters reviewed
by U.S. attorneys are prosecuted in
Federal courts. Between 1990 and

Types of firearm offenses charged
Based on statutes (appendix table 3,
page 13), Federal firearm offenses
can be grouped into three broad
categories:
(1) unlawful possession,
(2) receipt and transfer, and
(3) regulatory offenses.

Percent
100.0%
18.1%
36.1%

Prosecuted &
By other authorities
On other charges/plea bargain

4,000

Prosecutions by U.S. attorneys

Table 1. Firearm suspects declined
for prosecution by U.S. attorneys,
by reason for declination, 1998

29.5
6.6
2.1%
3.5%
40.3%

Between 1992 and 1999 approximately
77% of Federal firearm defendants
Minimal Federal interest
4.6
were charged with unlawfully possessDOJ/U.S. attorney policy
4.1
ing a firearm; 8% were charged with
Agency request
6.5
Lack of resources
3.1
unlawfully receiving or transferring a
Weak evidence
17.3
firearm; and 1% were charged with
Other
4.7
offenses associated with
regulatory
Number of suspects
1,279
the distribution of firearms (table 2).
Data source: Executive Office for U.S. AttorIn addition, 12% of defendants were
neys, central system data file, FY 1998
charged with other firearms-related
offenses & primarily State-level
1998 U.S. attorneys declined to proseoffenses adopted pursuant to the
cute about 31% of those initially investiAssimilated Crimes Act (18 U.S.C. §
gated for a firearm offense (figure 1).
13) and prosecuted in Federal courts.
Suspects whom the U.S. attorneys did
not prosecute, however, may have
been prosecuted by State authorities
or on other charges. During 1998
approximately 30% of those declined
for prosecution were referred to other
authorities for prosecution, and 2%
entered a pretrial diversion program
(table 1). For an additional 35%, the
U.S. attorneys determined that either
no crime had been committed (18.1%)
or the evidence was too weak to
support a conviction (17.3%).

Unlawful possession of firearms
The Federal criminal code includes
more than a dozen statutory provisions
that regulate the lawful possession or
use of firearms (appendix table 3). A
person is prohibited from purchasing
or possessing a firearm if the person –
• is under indictment for, or has been
convicted of, a crime punishable by
imprisonment for more than 1 year
• is a fugitive from justice

Table 2. Defendants charged in U.S. district courts with a firearm offense,
by type of offense, 1992-99

1992
1993
1994
1995
1996
1997
1998

Total
7,621
7,086
6,756
7,044
6,191
5,993
6,397

Possession
5,911
5,093
4,585
5,157
4,943
4,872
5,419

1999b

6,728

5,626

Type of firearm offense
Transfer
Regulatory
488
54
639
83
743
81
746
82
467
62
475
67
453
64
461

Othera
1,168
1,271
1,347
1,059
719
579
461
590

Note: Statistics represent any offense charged. In other BJS reports,
some of these defendants may have been categorized differently based on the
most serious offense charged, as determined by potential sentence length.
a
"Other” violations are primarily State offenses prosecuted in U.S. district
courts pursuant to the Assimilated Crimes Act (18 U.S.C. ö13). Court records
contain no information describing the nature of these offenses.
b
Statistics for 1999 are preliminary only. See Methodology.
Data source: Administrative Office of the U.S. Courts, criminal master file, fiscal years 1992-99

Bailey v. United States: Supreme Court standards
for charging a firearm offense in relation to an
underlying offense

1998). Between 1995 and 1998 the number annually
charged with a § 924(c) offense decreased from 2,958 to
2,385 (not shown in a table).

The decrease in prosecutions for using a firearm in
relation to a violent or drug trafficking offense
(18 U.S.C. § 924(c)) primarily resulted from the Supreme
Court’s decision in Bailey v. United States (516 U.S. 137,
116 S.Ct. 501). In December 1995 the Supreme Court
ruled that to support a conviction, prosecutors must establish that the defendant actively used the firearm during the
offense. The standard set forth required that the defendant have fired, attempted to fire, brandished, displayed,
or otherwise used the firearm during the underlying
offense. The court concluded that mere possession of a
firearm during the commission of the offense was not
sufficient for conviction.*

The Bailey decision came when U.S. attorneys were
prosecuting more defendants in U.S. district court for
violent and drug offenses than during previous years.
Between 1995 and 1998 the number of defendants
charged with a violent or drug offense in U.S. district
courts increased 25% – from 23,979 to 30,081 (Compendium of Federal Justice Statistics, BJS report, annual,
table 3.1). Without the limitations imposed by Bailey, the
number of defendants charged with a § 924(c) offense
should have increased rather than have decreased.
Allowing for a 25% increase in the number of defendants
charged with predicate offenses, an estimated 2,500 more
defendants would have been charged with § 924(c) during
the 33 months following the decision, had the Supreme
Court ruled otherwise in Bailey. (For the source of the
estimate, see page 11, Methodology.)

Because Bailey originated in the U.S. Court of Appeals
for the District of Columbia, the case had little impact on
charging practices in the other 11 judicial circuits until the
Supreme Court issued its decision. Consequently, the
effect of Bailey throughout the Federal system was
immediate.
During January 1996, 50% fewer defendants were
charged with a § 924(c) offense than during November
1995, the month preceding the decision (figure). The
decreased use of § 924(c) continued at a generally lower
level through the end of the study period (September
*Responding to Bailey, Congress in 1998 amended 18 U.S.C. §
924(c) to apply to defendants possessing, as well as actively
using, a firearm in furtherance of a violent crime or a drug
trafficking offense. See, P.L. 105-386, 112 Stat. 3469 (1998).
Number of defendants
350

Guideline enhancement

300
250
200
150
924(c) enhancement

100
50
0
1992

1994

1996

1998

U.S. Supreme Court
decided Bailey v. United States

Federal sentencing guidelines provide for sentence
enhancements when the defendant used or possessed a
weapon during the commission of the offense. Application
of the guideline enhancement is not dependent on charging decisions by the prosecutor and is not limited by the
Supreme Court’s ruling in Bailey. The enhancement
applies when a weapon is present unless it is clearly
improbable that the weapon was connected to the offense
(U.S.S.G. § 2D1.1, comment (n.3)). However, when a
defendant is convicted of a § 924(c) offense, to avoid
imposition of a double penalty, the guideline enhancement
is not applied (U.S.S.G. § 2K2.4, comment (n.2)).
Following Bailey, the number of defendants receiving a
guideline enhancement for weapon use or possession
increased. During January 1996, 17% more defendants
received a guideline enhancement for weapon use than
during November 1995. Between 1995 and 1998 the
number of defendants annually receiving a guideline
enhancement for weapon use increased 31% –
from 2,598 to 3,393 (table 8).
Because prosecutors often dismiss the § 924(c) charge
in exchange for a guilty plea, the increased use of the
sentencing guideline enhancement offsets the decreased
use of § 924(c) (table 8). However, penalties applicable
following a § 924(c) conviction differ substantially from
those applicable under the sentencing guidelines. (See
page 9.)

• is an unlawful user of, or is addicted
• is an illegal alien or has been admitto, any controlled substance
ted to the United States under a
• has been adjudicated as a mental
nonimmigrant visa
defective or has been committed to a • has been discharged from the U.S.
Armed Forces under dishonorable
mental institution
conditions
• has renounced U.S. citizenship

• is subject to a court order restraining
him or her from harassing, stalking,
or threatening an intimate partner
or child
• has been convicted in any court of
a misdemeanor crime of domestic
violence.
Federal Firearm Offenders, 1992-98 3

Additionally, juveniles – persons under
age 18 – are prohibited from possessing handguns (18 U.S.C. § 922(x)).
Federal firearm licensees are prohibited from transferring a handgun to a
person younger than 21 or a long gun
to a person younger than 18 (18 U.S.C.
§ 922(b)(1)).
A detailed description of disqualifying
characteristics and of Federal and
State procedures relating to firearm
sales is provided in Survey of State
Procedures Related to Firearm Sales,
Midyear 1999 (BJS report, NCJ
179022).
From the inception of the Brady Act on
February 29, 1994, to December 31,
1999, more than 536,000 (2.4%) of
the 22 million applications for firearm
purchase or pawn transactions were
rejected because the applicant was
prohibited by Federal, State, or local
law from possessing a firearm
(Background Checks for Firearm
Transfers, 1999, BJS Bulletin, NCJ
180882, June 2000). Nearly threequarters of the rejections were due
to the finding of a felony conviction
or indictment.

declined through 1997 before increasing again in 1998 and 1999. More than
half the total decrease can be attributed to fewer prosecutions of Statelevel firearm offenses in Federal courts
pursuant to the Assimilated Crimes Act
(18 U.S.C. § 13). The number of
defendants charged with a State-level
offense fell from 1,168 to 590.
An additional 30% of the total decrease
can be attributed to fewer prosecutions
of Federal possession offenses. The
number of defendants charged with a
Federal firearm possession offense
decreased from 5,911 (during 1992)
to 5,626 (during 1999).
Between 1992 and 1998 the decrease
in the prosecution of possession
offenses primarily resulted from
decreases in the charging of two
offenses &
ù using a firearm in relation to
a violent or drug trafficking offense
(18 U.S.C. § 924(c)), down 23%,
from 2,884 to 2,222
ù possession of an unregistered
firearm (26 U.S.C. § 5861(d)),
down 62%, from 714 to 271.

firearm, 1992-99, increased 13%
nationally, compared to a 12%
decrease in all firearm offenses. In 35
judicial districts, U.S. attorneys prosecuted more defendants for a § 922(g)
offense (prohibited person) during
1998 than 1992 (not shown in a table).
Almost half the defendants charged
with a possession offense between
1992 and 1999 were charged with
using a firearm during the commission
of a violent or drug trafficking offense
(18 U.S.C. § 924(c)). Of those
charged with a possession offense
between 1992 and 1999 –
• 44% were charged with unlawfully
possessing a firearm based on their
status as a prohibited person
(18 U.S.C. § 922(g))
• 8%, receiving or possessing an
unregistered firearm (26 U.S.C.
§ 5861(d))
• 3%, possessing firearms with altered
or obliterated serial numbers (18
U.S.C. § 922(k) and 26 U.S.C.
§ 5861(h))
• 3%, possessing stolen firearms (18
U.S.C. § 922(j)) (appendix table 3).

The number of defendants prosecuted
Other statutory provisions prohibit the
for being a felon in possession a
possession of certain types of firearms,
Table 3. Defendants charged in U.S. district courts
stolen firearms, firearms with obliterwith a firearm possession offense, 1998
ated or altered serial numbers, and
possession of firearms in certain
Percent of defendants charged
with a firearm possession offense
places. In addition, 26 U.S.C. §
Possession
Plus substantive
5861(d) prohibits the possession of
offense only
offense
certain firearms not registered on the
Firearm offense*
National Firearms Registration and
Possession of a firearm by a prohibited person
71.4%
30.3%
Transfer Record. Firearms required to
Possession of stolen firearms
7.4
2.0
Transportation, shipment, or receipt of firearms
be registered include machine guns,
with obliterated or altered serial numbers
4.0
1.9
short-barreled shotguns and rifles, and
Shipment, transportation, or receipt of a firearm
silencers.
by a person under indictment for a felony offense
8.3
3.2

Trend in firearm prosecutions
In 1991 the Department of Justice initiated Project Triggerlock, a policy to
use Federal firearm statutes to prosecute violent offenders in U.S. district
courts. Between 1990 and 1992 the
number of suspects investigated for
a firearm offense increased 36%
(figure 1).
After a period of increased firearm
prosecutions, prosecutions generally

Possession of a machine gun
Possession of a firearm in a school zone
Use or possession of a firearm during the
commission of a violent or drug trafficking offense
Receipt or possession of an unregistered firearm
Substantive offense
Drug trafficking
Bank robbery
Racketeering
Other
Number of defendants

4.3
2.7

1.6
0.7

4.2
9.6

69.5
3.0

-----

53.6%
20.8
8.8
16.8

2,117

3,302

--Not applicable.
*Includes only the most frequently charged offenses. Because defendants may have
been charged with more than one firearm offense, percentages add to more than 100%.
Data source: Administrative Office of the U.S. Courts, criminal master file, fiscal year.

Federal prosecutors often charge
statutes pertaining to the lawful possession of firearms in conjunction
with a substantive offense such as
drug trafficking or bank robbery.
During 1998, 61% of defendants
charged with firearm possession
offenses were also charged with
another offense: 54% were charged
with drug trafficking; 21%, bank
robbery; and 25%, other offenses
including racketeering (9%) (table 3).
For more than two-thirds of defendants
charged with both a substantive
offense and a firearm possession
offense, the defendant was charged
with 18 U.S.C. § 924(c) & use during
a violent or drug trafficking offense.
A third of those charged with both a
firearm and substantive offense were
charged as prohibited persons unlawfully possessing a firearm pursuant to
18 U.S.C. § 922(g) or (n).
For 39% of defendants charged with
a Federal firearm offense, the firearm
possession offense was the only
offense charged. More than threequarters of these defendants were

charged with unlawfully possessing a
firearm based on their status as a
prohibited person: 71% pursuant to
18 U.S.C. § 922(g) and 8% pursuant
to 18 U.S.C. § 922(n). Other offenses
for which these defendants were
charged included receipt of an unregistered firearm (10%) pursuant to 26
U.S.C. § 5861(d), possession of stolen
firearms (7%) pursuant to 18 U.S.C. §
922(j), and using a firearm in relation
to a violent or drug trafficking offense
(4%) pursuant to 18 U.S.C. § 924(c).

Unlawful receipt or transfer of firearms
During 1998, 341 defendants were
convicted of a firearm receipt or transfer offense. Detailed information was
collected on 85% (288) of those convicted. (See Methodology.) Of these
288 defendants, 47% were not permitted to lawfully possess or receive a
firearm because of their status as a
prohibited person; 19% were identified
as straw purchasers; 28% involved
other individuals unlawfully receiving or
transferring firearms; and 6% involved
retail dealers unlawfully transferring
firearms (table 4).

Table 4. Defendants convicted in U.S. district court
of firearm receipt and transfer offenses, 1998

Characteristic

Total

Type of defendant
Private individual
Prohibited Straw
person
purchaser Other

Retail
dealera

Type of transaction
Retail sale
Nonretail sale
Other transaction

114
127
47

55
48
32

40
15
1

7
61
10

12
3
1

Location of transaction
Retail store
Pawnshop
Gun show
Private transaction
Other

109
22
13
102
2

58
11
2
35
0

34
8
2
10
1

7
0
8
55
1

10
3
1
2
0

Type of firearms involvedb
Handgun
Shotgun/rifle
Assault weapon

197
100
38

84
59
13

42
10
6

57
26
18

14
5
1

Number of firearms involved
Mean
Median

24
4

18
3

34
12

28
6

23
14

Number of defendants

288

135

Represents Federally licensed individuals who operated retail stores, including pawnshops.
Because multiple types of firearms may have been involved in the commission
of the offense, categories add to more than the total number of defendants.

Data source: Special data collection from Federal presentence investigation reports
of defendants convicted during fiscal year 1998. See Methodology.

A “straw purchase” occurs when the
actual buyer uses another person to
make the purchase from a licensed
dealer. While buying a firearm for
someone else is not itself illegal,
Federal forms require that this information be disclosed at the time of the
purchase. (See ATF Form 4473.)
Knowingly making false or fictitious
statements & including false statements relating to prior felony convictions & on the required application
form is an offense prosecutable
under 18 U.S.C. § 922(a)(6).
Other transfer violations include
knowingly distributing or transferring
firearms to prohibited persons, distributing firearms to persons not present
in a business establishment, distributing handguns to persons under the
age of 21 and long guns to persons
under the age of 18, and unlawfully
shipping firearms (appendix table 3).
Almost half of the transfer offenses
involved nonretail sales & sales
through private transactions. In about
two-thirds of the cases, the firearm
transferred was a handgun. About
30% of the cases involved shotguns
or rifles, and 13% involved assault
weapons. (Defendants may have
purchased or attempted to purchase
several types of firearms, so that
percentages add to more than 100%.)
On average, each transfer offense
involved 24 firearms; however, half
the cases involved 4 or fewer.

Prohibited persons
In 41% of the 135 cases in which the
defendant was identified as a prohibited person, the defendant purchased
or attempted to purchase a firearm
from a licensed firearm dealer and in
36%, from sources other than dealers.
In 24% of these cases the defendant
participated in other unlawful activities.
While half of all transfer cases involving prohibited persons concerned 3
or fewer firearms, prohibited persons
acquired, or attempted to acquire, an
average of 18 firearms each. Sixty-two
percent of these cases involved
handguns; 44%, shotguns or rifles;
and 10%, assault weapons.
Federal Firearm Offenders, 1992-98 5

For most (84%), the disqualifying
characteristic that prevented lawful
possession was a prior felony conviction (not shown in a table).
In addition &
• 10% purchased the firearm with the
intent to commit a felony offense
• 9% had a history of drug abuse
• 4% were illegal aliens
• 3% were subject to a domestic
restraining order. (Because a person
may be disqualified for multiple
reasons, percentages sum to more
than 100%.)

Straw purchasers
In more than two-thirds of the 56 cases
where the defendant was identified as
a straw purchaser, the firearm was
purchased from a licensed firearm
dealer. In 62% of the cases, the
firearm was purchased from a retail
store; in 15% from a pawnshop; and
in 4% from a gun show. An additional
18% of the cases involved private
transactions.
While half of the straw purchasers
purchased 12 or fewer firearms, this
type of case involved an average
of 34 firearms. (Available data do not
indicate the time frame during which
the purchases were made.) Seventytwo percent of the cases involved
handguns; 18% involved shotguns or
rifles; and 11% involved assault
weapons.

Persons dealing without a license
or transferring a firearm unlawfully
Two-thirds of the 81 receipt and transfer offenses involving individuals other
than prohibited persons and straw
purchasers were private sales of
firearms. Of these 81 defendants, 49%
were charged with dealing in firearms
without the required Federal license
(18 U.S.C. § 922(a)(1)(A)), and 19%
were charged with unlawfully transferring a firearm (26 U.S.C. § 5861(e))
(not shown in a table). In 10% of
cases, the transaction underlying the
Federal offense occurred at a gun
show.

On average, these cases involved 28
firearms; half involved 6 or fewer.
While more than two-thirds of the
cases concerned the transfer of
handguns, these cases were more
likely than those with prohibited
persons or straw purchasers to involve
shotguns or rifles (32%) and assault
weapons (22%).

Regulatory offenses
Between 1992 and 1998 an average of
70 defendants were charged each year
with a regulatory offense associated
with the sale or distribution of firearms
(table 2). Regulatory offenses include
transportation by a common carrier;
record keeping violations; and offenses
relating to the licensing, taxation, and
registration of firearms (appendix
table 3).
Charge bargaining by U.S. attorneys
The Principles of Federal Prosecution
state that Federal prosecutors “should
charge . . . the most serious offense
that is consistent with the nature of the
defendant’s conduct that is likely to
result in a sustainable conviction (U.S.
Department of Justice, U.S. Attorneys
Manual, Title 9, § 27.300(A)).” (See
http://www.usdoj.gov/usao/eousa/
foia_reading_room/usam) According
to the Principles, prosecutors are not,
absent mitigating circumstances, to
bargain away or drop charges.
An October 1993 memorandum by
Attorney General Janet Reno clarified

the Principles, seemingly to provide
prosecutors with more flexibility to
select charges or enter into plea agreements when the charges selected “fit
the specific circumstances of the case,
are consistent with the purposes of the
Federal criminal code, and maximize
the impact of Federal resources on
crime . . . [and the] sentencing range
(or potential mandatory minimum
charge, if applicable) is proportional
to the seriousness of the defendant’s
conduct and whether the charge
achieves [the purposes of sentencing
set forth by 18 U.S.C. § 3553].” (See
“Memorandum from Attorney General
Janet Reno to United States Attorneys
and Department of Justice Litigating
Divisions,” October 12, 1993.)
Prior to the Attorney General’s memorandum, 76% of defendants who were
originally charged with a § 924(c)
offense and who were convicted
pleaded guilty to one of the offenses
charged (table 5). Following the Attorney General’s memorandum, U.S.
attorneys appeared more likely to
accept guilty pleas to substantive
offenses such as drug trafficking and
bank robbery in exchange for dismissing the § 924(c) counts. For example,
during 1994-95, guilty pleas in cases
where the defendant was charged with
§ 924(c) increased to 79% of convictions. The increase coincided with an
increase in the percentage of cases
in which U.S. attorneys dismissed the
§ 924(c) charge. During 1992-93
prosecutors dismissed the § 924(c)
charge in less than a quarter of the

Table 5. Defendants in cases concluded in U.S. district courts who
were charged with using a firearm in relation to a violent or drug
trafficking offense (18 U.S.C. § 924(c)), 1992-98
Convictedb
Year
1992
1993
1994
1995
1996
1997
1998
a

Number
chargeda
2,356
2,545
2,409
2,247
2,558
2,110
2,132

Number
2,051
2,222
2,162
1,972
2,336
1,916
1,926

Percent
87.1%
87.3
89.7
87.8
91.3
90.8
90.3

Percent of
convictions
74.4%
76.9
77.6
80.8
82.1
82.3
83.1

Pleaded guilty
Proportion with §
924(c) dismissed
24.4%
25.9
37.5
50.3
65.7
56.1
54.3

Statistics identify whether the defendant was charged with a firearm
offense regardless of whether it was the primary or a secondary offense.
Convicted of any offense.
Data source: Administrative Office of the U.S. Courts,
criminal master file, fiscal year.
b

Average prison term imposed for Federal firearm
offenses, 1992-98
Months of prison imposed
120
Possession
100
Total
80

Type of
violation
Total
Possession
Transfer
Regulatory
Other

Transfer
60
40
20
0
1992

Regulatory
1994

1996

Table 6. Sentence imposed on defendants convicted
of a firearm offense in U.S. district courts,
by type of firearm offense, 1998

1998

Note: Includes only convictions in which the firearm offense
was the most serious offense.

Number
convicted
2,959
2,547
233
42
137

Note: Represents only those observations in which the firearm
offense was the most serious offense of conviction.
*Does not include sentences of community confinement imposed
in conjunction with a term of imprisonment; excludes sentences
of life imprisonment.
Data source: Administrative Office of the U.S. Courts, criminal
master file, fiscal year.

Data source: Administrative Office of the U.S. Courts,
criminal master file, fiscal year.

Figure 2

cases in which the defendant pleaded
guilty to a substantive charge. During
1994-95 dismissals rose to 37.5% and
50.3% of the cases.
While § 924(c) counts were dismissed
at greater rates from 1996 through
1998, these increases were at least
partially attributable to evidentiary
factors resulting from the Supreme
Court’s Bailey decision. For instance,
during 1996, the first year following
Bailey, in nearly two-thirds of the cases
involving guilty pleas, the § 924(c)
count was dismissed.
Defendants convicted of Federal
firearm offenses
During 1998, 91% of defendants
convicted of a firearm offense were
sentenced to prison. The average
prison term imposed was 100 months.
Half of those convicted received a
prison term of 60 months or more.
Defendants convicted of a possession
offense were sentenced to prison at
the highest rate (94%) and received
the longest sentences (105 months),
on average. By contrast, about 75%
of defendants convicted of receipt or
transfer and regulatory offenses were
sentenced to prison; the average term
imposed was 62 months.

Sentenced to prison
Average term of
Percent imprisonment*
90.9%
99.9 mo
94.0
104.5
74.7
61.5
61.9
32.5
69.3
72.8

Between 1992 and 1998 an increasing
proportion of defendants convicted
of a firearm offense was sentenced
to prison. During 1992, 85% of those
convicted were sentenced to prison
compared to 91% during 1998 (not
shown in a table). Prison sentences
have also increased & increasing from
79 months, on average, during 1992
to 100 months during 1998 (figure 2).
The increase in prison sentences can
be attributed to an increase in the
proportion of defendants receiving
sentences of 3 years or more.
Between 1992 and 1998 the number
of defendants sentenced to a prison
term of 3 years or more increased
from 51% to 71% of those sentenced
to prison (not shown in a table). The
proportion sentenced to 5 years or
more increased from 41% to 53%
of those sentenced to prison.

Table 7. Defendants sentenced as
armed career offenders in U.S.
district courts, 1992-98
Year
sentenced
Total
1992
1993
1995
1995
1996
1997
1998

Sentenced to prison
Average term of
Number Percent imprisonment*
1,897
99.8%
216.4 mo
229
100.0
217.7
305
100.0
221.5
329
99.7
213.9
281
99.6
217.9
289
99.7
218.4
266
100.0
209.6
198
100.0
214.6

*Does not include sentences of community
confinement imposed in conjunction with a
term of imprisonment.
Data source: U.S. Sentencing Commission,
monitoring data file, fiscal year.

Pursuant to 18 U.S.C. § 924(e), a
person convicted of unlawfully
possessing a firearm based on his or
her status as a prohibited person and
who has three prior convictions for
violent felonies or serious drug
offenses is subject to a mandatory
prison term of at least 15 years.
Between 1992 and 1998, 1,897 defenSentences imposed for firearm transfer dants were sentenced in U.S. district
offenses more than doubled during this courts as armed career offenders
period from an average of 28.4 months (table 7). Almost all these defendants
to 61.5 months. Sentences for posses- were sentenced to a term of imprisonsion offenses increased from 84.2
ment; the average prison term imposed
months to 104.5 months.
was 216 months.

Armed career offenders

Receipt and transfer offenses

The Firearms Owners’ Protection Act
of 1986 increased penalties for recidivist violent and drug offenders who
unlawfully possess firearms (P.L. No.
99-308, 100 Stat. 449 (1986)).

During 1998, 75% of defendants
convicted of a receipt or transfer
offense were sentenced to a term of
imprisonment. The average prison
Federal Firearm Offenders, 1992-98 7

Defendants charged with firearm offenses in U.S. district courts in the 20 most populous districts, 1997
Defendants prosecuted
in U.S. district courts
District
National

Population

Total

Firearms

Part 1 violent crimes
Per 1000
Reported population

Arrests reported by police
Part 1 violent Drug
crimes
trafficking

270,273,805

76,746

5,849

1,508,203

5.6

649,668

367,337

20 most populous districts 132,759,357
California, Central
16,405,141
Illinois, Northern
8,589,431
Florida, Middle
8,172,381
New Jersey
8,115,011
New York, Eastern
7,347,407
California, Northern
7,141,154
Michigan, Eastern
6,598,853
Texas, Southern
6,575,965
California, Eastern
6,195,612
Massachusetts
6,147,132
Ohio, Northern
5,857,785
Texas, Northern
5,559,469
Ohio, Southern
5,351,708
Florida, Southern
5,270,309
Pennsylvania, Eastern
5,226,882
Maryland
5,134,808
Texas, Western
4,897,586
Virginia, Eastern
4,764,792
Minnesota
4,725,419
New York, Southern
4,682,512

33,496
2,198
764
1,844
1,306
1,646
910
949
4,047
1,240
610
933
1,401
778
2,234
994
728
4,737
3,467
505
2,205

2,393
153
69
161
60
123
78
168
90
85
67
72
117
26
204
138
146
110
278
59
189

880,534
145,667
65,029
75,008
39,676
63,514
48,072
45,683
46,264
44,827
38,908
18,606
36,322
16,668
25,220
30,430
43,106
22,566
18,415
15,825
40,728

6.6
8.9
7.6
9.2
4.9
8.6
6.7
6.9
7.0
7.2
6.3
3.2
6.5
3.1
4.8
5.8
8.4
4.6
3.9
3.3
8.7

357,296
77,280
12,712
**
19,132
32,414
29,135
17,183
10,779
34,447
18,565
10,679
11,758
12,847
**
15,151
13,381
7,913
8,754
4,098
21,068

244,325
26,086
61,654
**
17,369
30,188
14,263
12,962
1,159
9,300
7,715
3,456
2,695
3,020
**
10,319
12,657
3,648
4,045
6,037
17,752

All other districts

43,250

3,456

627,669

4.6

292,372

123,012

137,514,448

Note: Statistics represent actual counts reported to the FBI by State and local law enforcement agencies.
Excluded from this analysis are the Federal judicial districts comprising the outlying U.S. Territories or
Commonwealths of Guam, Northern Marianas Islands, Puerto Rico, and the Virgin Islands. These areas
are not included in the FBI's Uniform Crime Reports Program.
**Arrest statistics were not reported to the FBI by law enforcement agencies within the judicial districts of the
District of Columbia, Florida (Middle, Northern, and Southern), Indiana (Northern), Kansas, and Vermont.
Data sources: Administrative Office of the U.S. Courts, criminal master file, FBI Uniform Crime Reports, U.S. Census Bureau.

amount of violent crime reported to
local law enforcement during 1997.
While these 20 districts account for
The number of defendants charged
about 49% of the U.S. population,
with Federal firearm offenses varies
approximately 58% of all violent crime,
or 6.6 violent crimes for every 1,000
substantially across Federal judicial
districts. Generally U.S. attorneys in
residents, occurred in these districts.
the most populous districts prosecuted By contrast, the violent crime rate in
the other 70 judicial districts included
the greatest number of defendants in
U.S. district courts. For example,
in this analysis was approximately
30% lower & 4.6 violent crimes for
during 1997 U.S. attorneys in the 20
most populous judicial districts prose- every 1,000 residents.
cuted 44% of all defendants charged
Targeted prosecutions
with a Federal offense (table above).
Similarly, 41% of all defendants
charged with a Federal firearm
Project Triggerlock and subsequent
offense were prosecuted in these 20
district-level initiatives such as Operation Ceasefire in the District of Massadistricts.
chusetts and Project Exile in the
Higher crimes rates in heavily
Eastern District of Virginia have
populated districts
targeted violent offenders for Federal
prosecution. Consistent with the goals
These larger judicial districts
of those efforts, the number of defenaccounted for a disproportionate
dants charged with a Federal firearm
Firearms prosecutions in the
20 most populous districts

offense correlated with arrests made
by local law enforcement agencies for
violent and drug offenses. In districts
where local law enforcement agencies
made more arrests for violent crime or
drug trafficking, U.S. attorneys generally charged more defendants with a
Federal firearm offense.
For example in the 20 most populous
judicial districts, local law enforcement
agencies reported making approximately 33,000 arrests on average
for violent crimes and drug trafficking
offenses during 1997. U.S. attorneys
in these districts charged 119 defendants on average with a Federal
firearm offense. By contrast, local
agencies in the 70 other judicial
districts reported making approximately 6,400 arrests on average.
U.S. attorneys in these districts
charged 49 defendants on average.

term imposed for these offenses was
62 months. Ninety percent of prohibited persons who unlawfully acquired
or attempted to acquire a firearm were
sentenced to prison; the average
prison term imposed was 65 months
(not shown in a table).
Almost three-quarters of straw
purchasers and others unlawfully
receiving or transferring firearms were
sentenced to a term of imprisonment.
For straw purchasers, the average
prison term imposed was 26 months;
for other individuals, the average
prison term imposed was 35 months.

Table 8. Defendants receiving a sentence enhancement for possessing or using
a firearm and additional prison term imposed, by type of enhancement, 1992-98

Year
1992
1993
1994
1995
1996
1997
1998

Type of enhancement
Sentencing guideline
Statutorya
Average
Average
enhancement
enhancement
Total number of Number of
Number of
defendants
defendants
defendants
(in months)b
(in months)c
4,316
1,323
82.5 mo
2,993
-5,119
2,350
81.0
2,769
17.4 mo
4,932
1,985
86.8
2,947
16.9
4,311
1,685
89.5
2,626
17.5
4,560
1,392
101.9
3,168
16.0
4,425
1,231
94.2
3,194
18.1
4,730
1,337
109.7
3,393
12.7

Pursuant to 18 U.S.C. § 924(c).
Represents the mandatory sentence to be imposed pursuant to 18 U.S.C. § 924(c); excludes
sentences to life imprisonment.
c
Estimated, See Methodology.
b

Data source: U.S. Sentencing Commission, monitoring data file, fiscal year.

Sentence enhancements for using
or possessing a firearm
Although the Supreme Court limited
the applicability of 18 U.S.C. § 924(c)
to offenders actively using a firearm
during an offense, the Federal sentencing guidelines retained enhancements
for simple possession or active use
during certain crimes such as bank
robbery and drug trafficking. Consequently, while prosecutors could no
longer obtain sentence enhancements
pursuant to § 924(c) for simple possession, enhancements could still be
applied under the Federal sentencing
guidelines.
Prior to Bailey, approximately 60% of
defendants who received an enhanced
sentence for using a weapon, received
the enhancement provided for by the
Federal sentencing guidelines; 40%
received the enhancement provided
for by 18 U.S.C. § 924(c) (table 8).
Following Bailey, the proportion
receiving the guideline enhancement
increased to 70%.
The enhancements from the Federal
sentencing guidelines are not equivalent to those through § 924(c). Pursuant to the sentencing guidelines,
defendants may receive a 2-to-7
offense level enhancement – equivalent to a 25%-120% increase in the
sentence imposed – for using or
possessing a weapon. This estimation
of the potential increase assumes a
12% increase in the imposed sentence

for each additional guideline offense
level.
The actual amount of the increase
varies according to other conduct relating to the underlying offense and how
the defendant used the firearm.
Greater enhancements are applicable
under the guidelines if the defendant
discharged the firearm than if he or she
brandished or merely possessed it.
(See, for example, U.S.S.G. §§ 2D1.1
and 2B3.1.)
For example, a defendant convicted of
bank robbery receives a sentence of
41 to 51 months under the sentencing
guidelines if no weapon was present; a
sentence of 57 to 71 months if a
weapon was brandished, displayed, or
possessed; and a sentence of 87 to
108 months if he or she discharged a
firearm. By contrast, a defendant
convicted of using a firearm during a
drug trafficking offense would receive
the same 2-level enhancement for
brandishing a firearm as for discharging it.
Between 1993 and 1998 the average
guidelines enhancement for weapon
use or possession was approximately
16 months (table 8). The average

sentence imposed for the underlying
offense was 103 months (not shown in
a table). The total prison term imposed
on these defendants was 119 months,
on average.
By contrast, 18 U.S.C. § 924(c)
provides for a sentence of 5 years to
be served consecutive to any sentence
imposed for the underlying offense.
Higher enhancements may be applicable if the defendant has previously
been convicted of such an offense or if
the defendant used an assault weapon,
short-barreled shotgun, or a machine
gun.*
Between 1993 and 1998 defendants
convicted of a § 924(c) offense had
their sentences enhanced by approximately 92 months, on average (table
8). The average prison sentence
imposed for the underlying offense was
111 months (not shown in a table).
(This average excludes sentences to
life imprisonment and prison sentences
in excess of 989 months.) The total
prison term imposed on these defendants was 203 months, on average.
*P.L. 105-386, 112 Stat. 3469 (1998)
amended § 924(c) to provide higher
enhancements if the defendant brandished
the firearm (7 years) or if the defendant
discharged the firearm (10 years).

Federal Firearm Offenders, 1992-98 9

Methodology

Firearm use reported by Federal prison inmates
During 1997, 14%, or 12,619, of the
Federal prison population reported
that they used, carried, or possessed
a firearm while committing the offense
for which they were imprisoned (not
shown in a table). Most of these
inmates (86%) reported using a
handgun.
Of those who possessed a firearm
during the offense, 52% reported that
they did not actively use the firearm;
46% reported that they displayed or
brandished the firearm to intimidate
someone (29%), in self-defense
(25%), or to “get away” (12%); and
13% reported that they discharged
the firearm.
The majority of firearms used by
Federal prison inmates were not
purchased directly from Federal
firearm licensees: 68% of inmates
reported obtaining the firearm either
from a source like a burglary, a drug
dealer, a fence, or the black market
(33%) or from a friend or family
member (35%). About a quarter
(23%) reported that they purchased
or traded for the firearm directly from
a retail store (15%), pawnshop (4%),
flea market (2%), or gun show (2%).
An additional 9% reported obtaining
the firearm through all other means.
Available data suggest that the majority (83%) of Federal inmates who
reported possessing a firearm may
have been disqualified from lawfully
possessing or purchasing a firearm
for at least one statutory reason:
ù About half indicated that they had a
prior sentence to incarceration; a third
were on probation or parole at the
time of their current offense; about
half indicated illicit drug use within a
month of the current offense.
ù Some inmates reported being
treated overnight in a mental health
facility (7%), being dishonorably
discharged from the U.S. Armed
Forces (1%), or being a noncitizen
(7%).

Data sources

Extent of firearm use by Federal
prison inmates, 1997

Use of firearm
during offense
Discharged
Killed victim
Injured victim
Other

Percent
95%of Federal confiinmates us- dence
ing firearm interval
12.8% +/- 3.8%
3.0
2.0
3.5
2.1
7.7
3.1

Brandished/displayed
To scare someone
To defend self
To “get away”
To injure
Other

45.8% +/- 5.7%
29.3
5.2
24.8
5.0
11.6
3.7
0.9*
1.1
2.1
1.6

Did not actively use

51.2% +/- 5.7%

Number of prison inmates
reporting firearm use
11,250

Source of firearms possessed
by Federal prison inmates, 1997
Percent of Federal
inmates who had
Characteristic possessed firearm
Theft or burglary
9.1
+/- 3.3%
Drug dealer
15.0
4.5
Fence/black market
8.7
3.2
Purchased or traded –
Retail store
Pawnshop
Flea market
Gun show

22.5% +/- 4.7%
15.0
4.0
4.2
2.3
1.7*
1.5
1.7*
1.5

Family or friend

35.4% +/- 5.4%

Borrowed or given

3.4% +/- 2.1%

Other

5.9% +/- 2.7%

Number of prison inmates
reporting firearm source 11,604

Selected characteristics of Federal
inmates reporting firearm possession
during current offense, 1997
Any potentially
disqualifying
characteristic
Prior jail/prison sentence
On probation/parole
Fugitive/escapee

82.8% +/- 4.1%
55.4
32.0
0.6*

Illicit drug use within
1 month before offense
or at time of offense
55.6
Overnight treatment in
mental health facility
Not a U.S. citizen
Dishonorably discharged
from U.S. military

5.4
5.1
0.8

5.4

6.8
6.9

2.7
2.0

0.7*

0.9

Note: Inmates may have used the firearm
for more than one purpose. No information
is available on the legality of the transfers.
An inmate may have reported more than
one disqualifying characteristic.
*Based on 10 or fewer sample cases.
Data source: BJS, Survey of Inmates in
Federal Correctional Facilities, 1997

The primary source of the data for
tables in this report is the BJS Federal
Justice Statistics Program (FJSP)
database. The FJSP is presently
constructed from source files provided
by the Executive Office for United
States Attorneys (EOUSA), the Administrative Office of the United States
Courts (AOUSC), the United States
Sentencing Commission (USSC), and
the Federal Bureau of Prisons (BOP).
The EOUSA provides data on suspects
investigated by U.S. attorneys for violations of Federal law and the U.S. attorney’s decision to prosecute; the
AOUSC provides data on the statutory
offenses charged by the U.S. attorney,
the outcome of the criminal proceeding, and the sentence imposed; the
USSC provides detailed data describing the sentence imposed on convicted
defendants; and the BOP provides
data on defendants under its jurisdictions. Data are reported for the Federal fiscal years beginning October 1.
Beginning in 1992 both the EOUSA
and the AOUSC began collecting data
on multiple offenses: the U.S. attorneys collect data on every statutory
offense charged, while the courts
collect data on up to five statutory
offenses for which the defendant was
charged and adjudicated. Consequently, because this report examines
charging practices and is not limited to
an analysis of the most serious offense
charged, the data series begins with
1992.
Statistics describing defendants
processed during 1999 reflect data
obtained from the AOUSC during
December 1999. (Other agencies
providing data were unable to supply
1999 data at the time of report preparation.) BJS has observed that information for fewer than 1,000 defendants is
not recorded in the AOUSC database
during the fiscal year reporting period.
BJS uses data describing subsequent
reporting periods to augment and
update the AOUSC fiscal year
database. Because the 1999 statistics

contained in this report are subject to
change, these statistics are identified
as preliminary.
When multiple types of firearm
offenses were charged, the offense
reported was determined by rank
ordering the various offenses charged.
Possession offenses took precedence
over transfer offenses and transfer
offenses took precedence over regulatory offenses. In addition to data
routinely compiled as part of the FJSP,
data describing defendants convicted
of firearm receipt and transfer violations were specially collected by BJS
staff from presentence investigation
reports archived by the USSC. Data
elements collected include the following: (1) the number of firearms involved
in the offense conduct, (2) the types
of firearms, (3) the type of transaction,
(4) the location of the transaction,
(5) whether the purchaser was a
“straw purchaser,” and (6) whether
the defendant was a prohibited person
and the basis for the disqualification.
Statistics describing the use and
source of firearms used by Federal
prison inmates were derived from
BJS’s 1997 Survey of Inmates in
Federal Correctional Facilities (ICPSR
2598). Inmates were interviewed
about the current offense and
sentence, criminal history, social
background, weapon use, drug use
and treatment, and other issues. Data
were collected from a sample of 4,041
Federal inmates selected from 135
Federal prisons to be representative
of the 89,072 sentenced inmates held
in BOP owned and operated facilities
on June 30, 1997.
The accuracy of estimates derived
from the survey depends on sample
and nonsampling error. While the
extent of nonsampling error in any
survey is unknown, estimates of the
sampling error associated with the
1997 survey of inmates can be
obtained by using the formula &

S ø,p =

38.776
p(100 − p)
x

where: p is the percentage of inmates
with a particular characteristic
x is the estimated population
corresponding to p

Appendix table 1. ARIMA parameter estimates: Defendants
charged with 18 U.S.C. § 924(c), 1992-98
Parameter
µ
ω1Baileyt
ω2Violentt
ω3Drugt
φ1

yt = µ + ω1Baileyt + ω2Violentt + ω3Drugt + ( φ1(Yt -Yt-1))
Estimate
Standard error
t-value
0.314
2.68
0.12
-73.771
31.43
-2.35*
0.120
0.09
1.30
0.104
0.02
5.75*
-0.425
0.10
-4.08*

*Intervention significant at 0.05 or less.
Data source: Administrative Office of the U.S. Courts, criminal master file, fiscal year.

Statistics describing arrests made by
local law enforcement agencies were
obtained from the FBI’s Uniform Crime
Reports data series for 1992 through
1997 (ICPSR 6316, 6545, 6669, 6850,
2389, 2764).

Defendants
A defendant, offender, or suspect is a
person or organization against whom
specific action has been taken by
Federal law enforcement, U.S. attorneys, or the Federal judiciary.
Defendants identified in multiple
proceedings or cases are counted
multiple times. A defendant charged
with multiple firearm offenses was
counted only once unless the defendant was charged in separate cases.
For more information on general data
analysis procedures, see Reconciling
Federal Criminal Case Processing
Statistics, BJS report, September
1999, NCJ 171680.

Offense selection
For Federal offenders, the firearm
offense, unless otherwise indicated,
was selected from all offenses investigated by U.S. attorneys, charged by
U.S. attorneys in U.S. district courts, or
for which the defendant was convicted.
In other BJS reports describing Federal
offenses and offenders, such as the
Compendium of Federal Justice Statistics, the offense selected was the most
serious offense. Seriousness is based
on the applicable statutory penalties.

were derived using ARIMA models.
ARIMA models are built empirically
from available data and test for
changes in the underlying process of a
time series due to some intervention
such a policy change, new legislation,
or a court decision. (See Richard
McCleary and Richard A. Hay, Jr.,
Applied Time Series Analysis for the
Social Sciences (1980).) For other
applications of ARIMA describing the
impact of changes in Federal criminal
justice policy on case processing
events, see United States Sentencing
Commission, Federal Sentencing
Guidelines: A Report on the Operation
of the Guidelines System and Shorterm Impacts on Disparity in Sentencing, use of Incarceration, and
Prosecutorial Discretion and Plea
Bargaining (December 1991).
As part of the time series analysis, data
describing the number of defendants
charged with a § 924(c) offense are
aggregated into monthly observations
and plotted over time & both before
and after the relevant policy change.
In the context of ARIMA, the Bailey
decision is an intervention, or “shock,”
that causes a change in the number
of defendants charged with a § 924(c)
offense.
Other factors incorporated into the
ARIMA model that could affect the
number of defendants charged with a
§ 924(c) include the number of defendants charged with violent or drug
trafficking offenses & offenses that
predicate a § 924(c) charge.

Time-series models
Estimates of the impact of Bailey v.
United States on the number of defendants charged with 18 U.S.C. § 924(c)

After declining from a peak of 25,033
defendants charged during 1992 to
21,905 during 1994, the number of
defendants charged with a drug
Federal Firearm Offenders, 1992-98 11

Impact of Bailey v. United States on the number of defendants
charged with using a firearm during the commission of an offense,
persuant to 18 U.S.C. ö 924(c), 1992-98
Number of defendants
350
300
250
200

Estimate (assuming no Bailey)
Actual

150
100
50
0
1992 1993 1994 1995 1996 1997 1998
Note: Counts are monthly. The Supreme Court announced its decision in Bailey v. United States
on December 5, 1995. The estimate reflects the number of defendants who would have been
charged with ö 924(c) absent the Bailey decision but other factors remaining the same.
Data source: Administrative Office of the U.S. Courts, criminal master file.

Appendix figure 1

offense increased from 22,929 to
29,472 between 1995 and 1998. The
number charged with violent offenses,
particularly robbery, while lower than
the 1992 level, remained stable
between 1994 and 1998 (Administrative Office of the U.S. Courts, Judicial
Business of the United States Courts,
annual.)

The ARIMA model derived suggests
that the Bailey decision had a statistically significant impact on the number
of defendants charged with a § 924(c)
offense (appendix table 1). The
number of defendants charged with a
drug trafficking offense was also a
statistically significant determinant.

The estimate of the number of defendants that ought to have been charged
with a § 924(c) offense absent the
Bailey decision was derived by applying the parameters estimated from the
ARIMA model (appendix figure 1 and
appendix table 1). The estimate was
derived by excluding the 7o1Baileyt
parameter from the model. During the
observation period, 16,028 defendants
were actually charged with a § 924(c)
offense. The total number of defendants that would have been charged
with a § 924(c) offense during this
period & absent Bailey & was
estimated at 18,554, or 2,526 more
than the actual number.

Estimating the impact of guideline
sentence enhancements

The impact of guideline sentence
enhancements for weapon use or
possession (table 8) was estimated
using the methodology originally developed for estimating the impact of
amendments to the Federal sentencing guidelines on the Federal prison
population. As part of the U.S. Sentencing Commission’s prison impact
methodology, defendants
are theoretically “reAppendix table 2. Base populations for table and figures, 1998
sentenced,” assuming
Number of suspects or
changes
in the application
defendants with firearm
of relevant sections of the
offense as &
Any
Most serious
Federal sentencing guideTable or figure
Description of base
offense
offense
lines. For instance, in this
Highlights
Defendants charged with a firearm offense
Total 6,397
4,315
exercise actual sentences
Possession 5,419
3,758
imposed were compared to
All other
555
978
Table 1
Defendants for whom U.S. attorneys declined to
1,319
1,279
sentences that would have
prosecute a firearm offense prior to charging the
been imposed had the
suspect in U.S. district court
defendant not received the
Table 2
Defendants charged with a firearm offense
4,313
6,397
Table 3
Defendants charged with a firearm possession offense
3,758
5,419
guideline enhancement for
Table 4
Defendants convictd of a receipt of transfer offense
262
341
weapons
use. Twelve
Table 5
Defendants charged with an 18 U.S.C. ö 924(c) offense
not applicable
2,132
sections of the Federal
Table 6
Defendants convicted of a firearm offense
4,180
2,959
Table 7
Defendants receiving a sentencing guideline
sentencing guideline include
enhancement pursuant to U.S.S.G. ö 4B1.4 for
enhancements
for weapons
being an “armed career offender”
not applicable
198
use: U.S.S.G. §§ 2A2.2,
Table 8
Defendants receiving a sentence enhancement
924(c) 1,337
pursuant to 18 U.S.C. ö 924(c) or the Federal
not applicable
2A2.3, 2A2.4, 2B2.4, 2B2.3,
not applicable
sentencing guidelines for firearm use
Guideline 3,393
2B3.1, 2B3.2, 2B5.1, 2D1.1,
Investigated 7,721
Figure 1
Defendants investigated by U.S. attorneys for
4,742
2D1.11, 2E2.1, 2L1.1. The
a firearm violation
Declined 1,319
1,279
Figure 2
Defendants sentenced to Federal prison for a
weapons enhancement for
firearm offense
3,856
2,689
§
2B5.1 became effective
Bailey figure
Defendants charged with 18 U.S.C. ö 924(c) or
November 1, 1994; the
924(c) 2,385
who received a sentence enhancement for firearm
not applicable
use pursuant to the Federal sentencing guidelines
not applicable
Guideline 3,393
weapons enhancement for
4,313
Appendix table 3 Defendants charged with a firearm offense
6,397
§ 2L1.1 became effective
Note: The bold font indicates the base population for the table or figure in the report;
November 1, 1996.
the other counts are provided for informational purposes.

Once a guideline parameter has been
adjusted, the defendant is generally
re-sentenced in the new guideline
range at the same relative position as
the actual sentence in the actual guideline range. Exceptions exist when the
defendant was sentenced outside of

the guideline range, when the defendant is moving in or out of a range that
does not prescribe a sentence of
imprisonment, or when the defendant
is moving in or out of a range that
includes or prescribes a sentence of
life imprisonment. For example, in the

general re-sentencing model, if a
defendant actually received a sentence
at the midpoint of the guideline
sentencing range, he would be
re-sentenced to the midpoint of the
new guideline range.

Appendix table 3. Charges of Federal firearm offenses against defendants, by type of violation, 1992-99

Statutory provision

Type of
violation

Total of defendants charged with a firearm offense
(Defendants receiving multiple charges for different,
specific statutory offenses are counted once in the
total but are represented multiple times in the detail.)
18 U.S.C. § 922
(a), Unlawful importation, manufacture, distribution,
shipment, or receipt of firearms, including making
false statement to obtain firearms
(b), Distribution of firearms to underage persons, nonresidents, or in violation of State law
(c), Distribution of firearms to a person not present in
business establishment
(d), Distribution of firearms to prohibited persons
(e), Unlawful shipment of firearms
(f), Unlawful transportation by common carrier
(g), Possession of a firearm by a prohibited person
(h), Receipt of firearms by a person employed
by a prohibited person
(i), Shipment of stolen firearms
(j), Possession of stolen firearms
(k), Transportation, shipment, or receipt of firearms with
obliterated or altered serial numbers
(l), Unlawful importation of firearms
(m), Record keeping violation
(n), Shipment, transportation, or receipt of firearms by a
person under indictment for a felony offense
(o), Possession of a machine gun
(p) Manufacture, transfer, possess any firearm not detectable by walk-through metal detectors or x-ray machines
(q), Possession of a firearm in a school zone
(r), Assembly of a firearm identical to a banned firearm
(s), Distribution of firearms by retailer in violation of 5-day
waiting period
(t), Failure to comply with Brady Handgun Prevention Act
(u), Theft of firearm from retailer
(v), Unlawful manufacture, transfer, or possession
of a semi-automatic weapon
(w), Unlawful transfer or possession of a large capacity
feeding device
(x), Unlawful transfer to, or possession of a handgun
by a juvenile
18 U.S.C. § 923, Licensing for firearm sales

Number of defendants charged with a firearm offense in the year
the offense was charged (multiple counts against a defendant
for a single statute counting as a single charge)
Preliminary
1992
1993
1994
1995
1996
1997
1998 1999

7,621

7,086

6,756

7,044

6,191

5,993

6,397

6,728

Transfer

604

633

580

545

314

279

300

391

Transfer

157

175

229

Transfer
Transfer
Transfer
Regulatory
Possession

12
91
24
7
2,603

18
122
29
8
2,211

19
190
22
11
1,880

15
164
24
8
2,018

60
100
42
3
2,068

101
89
31
1
2,208

73
103
33
5
2,513

61
97
27
4
2,950

Possession
Possession
Possession

7
36
121

5
14
122

5
10
112

8
30
126

9
54
241

10
57
233

1
31
222

1
40
219

Possession
Regulatory
Regulatory

165
5
41

193
10
49

164
2
49

160
1
26

158
16
26

157
7
21

148
6
27

127
8
23

Possession
Possession

47
70

54
66

89
70

73
135

161
145

169
146

280
144

276
138

Possession
Possession
Possession

0
55
0

0
28
0

0
4
0

0
9
0

0
59
0

0
64
0

0
80
0

0
105
0

Regulatory
0
0
0
0
0
0
0
Regulatory Effective following the implementation of the National Instant Check
System on November 30, 1998
Possession
0
0
0
0
0
0
0

Possession

Transfer

Regulatory

105

104

2,450

2,958

2,313

18 U.S.C. § 924
(a), False statements relating to the importation, manufacPenalty provision only
ture, distribution, shipment or receipt of firearms
(b), Shipment, transportation, or receipt of a firearm with
the intent to commit a felony or with reasonable knowledge that a felony will be committed
Transfer
74
74
(c), Use or possession of a firearm during the commission
of a violent or drug trafficking offense
Possession 2,884
2,541

2,136
2,385
2,222
Continued on page 14

Federal Firearm Offenders, 1992-98 13

Appendix table 3. Continued

Statutory provision
18 U.S.C. § 924 continued
(d), Seizure and forfeiture of firearms involved or used in
knowing firearm violations
(e), Possession of a firearm by a person with three prior
convictions for a violent felony or serious drug trafficking
offense
(f), Possession of a gun not detectable by walk-through
metal detectors or airport x-ray machines
(g), Interstate or foreign acquisition of a firearm by a prohibited person
(h), Transfer of a firearm with reasonable knowledge that
the firearm will be used to commit a crime of violence or
drug trafficking offense
(i), Use of a firearm during the commission of a felony
offense resulting in death
(j), Smuggling firearms with the intent to commit a violent
crime or a controlled substance offense
(k), Theft of a firearm moved in interstate or foreign
commerce
(l), Theft of a firearm from a licensed importer,
manufacturer, dealer, or collector
(m), Interstate or foreign travel to obtain firearms
(n), Conspiracy to commit 18 U.S.C. § 924(c)

Type of
violation

Number of defendants charged with a firearm offense in the year
the offense was charged (multiple counts against a
defendant for a single statute counting as a single charge)
Prelimi1992
1993
1994
1995
1996
1997
1998 nary 1999

Not applicable
Penalty provision only, substantive offense 18 U.S.C. § 922(g)
Possession

Possession

Transfer

Penalty provision only, substantive offense 18 U.S.C. §§ 922(u) and 924(c)
Possession

Possession

Possession
Possession
Possession

0
0
0

18 U.S.C. § 929, Use of restricted ammunition during the
commission of a violent or drug trafficking offense

Possession

18 U.S.C. § 930, Possession of a firearm or dangerous
weapons in Federal facilities

Possession

26 U.S.C. § 5812, Transfer of firearms (registration and
taxation)

Regulatory

26 U.S.C. § 5822, Manufacture of firearms (registration
and taxation)

Regulatory

26 U.S.C. § 5841, Registration of Firearms

Regulatory

26 U.S.C. § 5842, Identification of Firearms

Regulatory

Regulatory
Possession

13
14

11
21

6
18

24
1

10
0

13
2

4
0

6
0

Possession

Possession
Transfer
Possession

714
71
56

501
60
40

377
61
36

402
56
35

378
40
48

330
20
21

302
19
25

271
20
33

Possession

Possession
Transfer

79
8

37
4

39
0

29
12

41
11

30
16

19
2

14
2

Possession
Regulatory

12
0

8
0

22
1

16
1

4
1

3
0

2
1

2
0

26 U.S.C. § 5861,
(a), Engage in a firearm business without registering or
paying occupancy tax
(b), Receive or possess a firearm unlawfully transferred
(c), Receipt or possession of an unlawfully manufactured
firearm
(d), Receipt or possession of certain firearms for which
registration is required
(e), Unlawful transfer
(f), Making firearms
(g), Obliterating, removing, or changing the serial number
on a firearm
(h), Receiving or possessing a firearm with an obliterated
serial number
(i), Receiving or possessing a firearm without a serial
number
(j), Delivering or receiving an unregistered firearm
(k), Receiving or possessing a firearm unlawfully imported
into the U.S.
(l), Making a false entry on any required application

Note: The type of violation category is for statistical reporting purposes
and implies no legal basis. The available data preclude the reporting
of statistics below the first major subsection level. Data for 1999 are
preliminary. See Methodology, page 10.
Data source: Administrative Office of the U.S. Courts, criminal master file, fiscal year.

The Bureau of Justice Statistics is the
statistical agency of the U.S. Department
of Justice. Jan M. Chaiken, Ph.D., is director.
BJS Special Reports address a specific topic
in depth from one or more data sets that cover
many topics.
John Scalia, BJS Statistician, wrote the report.
Urban Institute staff, under the supervision
of William J. Sabol, and Greg Steadman of BJS
provided a statistical review. David Rauma of
the Federal Judicial Center provided methodological guidance. Caroline Wolf Harlow, BJS,
provided tables describing data from the Survey
of Federal Inmates. Dr. Harlow, David Levin of
BJS, and Pierre St. Hilaire, DOJ Criminal
Division, assisted in the collection of data from
presentence reports. The staff of the Administrative Office of the U.S. Courts, under the
supervision of Steven Schlesinger, Ph.D.,
provided a substantive review, as did Steve
Shandy of the DOJ Criminal Division. U.S.
Sentencing Commission staff, under the supervision of Louis Reedt, selected presentence
investigation reports for review by BJS and
provided substantive comments. Tom Hester
produced and edited the report. Jayne Robinson prepared the report for final publication.

Data from the Federal Justice Statistics
Program are compiled by the Bureau of
Justice Statistics from the source files of
several Federal agencies. Data can be
obtained on CD-ROM from the Bureau of
Justice Statistics Clearinghouse, 1-800-7323277, or from the Federal Justice Statistics
Resource Center located on the Internet:
http://fjsrc.urban.org
The resource center, as well as the report
and supporting documentation, are also
accessible through the BJS website:
http://www.ojp.usdoj.gov/bjs/
Data from the FBI’s Uniform Crime Report
program can be obtained from the National
Archive of Criminal Justice Data at the
University of Michigan. The National Archive
is accessible through the BJS web site.
Recent editions of the FBI’s annual report
Crime in the United States are accessible
through the FBI’s website:
http://www.fbi.gov/ucr.htm

June 2000, NCJ 180795

Federal Firearm Offenders, 1992-98 15

In this report, released on June 4,
2000, BJS published preliminary statistics describing the number of defendants charged with a firearm offense
during fiscal year 1999. Most of the
analyses dealt with data from 1992
through 1998. Before the report was
sent to final print, this addendum was
added to update the preliminary statistics with the final statistics for 1999.

Although the number of defendants
charged with a Federal firearm offense
has not returned to the 1992 level, the
number of prosecutions during 1999
was greater than the number charged
during each of the years 1993-98.
Despite the 6% overall decrease
between 1992 and 1999, the number of
defendants charged during 1999 represents a 20% increase over the low
attained during 1997.

During 1999, 7,146 defendants were
charged with a firearm offense in U.S.
district courts (table 2). Of these, 84%
were charged with a possession
offense, 7% with a receipt or transfer
offense, 1% with a regulatory offense,
and 8% with other firearms-related
offenses.

The increase between 1997 and 1999
is primarily attributable to increases in
the number of defendants charged with
possession of a firearm by a prohibited
person (18 U.S.C. ö 922(g)) and use
of a firearm during a violent or drug

trafficking offense (18 U.S.C. ö 924(c))
(appendix table 3). After 1997 the
number of defendants charged with
922(g) increased 41% from 2,208
to 3,114. The number charged with
ö 924(c) increased 10% from 2,136
to 2,347.
While the number of defendants
charged with ö 924(c) generally
increased between 1997 and 1999, on
a monthly basis, the number of defendants charged during 1999 remained
below the pre-Bailey level (figure). The
number of defendants receiving a
guideline enhancement for weapon use
remained at the higher level attained
following Bailey.

Table 2. Defendants charged in U.S. district courts with a firearm offense,
by type of offense, 1992-99
Total
7,621
7,086
6,756
7,044
6,191
5,993
6,397
7,146

1992
1993
1994
1995
1996
1997
1998
1999b

Possession
5,911
5,093
4,585
5,157
4,943
4,872
5,419
6,019

Type of firearm offense
Transfer
Regulatory
488
54
639
83
743
81
746
82
467
62
475
67
453
64
476
53

Othera
1,168
1,271
1,347
1,059
719
579
461
598

Note: Statistics represent any offense charged. In other BJS reports,
some of these defendants may have been categorized differently based on the
most serious offense charged, as determined by potential sentence length.
a
"Other” violations are primarily State offenses prosecuted in U.S. district
courts pursuant to the Assimilated Crimes Act (18 U.S.C. ö 13). Court records
contain no information describing the nature of these offenses.
b
Statistics for 1999 are final, made available after the release of the report.
Data source: Administrative Office of the U.S. Courts, criminal master file, fiscal years 1992-99.

Number of defendants
350

Guideline enhancement

300
250
200
150
924(c) enhancement

100
50
0
1992

1994

1996

1998 1999

U.S. Supreme Court
decided Bailey v. United States

Federal Firearm Offenders, 1992-98 17

Appendix table 3. Charges of Federal firearm offenses against defendants, by type of violation, 1992-99
Number of defendants charged with a firearm offense in the year
the offense was charged (multiple counts against a defendant
for a single statute counting as a single charge)
Statutory provision

Type of
violation

1993

1994

1995

1996

1997

1998

7,621

7,086

6,756

7,044

6,191

5,993

6,397

7,146

Transfer

604

633

580

545

314

279

300

405

Transfer

157

175

229

Transfer
Transfer
Transfer
Regulatory
Possession

12
91
24
7
2,603

18
122
29
8
2,211

19
190
22
11
1,880

15
164
24
8
2,018

60
100
42
3
2,068

101
89
31
1
2,208

73
103
33
5
2,513

62
102
27
4
3,114

Possession
Possession
Possession

7
36
121

5
14
122

5
10
112

8
30
126

9
54
241

10
57
233

1
31
222

2
42
252

Possession
Regulatory
Regulatory

165
5
41

193
10
49

164
2
49

160
1
26

158
16
26

157
7
21

148
6
27

130
9
24

Possession
Possession

47
70

54
66

89
70

73
135

161
145

169
146

280
144

288
145

Possession
Possession
Possession

0
55
0

0
28
0

0
4
0

0
9
0

0
59
0

0
64
0

0
80
0

0
108
0

1992

1999

Regulatory
0
0
0
0
0
0
0
Regulatory Effective following the implementation of the National Instant Check
System on November 30, 1998
Possession
0
0
0
0
0
0
0

Possession

Transfer

Regulatory

105

104

2,450

2,958

2,313

2,136
2,385
2,347
Continued on page 19

Appendix table 3. Continued
Number of defendants charged with a firearm offense in the year
the offense was charged (multiple counts against a
defendant for a single statute counting as a single charge)
Statutory provision
18 U.S.C. § 924 continued
(d), Seizure and forfeiture of firearms involved or used in
knowing firearm violations
(e), Possession of a firearm by a person with three prior
convictions for a violent felony or serious drug trafficking
offense
(f), Possession of a gun not detectable by walk-through
metal detectors or airport x-ray machines
(g), Interstate or foreign acquisition of a firearm by a prohibited person
(h), Transfer of a firearm with reasonable knowledge that
the firearm will be used to commit a crime of violence or
drug trafficking offense
(i), Use of a firearm during the commission of a felony
offense resulting in death
(j), Smuggling firearms with the intent to commit a violent
crime or a controlled substance offense
(k), Theft of a firearm moved in interstate or foreign
commerce
(l), Theft of a firearm from a licensed importer,
manufacturer, dealer, or collector
(m), Interstate or foreign travel to obtain firearms
(n), Conspiracy to commit 18 U.S.C. § 924(c)

Type of
violation

1992

1993

1994

1995

1996

1997

1998

1999

Not applicable
Penalty provision only, substantive offense 18 U.S.C. § 922(g)
Possession

Possession

Transfer

Penalty provision only, substantive offense 18 U.S.C. §§ 922(u) and 924(c)
Possession

Possession

Possession
Possession
Possession

0
0
0

18 U.S.C. § 929, Use of restricted ammunition during the
commission of a violent or drug trafficking offense

Possession

18 U.S.C. § 930, Possession of a firearm or dangerous
weapons in Federal facilities

Possession

26 U.S.C. § 5812, Transfer of firearms (registration and
taxation)

Regulatory

26 U.S.C. § 5822, Manufacture of firearms (registration
and taxation)

Regulatory

26 U.S.C. § 5841, Registration of Firearms

Regulatory

26 U.S.C. § 5842, Identification of Firearms

Regulatory

Regulatory
Possession

13
14

11
21

6
18

24
1

10
0

13
2

4
0

6
0

Possession

Possession
Transfer
Possession

714
71
56

501
60
40

377
61
36

402
56
35

378
40
48

330
20
21

302
19
25

281
21
33

Possession

Possession
Transfer

79
8

37
4

39
0

29
12

41
11

30
16

19
2

15
2

Possession
Regulatory

12
0

8
0

22
1

16
1

4
1

3
0

2
1

2
0

Note: The type of violation category is for statistical reporting purposes
and implies no legal basis. The available data preclude the reporting
of statistics below the first major subsection level. Data for 1999 are
final, made available after the release of the report.
Data source: Administrative Office of the U.S. Courts, criminal master file, fiscal year.

Federal Firearm Offenders, 1992-98 19