U. S. Department of Justice
Executive Office for United States Attorneys
United States Attorneys’
Annual Statistical Report
Fiscal Year 2003
UNITED STATES ATTORNEYS’
ANNUAL STATISTICAL REPORT
FISCAL YEAR 2003
The United States Attorney
is the representative not of an ordinary party to a controversy,
but of a sovereignty whose obligation to govern impartially is
as compelling as its obligation to govern at all;
and whose interest, therefore, in a criminal prosecution is not that
it shall win a case, but that justice shall be done.
As such, he is in a peculiar and very definite sense the
servant of the law, the twofold aim of which
is that guilt shall not escape or innocence suffer.
He may prosecute with earnestness and vigor -- indeed, he should do so.
But, while he may strike hard blows,
he is not at liberty to strike foul ones.
It is as much his duty to refrain from improper methods
calculated to produce a wrongful conviction as it is to
use every legitimate means to bring about a just one.
Quoted from the Statement of Mr. Justice Sutherland in
Berger v. United States, 295 U. S. 88 ( 1935)
U. S. Department of Justice
Executive Office for United States Attorneys
Office of the Director Washington, DC 20530
MESSAGE FROM THE DIRECTOR
It is my pleasure to present to you the United States Attorneys’ Annual Statistical Report for Fiscal
Year 2003. The report is made up of narrative information describing the United States Attorneys’
programs and initiatives over the past year. The report also contains summaries of some of the most
interesting and important cases that were handled during Fiscal Year 2003, and statistical tables displaying
both national and district caseload data. As in Fiscal Year 2002, we have produced the report to mirror
priority areas identified in the Department of Justice’s Strategic Plan and Performance Report. These
priorities represent just some of the many important areas of criminal prosecution and civil litigation
handled by the United States Attorneys. The work of enforcing our federal laws and keeping our nation
safe is more important than ever in the wake of September 11, 2001. The women and men of the United
States Attorneys’ offices are committed to enforcing these laws and representing the interests of the United
States.
The United States Attorneys, under the direction of the Attorney General, are responsible for
investigating and prosecuting those who violate our nation’s laws, for asserting and defending the interests
of the United States, its departments, and agencies through the conduct of civil litigation, and for
representing the United States in its appellate courts. The United States Attorneys, appointed to serve in
the 94 federal judicial districts throughout the United States, Puerto Rico, the Virgin Islands, and Guam
and the Northern Mariana Islands ( which share a single United States Attorney), are charged with carrying
out these prosecution, litigation, and appellate responsibilities within their respective districts. The United
States Attorneys direct and supervise the work of the Assistant United States Attorneys and support
personnel located in each district’s headquarters office and, as needed, in staffed branch offices. The
United States Attorney system nationwide consisted of 94 headquarters offices and 128 staffed branch
offices, as of the end of Fiscal Year 2003.
The United States Attorneys’ offices conduct a majority of the criminal prosecutions and civil
litigation handled by the Department of Justice. The offices investigate and prosecute a wide range of
criminal activities, including domestic and international terrorism, organized drug trafficking and firearms
crimes, and white collar crime and regulatory offenses. In the civil arena, the United States Attorneys’
offices defend federal government agencies, such as in tort suits brought by those who allege suffering as
a result of government actions, or alleged medical malpractice by federal employees. The United States
Attorneys also initiate civil cases against individuals or businesses to enforce the law, such as in civil
health care fraud cases, or to represent the government’s interests, such as in bankruptcy actions.
The Executive Office for United States Attorneys ( EOUSA) provides management oversight and
administrative support to the United States Attorneys’ offices. EOUSA coordinates services such as the
information technology required to ensure that the United States Attorneys’ offices have a standardized
computer network and personal computers that are compatible and are updated to stay in step with current
technology. Other areas include operational support for the Attorney General’s Advisory Committee of
United States Attorneys, facilities and financial management, legal counsel, personnel, security, and
training. EOUSA, through the National Advocacy Center, also provides the United States Attorneys’
offices with extensive legal training for Assistant United States Attorneys and support staff.
As an integral part of their prosecution and litigation efforts, the United States Attorneys report to
EOUSA information on the criminal and civil matters, cases, and appeals that they handle. A centralized
computer database containing this information is maintained by EOUSA. The charts and tables presented
in this report reflect a statistical summary of the matters and cases handled by the United States Attorneys.
These charts and tables, however, cannot and do not reflect the quality and complexity of the criminal
prosecutions and civil litigation conducted by the offices. Additionally, the statistics are woefully
inadequate in presenting a realistic picture of the time, effort, and skill required to prosecute and litigate
the cases. Some examples of cases handled during the year are included in the text to illustrate caseload
composition and, more importantly, the successful efforts of the many men and women who work in the
United States Attorneys’ offices. Finally, the significant liaison work performed by the United States
Attorneys’ offices with federal, state, and local law enforcement entities on initiatives, such as Project Safe
Neighborhoods, as well as with victims of crime, local communities, schools, and other organizations,
cannot be quantified. Since the role of the United States Attorneys is to see “ that justice shall be done,”
( Berger v. United States, 295 U. S. 88 ( 1935)), the true and comprehensive accomplishments of the United
States Attorneys cannot be tabulated statistically.
I hope that you will find the United States Attorneys’ Annual Statistical Report to be both
interesting and useful. The report provides a concise, yet compelling, sampling of the accomplishments
of the United States Attorneys during Fiscal Year 2003. The women and men of the United States
Attorneys’ offices did a commendable job during the year. It is a great privilege for me to share this
information with you and to congratulate the United States Attorneys, Assistant United States Attorneys,
and their staffs for such a successful year.
Mary Beth Buchanan
Director
FISCAL YEAR 2003 STATISTICAL HIGHLIGHTS
OVERALL CRIMINAL PROSECUTIONS
• 59,998 cases filed against 81,624 defendants– case filings up 6 percent
• 56,397 cases against 75,950 defendants terminated– case terminations up 10 percent
• 69,621 defendants convicted
• 92 percent conviction rate
• 82 percent of convicted defendants sentenced to prison
• 49 percent of prison sentences greater than 3 years
• 28 percent of prison sentences greater than 5 years
VIOLENT CRIME
• 11,927 cases filed against 14,148 defendants– case filings up 18 percent
• 10,122 cases against 12,002 defendants terminated– case terminations up 19 percent
• 10,609 defendants convicted
• 88 percent conviction rate
• 90 percent of convicted defendants sentenced to prison
• 67 percent of prison sentences greater than 3 years
• 43 percent of prison sentences greater than 5 years
OVERALL NARCOTICS
• 16,625 cases filed against 29,687 defendants– case filings down 4 percent
• { 17,169 cases filed against 30,635 defendants– case filings down 3
percent– when drug cases diverted to the Violent Crime and Government
Regulatory/ Money Laundering Program Categories are included}
• 16,013 cases against 28,131 defendants terminated– case terminations down 2
percent
• 25,927 defendants convicted
• 92 percent conviction rate
• 91 percent of convicted defendants sentenced to prison
• 67 percent of prison sentences greater than 3 years
• 42 percent of prison sentences greater than 5 years
OCDETF
• 2,441 cases filed against 7,309 defendants– case filings down 20 percent
• { 2,491 cases filed against 7,404 defendants- case filings down 21
percent- when drug cases diverted to the Violent Crime Program
Category are included}
• 2,917 cases against 8,073 defendants terminated– case terminations down
12 percent
• 7,328 defendants convicted
• 91 percent conviction rate
• 90 percent of convicted defendants sentenced to prison
• 79 percent of prison sentences greater than 3 years
• 56 percent of prison sentences greater than 5 years
NON- OCDETF
• 14,184 cases filed against 22,378 defendants– case filings down less than 1
percent
• { 14,678 cases filed against 23,231 defendants– case filings up 1
percent– when drug cases diverted to the Violent Crime and
Government Regulatory/ Money Laundering Program Categories
are included}
• 13,096 cases against 20,058 defendants terminated– case terminations down
1 percent
• 18,599 defendants convicted
• 93 percent conviction rate
• 92 percent of convicted defendants sentenced to prison
• 62 percent of prison sentences greater than 3 years
• 37 percent of prison sentences greater than 5 years
IMMIGRATION
• 16,621 cases filed against 17,653 defendants– case filings up 22 percent
• 16,006 cases against 17,065 defendants terminated– case terminations up 30 percent
• 16,425 defendants convicted
• 96 percent conviction rate
• 86 percent of convicted defendants sentenced to prison
• 23 percent of prison sentences greater than 3 years
• 6 percent of prison sentences greater than 5 years
ORGANIZED CRIME
• 148 cases filed against 456 defendants– case filings up 6 percent
• { 198 cases filed against 559 defendants– case filings up 6 percent– when
cases diverted to the Violent Crime Program Category are included}
• 134 cases against 318 defendants terminated– case terminations down 24 percent
• 286 defendants convicted
• 90 percent conviction rate
• 56 percent of convicted defendants sentenced to prison
• 33 percent of prison sentences greater than 3 years
• 23 percent of prison sentences greater than 5 years
OFFICIAL CORRUPTION
• 454 cases filed against 704 defendants– case filings down 1 percent
• 449 cases against 687 defendants terminated– case terminations up 13 percent
• 621 defendants convicted
• 90 percent conviction rate
• 56 percent of convicted defendants sentenced to prison
• 28 percent of prison sentences greater than 3 years
• 18 percent of prison sentences greater than 5 years
WHITE COLLAR CRIME
• 6,144 cases filed against 8,658 defendants– case filings down 2 percent
• 5,888 cases against 8,035 defendants terminated– case terminations down 3 percent
• 7,226 defendants convicted
• 90 percent conviction rate
• 58 percent of convicted defendants sentenced to prison
• 19 percent of prison sentences greater than 3 years
• 7 percent of prison sentences greater than 5 years
ASSET FORFEITURE LITIGATION
C Asset forfeiture counts filed in 3,462 criminal cases– up 34 percent
C A total of 2,156 civil asset forfeiture actions filed– up 7 percent
C Estimated recoveries of $ 342,862,055 in forfeited cash and property– up 6 percent
OVERALL CIVIL LITIGATION
• 81,935 cases filed or responded to– down 2 percent
• 75,434 cases terminated– case terminations down 2 percent
• 23,915 judgments, or 78 percent, were in favor of the United States
• 17,206 settlements– 23 percent of all cases terminated
AFFIRMATIVE CIVIL LITIGATION
• 8,950 cases filed– case filings down 4 percent
• 8,559 cases terminated– case terminations up 19 percent
• 5,065 judgments, or 98 percent, were in favor of the United States
• 1,463 settlements– 17 percent of all cases terminated
AFFIRMATIVE CIVIL ENFORCEMENT
• 1,901 cases filed– case filings down less than 1 percent
• 1,860 cases terminated– case terminations down 1 percent
• 456 judgments, or 90 percent, were in favor of the United States
• 541 settlements– 29 percent of all cases terminated
• $ 1.9 billion recovered
DEFENSIVE CIVIL LITIGATION
• 54,208 cases responded to– down 2 percent
• 49,146 cases terminated– case terminations down 6 percent
• 17,523 judgments, or 72 percent, were in favor of the United States
• 2,953 settlements– 6 percent of all cases terminated
CIVIL LITIGATION WHERE THE UNITED STATES IS OTHERWISE DESIGNATED
• 18,777 cases filed or responded to– virtually unchanged from the previous year
• 17,729 cases terminated– down 1 percent
• 1,327 judgments, or 93 percent, were in favor of the United States
• 12,790 settlements– 72 percent of all cases terminated
CRIMINAL AND CIVIL APPEALS
• 13,982 appeals filed– down 11 percent
• 9,373 criminal appeals filed– down 3 percent
• 4,609 civil appeals filed– down 24 percent
• 85 percent of all criminal appeals terminated in favor of the United States
• 77 percent of all civil appeals terminated in favor of the United States
• 5,567 post- sentencing motions filed by incarcerated defendants– down 19 percent
TABLE OF CONTENTS
Page
Number
Message from the Director
Fiscal Year 2003 Statistical Highlights
Table of Contents
Index to Graphical Charts in the Narrative
I. Overview of the United States Attorneys’ Offices 1
Mission and Organization 1
Sound Management 2
Integrity and Professionalism 2
Human Resources 2
Staffing 2
Training 4
II. Criminal Prosecutions 6
United States District Court 6
United States Magistrate Court 16
District of Columbia Superior Court 18
Fiscal Year 2003 Strategic Goals 20
Terrorism 20
Firearms 22
Narcotics Prosecutions 25
OCDETF 26
Non- OCDETF Drugs 28
Corporate Fraud 30
Civil Rights Prosecutions 32
Trafficking in Persons 32
Bias Motivated Crimes 33
Official Misconduct 34
III. Asset Forfeiture Litigation 36
IV. Civil Litigation 40
Affirmative Civil Litigation 46
Affirmative Civil Enforcement 46
Bankruptcy 48
Defensive Civil Litigation 48
V. Criminal and Civil Appeals 51
Criminal Appeals 51
Post- Sentencing Motions 53
Civil Appeals 55
Page
Number
VI. Reconciliation of Federal Case Processing Data 57
VII. Conclusion 61
VIII. Detailed Statistical Tables 62
INDEX TO GRAPHICAL CHARTS IN THE NARRATIVE
Chart Page
Number Number
Overview Charts
1 Full Time Equivalent ( FTE) Personnel 3
2 Court Related Attorney Work Hours 4
Criminal Charts
1 Criminal Matters Received 7
2 Criminal Matters Declined 7
3 Proceedings Before Grand Jury 8
4 Criminal Cases Filed 9
5 Criminal Cases and Defendants Terminated 9
6 Criminal Defendants Disposed of by Trial 10
7 Conviction Rate 10
8 Percentage of Guilty Defendants Sentenced to Prison 11
9 Length of Sentences for Defendants Sentenced to Prison 11
10 Criminal Cases and Defendants Pending 12
11 Age of Pending Criminal Cases 12
12 Criminal Cases Filed by Program Category 14
13 Criminal Cases Pending by Program Category 15
14 Criminal Defendants Filed in U. S. Magistrate Court 16
15 Criminal Defendants Terminated in U. S. Magistrate Court 17
16 Criminal Defendants Disposed of by Trial in U. S. Magistrate Court 17
Asset Forfeiture Charts
1 Criminal and Civil Asset Forfeiture Judgments Obtained 37
2 Criminal and Civil Asset Forfeiture Collections 38
Civil Charts
1 Civil Matters Received 40
2 Civil Cases Filed or Responded to 41
3 Civil Cases Terminated 42
4 Civil Cases Disposed of by Trial 42
5 Civil Cases Pending 43
6 Age of Pending Civil Cases 43
7 Civil Cases Filed or Responded to by Cause of Action 44
8 Civil Cases Pending by Cause of Action 45
Appeals Charts
1 Criminal Appeals Filed by or Against the United States 51
2 Criminal Appeals Filed by Program Category 52
3 Post- Sentencing Motions Filed by Incarcerated Defendants 54
4 Civil Appeals Filed by or Against the United States 55
United States Attorneys 1
I. OVERVIEW OF THE UNITED STATES ATTORNEYS’ OFFICES
Mission and Organization
The United States Attorneys serve as the nation’s principal litigators. There are 93 United States
Attorneys located throughout the United States, Puerto Rico, the Virgin Islands, Guam, and the Northern
Mariana Islands. The United States Attorneys are appointed by, and serve at the discretion of, the
President of the United States, with the advice and consent of the United States Senate. They report to
the Attorney General, through the Deputy Attorney General. One United States Attorney is appointed
to serve in each of the 94 federal judicial districts, with the exception of Guam and the Northern Mariana
Islands, where a single United States Attorney serves in both districts. Each United States Attorney
serves as the chief federal law enforcement officer within his or her judicial district.
The United States Attorneys are responsible for:
< the prosecution of criminal cases brought by the federal government;
< the litigation and defense of civil cases in which the United States is a party;
< the handling of criminal and civil appellate cases before the United States
Courts of Appeals; and
< the collection of debts owed the federal government which are administratively
uncollectible.
The United States Attorneys also carry out the important role of liaison with federal, state, and
local law enforcement officers, and with members of the community on various crime reduction
programs.
The Executive Office for United States Attorneys provides the United States Attorneys with
assistance in all areas of administration. The mission of the Executive Office for United States Attorneys
is to provide the 93 United States Attorneys with:
< general executive assistance and direction;
< policy development;
< administrative management direction and oversight;
< operational support; and
< coordination with other components of the Department and other federal agencies.
2 2003 Annual Statistical Report
These responsibilities include certain legal, budgetary, administrative, and personnel services, as well
as continuing legal education.
The United States Attorneys’ top priority during Fiscal Year 2003 was to disrupt and prevent
terrorist acts, and to prosecute those involved in terrorism or the support of terrorism. The United States
Attorneys also focused their attention on additional areas identified in the Department’s Strategic Plan,
including sound management, drug trafficking, firearms enforcement, corporate fraud, and civil rights.
Sound Management
Ensuring professionalism, excellence, accountability, and integrity in the management and
conduct of programs was a strategic goal of the Department for Fiscal Year 2003. The Executive Office
for United States Attorneys worked diligently with the United States Attorneys during Fiscal Year 2003
to implement management initiatives with this strategic goal in mind, while also introducing and
maintaining sound management practices to aid in accomplishing the Department’s mission.
Integrity and Professionalism
The Executive Office for United States Attorneys is responsible for the coordination,
development, and maintenance of policy and procedural guidance relevant to the work of the United
States Attorneys’ offices. The Executive Office for United States Attorneys continued to work with the
Attorney General’s Advisory Committee of United States Attorneys and the Administrative Officers
Working Group to ensure compliance with a strong internal controls program. The development,
publication, and maintenance of policy and procedural guidance represents an important aspect of that
program. Further, keeping internal control materials accessible using robust information technology
resources is one of the most important components of a healthy management program, where employees
can get the information when and where they need it to do their jobs.
Human Resources
Staffing
The United States Attorneys’ offices varied in size during Fiscal Year 2003 from 11.64 allocated
Assistant United States Attorney positions in the District of Guam to 360.28 in the District of Columbia.
In the District of Columbia, the United States Attorney’s office also bears responsibility for the
prosecution of local crimes in the District of Columbia Superior Court. The staffing levels in the United
States Attorneys’ offices nationwide equaled 5,457 full time equivalent ( FTE) attorneys and 5,507 FTE
support employees. See Overview Chart 1 below.
During Fiscal Year 2003, the United States Attorneys received 151 positions for Corporate Fraud
resources to support the President’s Corporate Fraud Task Force efforts in addressing corporate
malfeasance involving securities fraud, commodities fraud, investment fraud, and advanced fee schemes,
as well as other types of financial fraud.
United States Attorneys 3
Assistant United States Attorneys constituted 58 percent of all Department attorneys and about
68 percent of those Department attorneys with prosecution or litigation responsibilities. Most new
Assistant United States Attorneys have prior litigation experience with a prosecuting attorney’s office,
a law firm, or another government agency. In addition to their prior legal experience, Assistant United
States Attorneys nationwide have an average of 10 years of experience in United States Attorneys’
offices.
While the civil caseload is larger numerically, about 78 percent of attorney personnel were
devoted to criminal prosecutions and 22 percent to civil litigation during Fiscal Year 2003. Ninety- four
percent of all attorney work hours spent in United States District Courts were devoted to criminal
prosecutions and 6 percent to civil litigation. See Table 13.
During Fiscal Year 2003, a total of 934,357 attorney work hours were devoted to court- related
activity. This represented an increase of 4,408, or less than 1 percent, in the number of court- related
work hours when compared to Fiscal Year 2002. See Overview Chart 2 below, and Table 13. Increases
were seen in United States District Court for criminal work hours in Fiscal Year 2003. The number of
work hours devoted to United States Magistrate Court increased as well, again reflecting the increased
workload handled in United States Magistrate Courts over the past several years.
Of the total court- related work hours, Assistant United States Attorneys spent 501,394 hours, or
54 percent, of their time in court. Sixty- five percent of their time in court was spent on criminal cases
in United States District Courts, 22 percent in United States Magistrate Courts, 4 percent on civil cases
in United States District Courts, and 5 percent on special hearings. The remaining 4 percent of the time
was spent in the United States Courts of Appeals, United States Bankruptcy Courts, and in state courts.
Of the other 432,963, or 46 percent, of the work hours, 13 percent was spent on grand jury proceedings,
21 percent on court- related travel time, and 66 percent on witness preparation.
4 2003 Annual Statistical Report
Training
Fiscal Year 2003 was the most exciting and successful year of operation for the National
Advocacy Center ( NAC) since its inception in April 1998. The Executive Office for United States
Attorneys’ Office of Legal Education ( OLE), in cooperation with the National District Attorneys’
Association ( NDAA) and the Executive Office for United States Trustees ( EOUST), conducts courses
and seminars at the NAC. During Fiscal Year 2003, OLE conducted training for nearly 14,500 students
at the NAC. Another 8,300 students were trained through OLE’s distance learning programs ( videos and
satellite broadcasts). Approximately 11,400 of the students attending OLE’s 366 courses were
Department of Justice employees, while the remaining 3,100 were employees in legal positions in other
departments of the government. In addition to OLE’s students, NDAA and EOUST conducted 55
courses for another 3,390 students during the year.
Nearly one- third of the students receiving OLE training at the NAC in Fiscal Year 2003
attended courses in the topical areas covered in the 2003 Performance Report. Those courses were
as follows:
Anti- Terrorism 12 courses 1,838 students*
Gun Violence Reduction 3 courses 1,499 students **
Drug Enforcement 3 courses 169 students
Civil Rights Enforcement 1 course 52 students
Corporate Fraud 3 courses 184 students
Sound Management 14 courses 762 students
* 850 students attended 6 joint National Security Team Conferences for Assistant United States Attorneys and
Special Agents from the Federal Bureau of Investigation, at the request of former Deputy Attorney General Larry
Thompson.
** 1,400 of these students attended the Project Safe Neighborhoods Conference in Philadelphia, PA.
United States Attorneys 5
The schedule of courses is determined according to annual prosecutive priorities and the
maintenance of sound management. These courses are conducted for Assistant United States Attorneys
and legal personnel in United States Attorneys’ offices and the Department of Justice, as well as legal
personnel in other federal agencies.
The Justice Television Network ( JTN) continued to expand the variety of subject matter broadcast
during Fiscal Year 2003, to supplement the in- house training. JTN broadcast on- site training an average
of 24 hours per week, presenting information to viewers who were unable to attend live classes.
Presently, 240 sites receive 60 hours of broadcasts each week. During the year, 345 hours of
broadcasting were dedicated to the Department’s Strategic Goals: Anti- Terrorism ( 167 hours), Gun
Violence Reduction ( 9 hours), Drug Enforcement ( 34 hours), Civil Rights Enforcement ( 46 hours),
Corporate Fraud ( 77 hours), and Sound Management ( 12 hours).
OLE’s mission is to provide the best possible training to its students in all potential learning
environments. OLE expanded its training capabilities in Fiscal Year 2003, with the completion of an
additional 54,000 square feet of office and training space. The training space includes 2 fully automated
classrooms, allowing for increased training capacity in areas such as cybercrimes and litigation support.
In cooperation with the University of South Carolina, ground was broken during Fiscal Year 2003 for
a new University Inn. With a projected completion date of January 2005, the Inn will provide OLE with
additional, convenient sleeping quarters within walking distance of the NAC. OLE has also increased
its distance education program with IPTV, which puts JTN in the office of every networked personal
computer user in the United States Attorneys’ offices and organizations. OLE is currently in the process
of developing a Learning Management System that will streamline and automate the current manner of
conducting business with its clients.
6 2003 Annual Statistical Report
II. CRIMINAL PROSECUTIONS
United States District Court
The United States Attorneys’ offices investigate and prosecute a wide range of criminal activities.
The United States Attorneys are called upon to respond to changing priorities, and to become involved in
specific crime reduction programs. Following the events of September 11, 2001, the number one priority
of the United States Attorneys has been the prevention of terrorist acts, and the investigation and
prosecution of those involved in terrorist attacks. During Fiscal Year 2003, the United States Attorneys
also continued their longstanding commitment to address drug and violent crimes. Within the violent
crime category, the United States Attorneys addressed the continuing, illegal use of firearms by those who
commit crimes and accompanying acts of violence in our communities. Drug prosecutions continued as
well, with particular emphasis on the operations of large drug organizations. The Organized Crime Drug
Enforcement Task Forces focus on these groups, and made significant progress during Fiscal Year 2003.
Other special emphasis areas included civil rights violations and corporate fraud.
The United States Attorneys’ offices handle most of the criminal cases prosecuted by the
Department. The United States Attorneys receive most of their criminal referrals, or “ matters,” from
federal investigative agencies, including the Drug Enforcement Administration, the Federal Bureau of
Investigation, the Immigration and Naturalization Service, the Bureau of Alcohol, Tobacco, Firearms, and
Explosives, the United States Customs Service, the United States Secret Service, and others. They may
also receive criminal matters from state and local investigative agencies or become aware of criminal
activities in the course of investigating or prosecuting other cases. Occasionally, criminal violations are
reported to the United States Attorneys by private citizens. After careful consideration of each criminal
matter, the United States Attorney decides whether criminal charges are appropriate and whether to initiate
prosecution. Except for misdemeanor offenses and instances in which an alleged offender waives the right
to a grand jury indictment, the United States Attorney presents evidence against an alleged offender to a
grand jury. The grand jurors decide whether to return an indictment. If an indictment is returned, the
United States Attorney then presents the criminal charges in open court at the arraignment of the defendant.
Although, historically, the majority of criminal defendants enter a plea of guilty prior to trial, the
United States Attorneys must always be prepared to go to trial. Consistent preparation for trial minimizes
the risk of dismissal for noncompliance with the Speedy Trial Act and strengthens the government’s
position in negotiations with defense counsel for a guilty plea. When a guilty plea is not obtainable, a trial
becomes necessary. The United States Attorney then presents factual evidence to convince the jury, or the
judge in a non- jury trial, of the defendant’s guilt. If the defendant is convicted, the United States Attorney
defends the conviction at post- trial hearings and appeals. The United States Attorneys’ offices handle most
criminal appeals at the intermediate appellate level. After filing a brief, the United States Attorney may
be required to participate in oral argument before the United States Court of Appeals. If there is a further
appeal, the United States Attorney may be called upon to assist a Department litigating division and the
Solicitor General in preparing the case for review by the United States Supreme Court.
During Fiscal Year 2003, the United States Attorneys’ offices received 115,976 criminal matters,
an increase of 6,803, or 6 percent, in the number of criminal referrals received from law enforcement
United States Attorneys 7
agencies, when compared to the prior year. See Criminal Chart 1 below, and Table 11. Matters received
includes immediate declinations in addition to later declinations and files initiated in any court.
The offices reviewed and immediately or later declined a total of 35,777 criminal matters during
the year. See Criminal Chart 2 below, and Tables 18 and 19. As reflected on Tables 18 and 19, the reasons
most commonly reported for the declination of these matters included weak or insufficient evidence,
suspect to be prosecuted by another authority, lack of criminal intent, minimal federal interest, lack of
resources, agency request, and no federal offense committed.
8 2003 Annual Statistical Report
As of the end of Fiscal Year 2003, a total of 71,380 criminal matters were pending, an increase of
898, or 1 percent, when compared to the prior year. Of these, 8,835, or 12 percent, were matters where the
defendant was a fugitive, was in a Pre- trial Diversion Program, was in a mental institution, or was
unknown. See Table 14. Of all pending matters, 47,919, or 67 percent, had been pending for 24 months
or less, and 55,578, or 78 percent, for 36 months or less, as of the end of the fiscal year.
The grand jury, a body of 16 to 23 citizens, functions to determine whether there is probable cause
to believe that a person has committed a criminal offense. An Assistant United States Attorney’s
responsibility is to advise the grand jury on the law and to present evidence for the grand jury’s
consideration. The grand jurors decide whether to return an indictment. In instances where more
information is required, the grand jury can issue subpoenas in order to obtain additional evidence. The
United States Attorneys’ offices handled a total of 42,642 criminal matters during Fiscal Year 2003 in
which grand jury proceedings were conducted, an increase of 3,336, or 8 percent, over the previous year.
See Table 11. Criminal Chart 3 below reflects the number of matters in which grand jury proceedings were
conducted over the past 10 years.
During Fiscal Year 2003, the United States Attorneys’ offices filed 59,998 criminal cases against
81,624 defendants in United States District Courts. See Criminal Chart 4 below, and Table 1. This
represents a 6 percent increase in cases filed and a 6 percent increase in defendants filed when compared
with the prior year, and represents the highest number of cases filed in recent years. The largest increase
in the number of cases filed during Fiscal Year 2003 was in the immigration program category which
showed an increase of 22 percent in the number of cases filed, when compared to the prior year. Increases
were also observed in the number of violent crime cases filed, which increased by 18 percent.
See Criminal Chart 12 for a display of criminal cases filed by program category, or case type, for
Fiscal Years 2002 and 2003. Criminal Charts 4 through 12 do not include United States Magistrate Court
or appellate cases.
United States Attorneys 9
A total of 56,397 cases against 75,950 defendants were also terminated during Fiscal Year 2003,
representing an increase of 10 percent in the number of cases terminated, and 8 percent in the number of
defendants terminated, when compared to the prior year. See Criminal Chart 5 below.
A total of 3,699, or 5 percent, of the terminated defendants were disposed of by trial. See Criminal
Chart 6 below, and Table 2.
10 2003 Annual Statistical Report
Of the 75,950 defendants terminated during Fiscal Year 2003, 69,621, or 92 percent, either pled
guilty or were found guilty. See Criminal Chart 7 below, and Table 3. The rate of conviction continues
to represent the highest conviction rate over the past several years.
United States Attorneys 11
During Fiscal Year 2003, a total of 66,525, or 96 percent, of all convicted defendants pled guilty
prior to or during trial. This represents no change in the percentage of convicted defendants who pled
guilty when compared to the prior year.
Of the 69,621 defendants who either pled guilty or were found guilty during the fiscal year, 56,743,
or 82 percent, received prison sentences. This represents the highest number and percentage of guilty
defendants to receive prison sentences over the past several years, and a notable increase over Fiscal Year
1993, when 72 percent of guilty defendants were sentenced to prison. The most notable increase in the
percentage of guilty defendants who were sentenced to prison occurred in the immigration program
category, which increased from 68 percent in Fiscal Year 1993 to 86 percent in Fiscal Year 2003. A total
of 227 guilty defendants received sentences of life in prison during Fiscal Year 2003. See Criminal Charts
8 and 9 below.
12 2003 Annual Statistical Report
As of the end of Fiscal Year 2003, 63,499 criminal cases against 94,605 defendants were pending.
This represents an increase of 4 percent in the number of cases pending and 3 percent in the number of
defendants pending, when compared to the prior year. See Criminal Chart 10 below, and Table 1.
Of the 63,499 pending criminal cases, 39,945, or 63 percent, had been pending for 24 months or
less, and 44,949, or 71 percent, had been pending for 36 months or less. See Table 15. In 25 percent of
pending cases the defendant was a fugitive, was in a mental institution, or was in a Pre- trial Diversion
Program. See Chart 11.
United States Attorneys 13
See Criminal Chart 13 below for a display of pending criminal cases by program category, or case
type, as of the end of Fiscal Years 2002 and 2003. Criminal Chart 13 does not include cases pending in
United States Magistrate Court or pending appellate cases.
14 2003 Annual Statistical Report
United States Attorneys 15
16 2003 Annual Statistical Report
United States Magistrate Court
In addition to those criminal cases filed in the United States District Courts, the United States
Attorneys also handle a considerable criminal caseload which is filed in the United States Magistrate
Courts. Congress created the judicial office of Federal Magistrate in 1968. The United States District
Judges in each district appoint Magistrate judges, who discharge many of the ancillary duties of the United
States District Judges. The utilization of Magistrate judges varies from district to district in response to
local conditions and changing caseloads.
Magistrate judges are authorized by statute to perform a variety of judicial duties as assigned by
the United States District Courts, including misdemeanor trials, conducting preliminary hearings, and
entering rulings or recommended dispositions on pretrial motions. Spurred by the Civil Justice Reform
Act of 1990, expanding caseloads, and tightening fiscal constraints, the United States District Courts
continue to find new, innovative ways to use Magistrate judges. The flexibility of the Magistrate judge
system was further enhanced in 1996 by the Federal Courts Improvement Act which abolished, for certain
petty offenses, the requirement that defendants consent to adjudication by a Magistrate judge and allowed
defendants in other misdemeanor cases to give their consent orally. In order to meet the dictates of the
Speedy Trial Act, courts are referring an increasing number of motions, hearings, and conferences in felony
cases to Magistrate judges.
In addition to those cases filed and handled in United States District Courts, the United States
Attorneys filed criminal cases against an additional 20,865 defendants in United States Magistrate Courts
during Fiscal Year 2003. This represents an increase of 5 percent when compared to the prior year. See
Criminal Chart 14 below, and Table 1. A total of 16,928 defendants were also terminated during the year,
which represents an increase of 4 percent when compared with Fiscal Year 2002. See Criminal Chart 15
below. As of the end of Fiscal Year 2003, criminal cases against 21,603 defendants were pending in
United States Magistrate Courts, a decrease of less than 1 percent when compared with the number of
defendants pending at the end of Fiscal Year 2002. See Table 1. Petty offenses handled in United States
Magistrate Courts are not included in this data.
United States Attorneys 17
Of the defendants terminated in United States Magistrate Courts during Fiscal Year 2003, 667, or
4 percent, were terminated after a court or jury trial. See Criminal Chart 16 below, and Table 2A. This
represents a decrease of 285 defendants disposed of by trial, or 30 percent, when compared to the prior
year.
18 2003 Annual Statistical Report
District of Columbia Superior Court
As noted earlier, the United States Attorney’s office for the District of Columbia also bears
responsibility for the prosecution of criminal cases in the District of Columbia Superior Court. The
Superior Court Division of the United States Attorney’s office handles the prosecution of criminal
violations of the District of Columbia Code committed by adults and juveniles charged as adults. The vast
majority of these cases are presented to the United States Attorney’s office as arrests by local agencies.
The Superior Court Division is comprised of 5 litigation sections: the Misdemeanor Trial Section; the
Community Prosecution/ Grand Jury/ Intake Section; the Felony Trial Section; the Sex Offense/ Domestic
Violence Section; and the Homicide/ Major Crimes Section.
While violent crime and weapon offenses continued to be the primary focus of the Superior Court
Division, the workload reflected cases brought as a result of a variety of initiatives including: Community
Prosecution, Project Safe Neighborhoods ( Operation Ceasefire), Community Court, Drug Court, and a
number of domestic violence programs. Problem solving, rather than mere case processing, also continued
to be a goal. The high number of dismissals in misdemeanor cases reflected the growing trend towards
the use of alternative dispositions ( mediation, diversion, community service, etc.) in lower level, quality
of life offenses.
The following data details the Superior Court Division’s caseload during Fiscal Year 2003. This
data is not included in the other charts and tables contained in this report.
Total Arrests Reviewed Cases Presented
( Papered)
Cases Declined
( No- Papered)
Cases Terminated
Number
Percent of
Total Number
Percent of
Total
Presented Number
Percent of
Total
Presented Number
Percent of
Total
Presented
Felony 8,074 34.5% 6,281 77.8% 1,793 22.2% 5,602 89.2%
Misdemeanor 15,306 65.5% 11,932 78.0% 3,374 22.0% 11,398 95.5%
Total 23,380 100% 18,213 77.9% 5,167 22.1% 17,000 93.3%
Cases Disposed of by Jury Trials
Number of
Trials
Number
Guilty
Percent
Guilty
Number Not
Guilty
Percent Not
Guilty
Number of
Mistrials
Percent of
Mistrials
Felony 395 255 64.5% 127 32.2% 13 3.3%
Misdemeanor 19 10 52.6% 9 47.4% 0 0.0%
Total 414 265 64.0% 136 32.9% 13 3.1%
United States Attorneys 19
Cases Disposed of by Court Trials
Number of
Trials
Number
Guilty
Percent
Guilty
Number Not
Guilty
Percent Not
Guilty
Number of
Mistrials
Percent of
Mistrials
Felony 71 47 66.2% 24 33.8% 0 0.0%
Misdemeanor 636 405 63.7% 231 36.3% 0 0.0%
Total 707 452 63.9% 255 36.1% 0 0.0%
Case Dispositions
Number of
Guilty Pleas
Number of
Dismissals
Felony 3,212 1,924
Misdemeanor 3,795 6,948
Total 7,007 8,872
Convictions
Number of
Convictions
Conviction
Rate
Felony 3,514 62.7%
Misdemeanor 4,210 36.9%
Total 7,724 45.4%
20 2003 Annual Statistical Report
Fiscal Year 2003 Strategic Goals
In carrying out their criminal prosecution responsibilities, the United States Attorneys are
guided by the law enforcement and special prosecution priorities of the Attorney General. These
areas are set forth in the Department’s Strategic Plan and Performance Report. The Fiscal Year 2003
prosecution priorities are addressed separately below.
Terrorism
During Fiscal Year 2002, the Attorney General directed the United States Attorneys to
establish an Anti- Terrorism Task Force ( now Anti- Terrorism Advisory Council) in each district.
This Anti- Terrorism Advisory Council ( ATAC) is supervised by the United States Attorney and
coordinated by an experienced prosecutor from the United States Attorney’s office. The ATAC is
designed to further the Department’s three- pronged approach to protecting America from the threat
of terrorism by focusing on the prevention of terrorist acts, the investigation of threats and incidents,
and the prosecution of those accused of committing crimes by terrorist means.
The ATACs have become a valuable addition to the law enforcement community and have
made great strides in furthering the President’s war on terrorism and in forging relationships with
state and local law enforcement. ATACs include approximately 5,300 state and local law
enforcement agencies and continue to grow daily. The ATACs’ primary responsibilities are to
coordinate anti- terrorism initiatives, initiate training programs, and facilitate information sharing.
These ATAC responsibilities are distinguished from those of Joint Terrorism Task Forces ( JTTFs),
which retain primary operational responsibility for terrorism investigations.
The ATACs and the JTTFs received valuable training in Fiscal Year 2003. In December
2002, the Deputy Attorney General directed the development and implementation of joint training
on national security matters, including the USA PATRIOT Act and the Foreign Intelligence
Surveillance Act. The training was developed by a working group consisting of the Federal Bureau
of Investigation ( FBI), the Central Intelligence Agency, the Criminal Division, the Office of
Intelligence Policy and Review, the United States Attorneys’ offices, and the Executive Office for
United States Attorneys. The national security training was conducted through a series of 5 National
Security Conferences held at the National Advocacy Center in Columbia, South Carolina from May
2003 to July 2003. A sixth conference was held May 20- 23, 2003, in Washington, D. C. for Assistant
United States Attorneys and FBI field supervisors in the Washington, D. C., area.
The attendees for each National Security Conference consisted of district or regional teams
with members from the ATACs and the JTTFs. Each National Security Conference included a series
of lectures, panels, and an interactive, all- day small- group discussion of a 12- segment hypothetical
that was developed specifically for the conferences. Following the National Security Conferences,
participants provided local and regional training sessions for nearly 4,000 FBI agents, JTTF
members, and United States Attorney’s office employees.
United States Attorneys 21
In addition to the National Security Conferences, a Bioterrorism - Train the Trainers’
Conference was held in Atlanta, Georgia, in April of 2003. This course invited ATAC
Coordinators, FBI Weapons of Mass Destruction Coordinators, and representatives from the Public
Health Department from every state to encourage and provide training and training materials for
district- wide or region- wide law enforcement/ public health conferences. Finally, a United States
Attorneys’ seminar entitled “ What You Should Know to Combat Terrorism,” was held at the
National Advocacy Center from January 23- 24, 2003. The seminar provided an overview of the
statutes and Department of Justice guidelines critical to combating terrorism, including the Foreign
Intelligence Surveillance Act, the 199 review process, the USA Patriot Act, and the Classified
Intelligence Protection Act. Training for ATACs continued in 2004 with the ATAC Coordinators’
Conference on March 29- April 1, 2004.
During Fiscal Year 2003, the United States Attorneys filed a total of 572 terrorism and anti-terrorism
cases against 786 defendants. This includes international and domestic terrorism,
terrorism- related financing, and terrorism- related hoaxes, as well as anti- terrorism cases, that is,
those cases brought to prevent or disrupt potential or actual terrorist threats where the offense
conduct is not obviously a federal crime of terrorism. A total of 682 cases against 761 defendants
were also terminated in Fiscal Year 2003. Of those defendants whose cases were terminated, 87
percent were convicted.
Examples of successful terrorism or anti- terrorism prosecutions handled by the United States
Attorneys during Fiscal Year 2003 include the following:
In the Western District of New York, a defendant pled guilty to a charge of
contributing goods and services to specially designated terrorists, notably Usama bin
Laden and al Qaeda. The defendant is 1 of 6 defendants who was charged in a two-count
indictment in October 2002, with providing material support or resources to
al Qaeda. In conjunction with the plea agreement, the government filed a
superseding criminal information charging the defendant with contributing funds and
services, which is in violation of the International Emergency Economic Powers Act.
The defendant pled guilty to the charge in the superseding information and agreed to
cooperate with the government's ongoing criminal investigation. On October 21,
2002, he was indicted by a federal grand jury in Buffalo, along with 5 co- defendants.
The indictment charged the defendants with conspiracy to provide material support
to terrorists from the spring of 2001 through mid- September 2002. The indictment
also charged the defendants with providing material support from the spring of 2001
through the beginning of August 2001, and for receiving military- type training at the
Al Farooq terrorism camp affiliated with Usama bin Laden and al Qaeda near
Kandahar, Afghanistan. The 6 defendants in this case received sentences ranging
from 7 years in prison to 10 years in prison.
22 2003 Annual Statistical Report
In the District of Oregon, six defendants were convicted after they sought
to travel to Afghanistan to fight against American forces after the September 11,
2001, attacks. The sentencing terms for the defendants ranged from 3 years in prison
to 18 years in prison.
In the Middle District of Pennsylvania, a defendant, age 59, was sentenced
to 2 years and 6 months in prison for mailing 17 letters containing a white powdery
substance intended to look like anthrax to a number of local, state, and federal
officials. On October 22, 2001, at the height of the national anthrax crisis, the
defendant and her co- conspirator, age 27, caused the 17 anthrax hoax letters to be
placed in a mailbox at the Nanticoke, Pennsylvania Post Office. Two of the letters
were addressed to President George W. Bush, and the others were directed to state
and local officials. The defendant and co- defendant used the names of 2 juveniles
as the letter- senders in order to seek revenge on the juveniles for accusing the
defendant's son of threatening them. Three days after the letters were mailed, United
States Postal Inspectors arrested the defendants at an apartment in Wilkes- Barre,
Pennsylvania.
Firearms
Enforcing federal criminal laws is the second strategic goal in the Department’s Strategic
Plan. Achieving this goal requires the investigation and prosecution of a diverse and challenging
array of criminal offenses, first and foremost of which are violent crime offenses, particularly those
involving firearms. During Fiscal Year 2003, Project Safe Neighborhoods Task Forces across the
nation continued to work to implement the coordinated strategy to reduce gun violence. These task
forces were led by the United States Attorney in each of the federal judicial districts. On May 14,
2001, the President and the Attorney General, along with the Bureau of Alcohol, Tobacco, Firearms,
and Explosives, announced Project Safe Neighborhoods ( PSN): America’s Network Against Gun
Violence. PSN focuses on an invigorated enforcement effort that, through new resources and tools,
either builds on the successful programs already in place or creates effective gun violence reduction
programs. PSN consists of 5 essential elements: partnership; strategic planning; training;
community outreach and public awareness; and accountability. United States Attorneys in each of
the federal judicial districts work side by side with local law enforcement and other officials to tailor
the PSN strategy to fit the unique gun crime problem in their district. Although programs may differ
among districts, the 5 essential elements are met through heightened coordination among federal,
state, and local agencies to target gun crime and with increased resources at the federal and local
levels.
During Fiscal Year 2003, PSN Task Forces and United States Attorneys’ offices across the
nation continued to vigorously enforce gun laws to prevent and deter gun crime, which helped to
further PSN’s goal of unprecedented prosecution of federal gun crimes. Their efforts helped to set
a Department record of 13,037 defendants charged under 18 U. S. C. 922 or 924, and a record of
10,556 cases filed. When compared with the prior year, this represents a 23 percent increase in the
number of defendants filed, the largest ever increase, and a 24 percent increase in the number of
United States Attorneys 23
cases filed. The 13,037 defendants filed in Fiscal Year 2003 included those charged in cases that
were handled by the United States Attorneys’ offices as purely firearms cases, and defendants
charged with firearms offenses in any other criminal cases, such as narcotics cases, organized crime
cases, violent crime in Indian Country cases, or other violent crime cases such as bank robberies.
Criminals convicted of violating gun laws continue to receive substantial punishment for
their crimes. During Fiscal Year 2003, 90 percent of all defendants who were terminated were
convicted, the highest conviction rate over the last several years. Of the convicted defendants, 8,868,
or 93 percent, were sentenced to prison. Of the defendants sentenced to prison, 6,375, or 72 percent,
were sentenced to terms of at least 3 years in prison, and 4,405, or 50 percent, were sentenced to
terms of 5 or more years in prison, including 83 life sentences.
Examples of successful firearms prosecutions handled by the United States Attorneys during
Fiscal Year 2003 include the following:
In the District of Arizona, a career criminal, who had 16 prior felony
convictions, was sentenced to 10 years in prison after he pled guilty to owning,
pawning, and then attempting to redeem a semi- automatic weapon. The defendant's
prior felonies, mostly in New Jersey, included breaking and entering, attempted
breaking and entering, possession of burglary tools, aggravated assault, receiving a
stolen automobile, possession of a handgun by a convicted person, and possession
of a controlled dangerous substance. When he attempted to redeem the gun he
pawned from a federally licensed firearms dealer, he was identified as a convicted
felon during a Brady background check. He had lied on the Alcohol, Tobacco, and
Firearms Form 4473 ( Firearms Transaction Record) about his criminal past.
In the Southern District of Indiana, a defendant, age 51, of Indianapolis,
Indiana, was sentenced to 17 years and 7 months in prison as an armed career
criminal. On April 23, 2002, Indianapolis police officers were dispatched to a
residence following a 911 call that reported an assault. Officers found 3 persons
inside the residence, including the defendant. The officers found the defendant, who
had been beaten by 1 of the other 2 persons, and took him to a hospital. A search of
the defendant's pockets at the hospital revealed a .16 gauge, Winchester shotgun
shell. Meanwhile, police recovered a loaded, .16 gauge, sawed- off shotgun from his
bed inside the residence. The defendant had previous felony convictions for 2 armed
robberies in 1980, 3 armed robberies in 1989, an armed robbery in 1990, and 2
counts of battery in 1990 for assaulting 2 correctional staff while confined. During
the past 22 years, he has been in prison for all but 3 years and 6 months.
In the Southern District of New York, a defendant, a gun- runner who was
convicted in March 2003 of multiple firearms offenses, was sentenced to 19 years
and 6 months in prison. The defendant, age 22, and his co- defendant, age 21, were
each convicted of firearms trafficking conspiracy, dealing in firearms without a
license, and transporting firearms into, or receiving firearms in, the state where they
24 2003 Annual Statistical Report
reside. The defendant was also convicted of traveling in interstate commerce to
acquire firearms that he intended to sell without a license. This was the first trial
resulting from a long- term investigation of violent and drug crimes by the Bureau of
Alcohol, Tobacco, Firearms, and Explosives and the City of Newburgh Police
Department. In June 2001, the defendant began recruiting straw purchasers in
Georgia to buy guns that he could transport to Newburgh for sale on the black
market. His co- defendant gave the straw purchasers cash and selected weapons for
purchase. At least 18 handguns, including high powered Intratec 9 mm. handguns
and Masterpiece Arms 45 caliber handguns, were purchased for the defendants by the
Georgia straw purchasers. Seven of those guns were recovered during the execution
of search warrants at homes of suspected drug dealers, and 1 was recovered at the
scene of an attempted murder.
In the District of Rhode Island, 3 defendants in firearms cases brought under
Project Safe Neighborhoods initiatives, were sentenced to an aggregate of more than
48 years in prison for various firearms and drug trafficking offenses. The first
defendant, a career offender, was sentenced to 24 years and 4 months in prison for
brokering " guns for drugs" trades in which drug- dependent New Hampshire residents
acted as straw buyers for guns that he delivered to Providence area drug dealers. The
second defendant, also a career offender, was sentenced to 14 years and 4 months in
prison for cocaine and heroin trafficking and being a felon in possession of 2
handguns found during a search of his apartment. The third defendant was sentenced
to the statutory maximum of 10 years in prison for being a felon in possession of a
handgun, which was discovered in his car after a police pursuit that was precipitated
by a traffic stop. The cases of the first 2 defendants resulted from an investigation
by a firearms task force led by the Bureau of Alcohol, Tobacco, Firearms, and
Explosives. The third defendant's case was prosecuted federally as a result of a joint,
federal- state screening of firearms cases.
In the Eastern District of Texas, a United States District Judge sentenced a
defendant to 15 years in prison after a 2- day sentencing hearing. The defendant was
convicted by a jury on 8 counts of being a prohibited person in possession of firearms
and ammunition. He was subject to a Protective Order that restrained him from
harassing and threatening his former spouse, and prohibited him from possessing
firearms or ammunition. Nearly 8 months after the Protective Order was signed, the
defendant was involved in the fatal shooting of a Whitewright, Texas, police officer.
Although a state court jury found him not guilty of the murder, a federal jury
concluded that he possessed ammunition that was found in the field adjacent to the
road where the officer was shot. During the trial, evidence showed that the rifle
discovered in the defendant's home fired the shell casing found in the field near the
dead police officer. The evidence also revealed that the defendant had possessed
firearms on several other occasions while subject to the Protective Order, all of which
provided the basis for the remaining counts. As part of the sentencing, the judge
made a finding of fact that, by a preponderance of the evidence, the defendant killed
United States Attorneys 25
the officer on the morning of December 23, 2000. The Bureau of Alcohol, Tobacco,
Firearms and Explosives investigated the case with the Texas Rangers.
In the Western District of Texas, a defendant was sentenced to 17 years and
6 months in prison for unlawful possession of a firearm as a convicted felon.
Because of his prior convictions for violent crimes and a serious drug offense, the
defendant was considered an armed career criminal, subjecting him to an enhanced
sentence. In April 2002, the defendant was arrested at a residence in Smithville,
Texas. Officers found him with 3 firearms, ammunition, and a small quantity of
illegal drugs.
Narcotics Prosecutions
To help achieve the Department’s strategic goal of enforcing federal criminal laws related
to drug enforcement, the United States Attorneys’ objectives are twofold. First, they seek to reduce
the threat, trafficking, and related violence of illegal drugs by identifying, disrupting, and
dismantling drug trafficking organizations. Second, they aim to break the cycle of drugs and
violence by reducing the demand for illegal drugs. Integral to this strategy is the Organized Crime
Drug Enforcement Task Force ( OCDETF) Program. Under this program, the efforts and expertise
of federal, state, and local law enforcement agencies are directed toward major drug traffickers and
their organizations, with disruption and dismantling of these organizations as their ultimate goal.
The Department’s drug strategy has placed increased emphasis upon conducting financial
investigations as an integral part of each OCDETF investigation, to eliminate the infrastructure of
drug organizations and to permanently remove the profits garnered by drug traffickers.
The Administration, through the Office of National Drug Control Policy, established a goal
of reducing use of illegal drugs by 10 percent in 2 years and 25 percent in 5 years. This goal is to
be achieved through the Department’s supply reduction efforts and through programs aimed at
prevention and treatment. During Fiscal Year 2003, each United States Attorney’s office took an
active role in working with federal, state, and local law enforcement officials to coordinate demand
reduction efforts. Many offices were actively involved in planning these demand reduction programs
in support of a national demand reduction initiative.
During Fiscal Year 2003, the United States Attorneys filed 17,169 cases against 30,635 drug
defendants. These cases included both OCDETF and non- OCDETF drug cases as well as those drug
cases classified under the Government Regulatory/ Money Laundering and Violent Crime program
categories. A total of 16,480 cases against 28,944 defendants were also terminated. Ninety- two
percent of the defendants who were terminated in Fiscal Year 2003 were convicted. Of the convicted
defendants, 92 percent were sentenced to prison.
26 2003 Annual Statistical Report
OCDETF
The Attorney General’s Drug Enforcement Strategy refocused the Organized Crime Drug
Enforcement Task Force ( OCDETF) Program to identify, disrupt, and dismantle major drug supply
and money laundering organizations through coordinated, nationwide investigations targeting the
entire infrastructure of these enterprises. OCDETF combines the resources and expertise of its
member federal agencies - the Drug Enforcement Administration, Federal Bureau of Investigation,
Bureau of Alcohol, Tobacco, Firearms, and Explosives, United States Marshals, Internal Revenue
Service, United States Immigration and Customs Enforcement, and United States Coast Guard - with
United States Attorneys’ offices across the country, to investigate and prosecute these major drug
supply and money laundering organizations. Law enforcement has developed a priority targeting
strategy that identifies and targets organizations at all levels of the drug supply pyramid. The
international “ command and control” organizations - the “ most wanted” of the drug trade - are
identified on the multi- agency Consolidated Priority Organization Target ( CPOT) List. OCDETF
agencies have also identified various organizations which operate domestically and pose a major
threat to a particular region or regions of the United States. The OCDETF Program seeks to target
all drug trafficking and money laundering networks that are “ linked” to these international, national,
and regional priority targets and, thereby, to attack simultaneously all components of these
organizations nationwide.
During Fiscal Year 2003, the United States Attorneys filed 2,491 OCDETF cases against
7,404 defendants, representing a 21 percent decrease in cases filed and a 14 percent decrease in
defendants when compared with the prior year. This decline was anticipated, however, and reflects
the OCDETF Program’s shift to focus resources on long- term, more complex investigations of high-level
organizations operating in multiple jurisdictions. In addition, the United States Attorneys
terminated 3,008 OCDETF cases against 8,241 defendants. A total of 7,472 defendants, or 91
percent of all terminated defendants, were convicted, with 90 percent of all convicted defendants
sentenced to prison. Fifty- six percent of the defendants were sentenced to prison for more than 5
years.
The following investigative activities for Fiscal Year 2003 reflect the OCDETF Program’s
commitment to disrupting and dismantling high- level drug supply and money laundering
organizations:
“ Operation Trifecta,” a 19- month long OCDETF investigation, resulted in the
indictment of one defendant on the CPOT List and the arrests of more than 400 of his
associates in the United States and Mexico. The drug organization was one of the
largest and most powerful drug trafficking organizations in Mexico. The operation
resulted in the seizure of over 12 tons of cocaine, approximately 6 tons of marijuana,
approximately 160 pounds of methamphetamine, and more than $ 10.5 million in
United States currency. The defendant, who has been indicted in California and
Texas on narcotics trafficking charges, was not arrested and remains a fugitive.
United States Attorneys 27
On August 29, 2003, law enforcement officials arrested an individual who is
listed on the CPOT List, and 28 members of his money laundering and cocaine
trafficking organization. In connection with the arrests, agents seized 69 bank
accounts in the United States and Colombia, valued at approximately $ 13 million.
The operation also resulted in the seizure of more than 350 kilograms of cocaine and
20 kilograms of heroin.
On October 16, 2003, an individual who is listed on the CPOT List, was
arrested in a joint operation between the Haitian National Police and the Drug
Enforcement Administration in Haiti. The individual was one of the most significant
and well- known cocaine traffickers operating in Haiti, and was responsible for the
shipment of multiple- ton quantities of cocaine into the United States. The individual
was taken into United States custody, and transported to Miami, Florida, to face
narcotics trafficking charges.
A majority of the OCDETF cases prosecuted during Fiscal Year 2003 reflect investigations
that were initiated prior to the OCDETF Program’s refocus on high- level drug supply and money
laundering organizations. Examples of these include the following:
In the Southern District of Florida, a defendant, the former right- hand man
of a Colombian drug king pin, was sentenced to 30 years and 5 months in prison and
fined $ 25,000. He was one of the lead defendants in a 43- defendant indictment
resulting from “ Operation Millennium,” a Special Operations Division investigation
involving the Drug Enforcement Administration and Colombian National Police. It
is believed that the drug organization was responsible for exporting up to 30 tons of
cocaine per month from Colombia. To date, 30 “ Operation Millennium” defendants
have been extradited from Colombia to the United States, and 31 defendants have
been convicted of drug trafficking and money laundering charges.
In the District of North Dakota, a defendant was sentenced to life in prison
on narcotics charges. He was the leader of the largest drug trafficking conspiracy
ever brought to justice in North Dakota, and became the first defendant in the state’s
history to be sentenced to life in prison on narcotics charges. The defendant also
received a consecutive sentence of 30 years in prison and an additional, consecutive
sentence of life in prison for possessing, using, and carrying a machine gun in
relation to the drug trafficking crimes. The defendant’s organization moved between
300 and 500 pounds of methamphetamine, worth approximately $ 18 million, into
North Dakota. Five other defendants have been convicted and sentenced to terms
ranging from 4 years and 9 months in prison to 15 years in prison.
In the District of Oregon, 2 defendants were each sentenced to life in prison
after the successful dismantling of an interstate conspiracy to transport multi-kilogram
quantities of powder cocaine from Fresno, California, to Portland, Oregon,
where it was converted to over 100 kilograms of crack cocaine for distribution in the
28 2003 Annual Statistical Report
inner city neighborhoods of Portland. Twenty- five other defendants were sentenced
to terms ranging from 4 years and 9 months in prison to 30 years in prison. Assets
valued at over $ 1 million were forfeited. The case was collaboratively worked on by
the Federal Bureau of Investigation, Internal Revenue Service, Drug Enforcement
Administration, Immigration and Neutralization Service, Portland Police Bureau, and
California Highway Patrol.
Non- OCDETF Drugs
In addition to OCDETF cases, the United States Attorneys also filed a total of 14,678 non-
OCDETF drug cases against 23,231 defendants during Fiscal Year 2003. This represents a 1 percent
increase in cases filed and a 5 percent increase in defendants filed when compared with the prior
year. A total of 13,472 non- OCDETF cases against 20,703 defendants were also terminated during
the year, representing a 6 percent increase in the number of defendants terminated when compared
to the prior year. Ninety- three percent of all terminated defendants were convicted, with 92 percent
of the convicted defendants sentenced to prison.
Examples of non- OCDETF drug cases successfully prosecuted by the United States
Attorneys during Fiscal Year 2003 include the following:
In the District of Idaho, a man described as the pre- eminent drug dealer in
eastern Idaho for the past decade was sentenced to 40 years in prison. The defendant
maintained a home in Pocatello, Idaho, but his primary residence was in California.
From 1992, until his organization was broken up in 2002, the organization supplied
much of the cocaine, marijuana, and methamphetamine in the Pocatello area, and
trafficked these drugs throughout southeast Idaho and into Jackson Hole, Wyoming.
The drugs were generally brought to Pocatello in vehicles, concealed within hidden
compartments. In Pocatello, they were removed, broken down into smaller units for
sale, and kept at various storage units. The proceeds were laundered using wire
services located in the United States and Mexico. The defendant pled guilty to
possession with intent to distribute 500 grams or more of methamphetamine, money
laundering, and a forfeiture count. The case was investigated by the Idaho State
Police, the Internal Revenue Service, and the United States Immigration and Customs
Enforcement.
In the Southern District of Indiana, a defendant, who was a doctor, was
sentenced to 4 years and 3 months in prison and ordered to pay more than $ 128,000
in restitution to the Medicaid program after he pled guilty to unlawful trafficking in
OxyContin and health care fraud. Between late July 2001 and late December 2001,
the defendant prescribed OxyContin for a co- conspirator in amounts that were not
medically and reasonably necessary. In one 14- day period during November 2001,
the defendant prescribed 860 ( 80mg) tablets of OxyContin for his co- conspirator.
From January 2001 through mid- December 2001, the defendant caused the Indiana
Medicaid program to pay $ 130,000 for OxyContin for the co- conspirator. After
United States Attorneys 29
filling the prescriptions the defendant wrote for her, the co- conspirator sold
OxyContin to several individuals in Jennings County, Indiana. She previously pled
guilty to unlawful trafficking in OxyContin and health care fraud and was sentenced
to 3 years and 5 months in prison.
In the District of Kansas, 2 defendants, both of California, were found guilty
of conspiracy to manufacture and distribute more than 10 grams of LSD and
possession with intent to distribute more than 10 grams of LSD. The 2 defendants
were sentenced to life in prison without the possibility of parole, and 30 years in
prison without the possibility of parole, respectively. The investigation resulted in
the largest LSD lab seizure the Drug Enforcement Administration ( DEA) has ever
made. It included the seizure of approximately 41.3 kilograms of LSD,
approximately 97.5 kilograms of lysergic acid, the precursor to LSD, and
approximately 23.6 kilograms of iso- LSD, a by- product from the manufacture of
LSD. In the history of DEA, there have been only 4 seizures of complete LSD labs,
3 of which involved the defendants' operations-- a lab in Mountainview, California,
in 1998, and a lab in Oregon in 1996. The lab in this case was located in Wamego,
Kansas.
In the District of Montana, a defendant who had 2 prior felony drug
convictions was sentenced on methamphetamine conspiracy charges to life in prison
without the possibility of parole. He was also deemed a career offender and was
sentenced to life in prison without the possibility of parole for 2 counts of possession
with intent to distribute methamphetamine. For being an illegal alien, as well as a
felon in possession of a firearm, he was sentenced to 10 years in prison. After a
four- day trial in February 2003, the defendant was convicted of 1 count of conspiracy
to possess with intent to distribute methamphetamine, and 2 counts of possession
with intent to distribute methamphetamine. Prior to trial, he pled guilty to the
firearms charges. Co- defendants and co- conspirators convicted during the same trial
were previously sentenced. Two of the co- defendants/ co- conspirators were each
sentenced to 10 years and 1 month in prison. A third co- defendant/ co- conspirator
was sentenced to 7 years and 8 months in prison, and a fourth was sentenced to 3
years and 5 months in prison. The investigation was conducted by the Drug
Enforcement Administration, the Montana Division of Criminal Investigations, the
United States Border Patrol, and the City/ County Street Crimes Unit, Billings.
In the Western District of Pennsylvania, a defendant was sentenced to 18
years in prison for his narcotics conspiracy conviction. The defendant pled guilty to
conspiring to distribute 4 pounds of cocaine in the Penn Hills area. He was sentenced
as a career criminal under the United States Sentencing Guidelines on the basis of
prior convictions for third degree murder, homicide by vehicle, armed robbery,
30 2003 Annual Statistical Report
income tax evasion, and multiple drug offenses. Since his arrest for armed robbery
in October 1979, the defendant had been engaged in criminal conduct, been in prison,
been on bond pending trial, or been on probation or parole for all but approximately
3 years.
In the Middle District of Tennessee, a former Nashville police officer was
sentenced to 14 years in prison after he pled guilty to conspiracy to distribute more
than 1,000 kilograms of marijuana, possession with intent to distribute 100 kilograms
or more of marijuana, and conspiracy to distribute 5 kilograms or more of cocaine.
The defendant committed the offenses while on the Nashville police force. He was
arrested on December 12, 2002, by Federal Bureau of Investigation agents and
Nashville Metropolitan Police Department Vice Division officers after he purchased
600 pounds of marijuana from an undercover agent. The defendant delivered
$ 20,000 in cash as payment for the marijuana. Upon his arrest, the defendant stated
that he had obtained the money from a co- conspirator, an officer with the Lebanon
Police Department, and that 300 of the 600 pounds of marijuana was to go to the
co- conspirator. The defendant further stated that the co- conspirator had received
most of the 1,500 pounds purchased over the past year. He then made recorded
phone calls to the co- conspirator confirming his statements to law enforcement
officials. The co- conspirator was arrested at the Lebanon Police Department without
incident. The defendant was involved with a point man for a large organization
operating out of Mexico that distributed marijuana and cocaine in the Nashville area.
The defendant assisted the point man in offloading marijuana shipments and
distributing both marijuana and cocaine. After receiving drugs from the point man,
the defendant distributed the drugs to the co- conspirator. The defendant admitted to
distributing at least 1,500 pounds of marijuana as well as 5 kilograms of cocaine to
the co- conspirator.
Corporate Fraud
It was a banner year for the United States Attorneys and the Corporate Fraud Task Force
which, in only the Task Force’s first year, oversaw an impressive number of corporate fraud
prosecutions. In Fiscal Year 2003, United States Attorneys’ offices opened 224 corporate fraud
matters and charged 313 defendants. In addition, 146 defendants were terminated with 133
defendants being convicted of corporate fraud charges. Clearly, the United States Attorneys have
heeded the President’s call to action to combat corporate fraud. The number of significant corporate
fraud matters undertaken by the United States Attorneys have contributed substantially to restoring
confidence in America’s financial markets and reinvigorating corporate governance practices.
The Corporate Fraud Task Force observed its first anniversary this year by recognizing the
accomplishments of the United States Attorneys and their interagency partners. The Corporate Fraud
United States Attorneys 31
Task Force includes, as members, the United States Attorneys for the Central District of California,
Northern District of California, Northern District of Illinois, Eastern District of New York, Southern
District of New York, Eastern District of Pennsylvania, and Southern District of Texas, as well as
several federal law enforcement and regulatory agencies with jurisdiction over the securities industry.
Examples of corporate fraud cases successfully prosecuted by the United States Attorneys
during Fiscal Year 2003 include the following:
In the Northern District of Alabama, several former executives of
HealthSouth Corporation were charged with offenses arising out of their scheme to
artificially inflate the company’s earnings, misrepresent its true financial condition,
and mislead lenders which had extended over $ 1 billion in credit to HealthSouth
Corporation. To date, 14 defendants including the former Chief Information Officer,
Vice President of Finance, and 3 Chief Financial Officers, have pleaded guilty to
crimes in connection with this investigation. In another significant case, 2 former
executives of Just For Feet, Inc., a company that grew to be the second largest
athletic shoe retailer in the United States, pleaded guilty to charges in connection
with a scheme to overstate company earnings.
In the Northern District of Illinois, 7 former employees of Anicom, Inc.,
which was a nationwide distributor of wire and cable products, were indicted and
charged with crimes involving a complex accounting fraud scheme designed to
falsely inflate sales by tens of millions of dollars. Five defendants, including the
former Comptroller, subsequently pleaded guilty and agreed to cooperate. Charges
remain pending against the former Chairman of the Board and former Chief Financial
Officer.
In the Middle District of Pennsylvania, 5 former executives of Rite- Aid,
Inc., the nation’s third largest drug store chain, pleaded guilty to various charges in
connection with a scheme to inflate the company’s earnings. Among those who
pleaded guilty were the former Chief Executive Officer and Chief Financial Officer.
A sixth defendant, Rite- Aid’s former Chief Legal Counsel, was convicted after a jury
trial of 10 of 11 counts in the indictment.
In the Southern District of Texas, 3 former executives of Dynegy, Inc., were
indicted on charges in connection with a complex scheme of accounting
manipulations to defraud the investing public into believing the company was more
profitable than it was. When this scheme was disclosed to the financial markets,
Dynegy’s stock price plummeted nearly 90 percent in 1 day. Among the victims
were the 140,000 employees of the University of California system, who lost a total
of $ 100 million from their pension and benefit funds in 1 day. Two of the former
executives pleaded guilty to securities fraud charges, while the third was later
convicted after a jury trial of all counts.
32 2003 Annual Statistical Report
Civil Rights Prosecutions
The United States Attorneys handle civil rights prosecutions in their districts in consultation
and coordination with the Department’s Civil Rights Division. The United States Attorneys are
committed to protecting the rights and interests of the American people. The Department’s strategic
goals are to uphold the civil rights of all Americans, reduce racial discrimination, and promote
reconciliation through vigorous enforcement of civil rights laws. Among other civil rights
violations, the United States Attorneys’ offices prosecute incidents of violence or threats against
individuals perceived to be of Middle- Eastern origin, bias motivated crimes, trafficking in persons,
police and other official misconduct, and violations of voting rights.
The United States Attorneys’ offices also enforce federal statutes prohibiting discrimination
in housing, consumer credit, and public accommodations. In addition to these traditional areas, the
Department is increasing its efforts in protecting the growing number of elderly Americans. The
increasing number of older adults residing in long- term care facilities are often particularly
vulnerable to inadequate or failure of care and treatment. These efforts are very important as elder
abuse and neglect often go undetected and the medical community is rarely trained to diagnose or
report it.
During Fiscal Year 2003, the United States Attorneys filed 51 criminal civil rights cases
against 81 defendants. The United States Attorneys also terminated a total of 61 cases against 104
defendants. Eighty- one percent of the defendants whose cases were terminated during the year were
convicted, with 79 percent of the convicted defendants sentenced to prison.
Trafficking in Persons
Trafficking in persons is a modern- day form of slavery, and is a significant problem in the
United States and abroad. Victims are often lured from outside the United States with false promises
of better economic opportunities and good jobs, and then are forced to work under inhumane
conditions. Many trafficking victims are forced to work in the sex industry, in labor settings
involving domestic servitude, or in prison- like factories.
On October 28, 2000, the President signed into law the Trafficking Victims Protection Act
of 2000, which addresses modern worker exploitation and sex trafficking both domestically and
abroad. This statute gave federal prosecutors powerful new tools for pursuing traffickers and, as
importantly, it greatly enhanced the federal government’s ability to help the victims of this terrible
crime.
Examples of cases successfully prosecuted by the United States Attorneys during Fiscal Year
2003 include the following:
United States Attorneys 33
In the District of New Hampshire, a jury convicted 2 defendants of the
forced labor and document servitude of 2 Jamaican immigrants they brought to the
United States to work in their tree cutting business. This case broke new ground in
the development of the law under the new Trafficking Victims Protection Act statute.
Both defendants were sentenced to almost 6 years in prison.
In the District of New Jersey, 6 defendants pleaded guilty in an elaborate
scheme to smuggle young girls from Mexico and then force them into prostitution in
New Jersey brothels. The defendants were sentenced to terms ranging up to 18 years
in prison. Two other defendants remain fugitives.
In the Southern District of Texas, 6 defendants smuggled women from
Central America into the United States and beat, raped, and held them for forced
labor. The defendants were convicted and sentenced to terms ranging up to 23 years
in prison. Two additional defendants, 1 of whom pled guilty, still remain fugitives.
Bias Motivated Crimes
The United States Attorneys continued their efforts to ensure that any problems of bias
motivated crimes in their districts were adequately addressed. The United States Attorneys’ offices
continued to deter civil rights violations through the prosecution of these crimes.
Examples of bias motivated crimes cases successfully prosecuted by the United States
Attorneys during Fiscal Year 2003 include the following:
a leader of the Jewish Defense League
pled guilty in a civil rights conspiracy to bomb a Culver City mosque and the
California office of a United States Congressman, and faces a mandatory minimum
sentence of 10 years in prison on weapons- related charges. His co- defendant
committed suicide in prison while awaiting trial on these charges.
In the Middle District of Florida, 4 defendants, including a doctor and his
wife, pleaded guilty to charges of conspiracy to destroy the Islamic Education Center
of St. Petersburg, Florida, and received sentencing terms ranging up to 12 years and
7 months in prison.
In the Middle District of Florida, a defendant was sentenced to 2 years and
3 months in prison for damaging the Islamic Center Mosque in Tallahassee, Florida,
by intentionally crashing his truck into the building.
34 2003 Annual Statistical Report
2 skinhead defendants pleaded guilty for
their role in assaulting minority students whom they chased as the students walked
home from a high school football game. During the assault, the defendants
surrounded a terrified African- American girl and held a knife to her throat while
threatening to kill her. The defendants were sentenced to 3 years and 1 month in
prison and 1 year and 8 months in prison, respectively.
In the Western District of Louisiana, 5 members of the Louisiana Ku Klux
Klan, including the Grand Dragon, were sentenced to terms ranging up to 15 years
in prison on civil rights charges. The defendants were convicted of burning a large
cross at a home owned by 3 African- Americans who had recently moved to the area
for employment. The wife of one of the Klansmen also pled guilty to charges of
conspiracy.
In the District of Massachusetts, a white supremacist was sentenced to 21
years and 10 months in prison following his trial conviction for conspiring to make
a destructive device to blow up property of a Jewish or African- American association
to create a catalyst for a “ racial holy war.”
In the Southern District of Mississippi, a defendant was convicted and
sentenced to life in prison for the 1966 murder of an elderly African- American farm
worker who was lured to a national forest and shot multiple times at close range. The
defendant and his now- deceased co- conspirators hoped the murder would bring
Martin Luther King, Jr., to Mississippi, where they planned to assassinate him. A
local trial in 1967 ended in an acquittal.
Official Misconduct
The conviction of law enforcement officers who deprive citizens of rights under color of law
or use threat or force to injure or intimidate persons in their enjoyment of specific rights is an
important part of the Department’s effort to keep our streets and neighborhoods safe for citizens
across the country.
Examples of civil rights cases, specifically pertaining to official misconduct, that were
successfully prosecuted by the United States Attorneys during Fiscal Year 2003 include the
following:
In the District of Colorado, in the largest criminal civil rights case ever
prosecuted against federal detention officers, 7 correctional guards from the United
States Penitentiary in Florence, Colorado, were indicted on color of law charges for
systematically beating inmates and lying to cover- up their illegal conduct. The jury
convicted the 3 ring leaders of conspiracy and substantive counts, and the court
recently sentenced the defendants to significant jail time.
United States Attorneys 35
In the Middle District of Florida, a Jacksonville Sheriff’s Deputy was
sentenced to life in prison after being convicted of strangling a businessman to death
whom he had arrested as part of a robbery scheme. His co- conspirators, who also
participated in numerous color of law robberies and thefts prior to the murder, were
convicted as well and received lengthy prison sentences.
In the Southern District of Mississippi, 2 Deputy Sheriffs from the Sharkey
County Mississippi Sheriff’s Department, were convicted for their role in the
shooting and beating of an unarmed man who fled from officers. The first defendant
shot the victim in the back after the victim stopped running and raised his arms in
surrender. The second defendant kicked and stomped on the victim after he had
fallen to the ground. The defendant who shot the victim was sentenced to 11 years
and 6 months in prison.
In the Western District of Texas, 2 Deputies from the El Paso County
Sheriff’s Department in Texas, pleaded guilty to color of law violations for sexually
assaulting female motorists. The first defendant was sentenced to 10 years in prison,
and the second defendant failed to appear for his sentencing and remains a fugitive.
36 2003 Annual Statistical Report
III. ASSET FORFEITURE LITIGATION
The asset forfeiture laws are designed to attack the profit motive for crime, to seize assets used to
commit crimes, and generally to deter criminal activity. Asset forfeiture has proven to be an effective law
enforcement tool. In addition to disgorging criminal proceeds and deterring crime, asset forfeiture has been
used to facilitate the return of funds to victims of fraud, and has resulted in millions of dollars being
transferred to state, local and international law enforcement efforts through equitable sharing.
The United States Attorneys’ offices use both criminal and civil asset forfeiture laws to strip away
property derived from criminal activity such as narcotics violations, money laundering, racketeering and
fraud, as well as property used to facilitate the commission of certain crimes. Whether through civil or
criminal proceedings, the laws governing asset forfeiture provide due process to all persons claiming an
ownership interest in the property.
Fiscal Year 2003 was the third full year in which the Civil Asset Forfeiture Reform Act of 2000
( CAFRA) was in effect. When it took effect, on August 23, 2000, CAFRA brought many procedural
changes to civil asset forfeiture practice, and added several important law enforcement benefits affecting
both criminal and civil asset forfeiture. In civil cases, CAFRA:
• Imposes a 60- day notice deadline for administrative forfeitures ( 90 days if the case is
adopted from a state or local agency);
• Eliminates cost bonds;
• Imposes a 90- day deadline for filing a civil complaint after a claim has been made;
• Authorizes appointment of counsel if a claimant is indigent and has a Criminal Justice Act
appointed counsel in a related criminal case, or
the property being forfeited is the claimant’s primary residence;
• Raises the government’s burden of proof to preponderance of the evidence; and
• Awards attorney fees to all claimants who “ substantially prevail” except for those claims
the government readily acknowledges and does not contest.
CAFRA also strengthens law enforcement in the following areas:
• Expands civil asset forfeiture to include the proceeds of all offenses constituting a
" specified unlawful activity" under the money laundering statutes;
• Expands criminal asset forfeiture to all cases in which civil forfeiture is authorized;
• Permits the use of forfeited funds to pay restitution to crime victims;
• Requires claimants to provide access to foreign financial records;
• Expands forfeiture in alien smuggling cases to include gross proceeds of the offense and
property traceable thereto;
• Codifies the fugitive disentitlement doctrine; and
• Permits criminal Assistant United States Attorneys ( AUSAs) to share grand jury
information with civil AUSAs.
United States Attorneys 37
As reflected on Table 20, the United States Attorneys’ offices filed asset forfeiture counts in 3,462
criminal cases which sought forfeiture as a criminal penalty during Fiscal Year 2003, representing an
increase of 34 percent over the prior year. At the end of the fiscal year, there were 4,400 criminal asset
forfeiture cases pending, an increase of 33 percent when compared to Fiscal Year 2002. Additionally,
2,156 civil forfeiture actions were filed by the United States Attorneys during the fiscal year, an increase
of 7 percent when compared to the prior year.
As shown on Table 5, the United States Attorneys also obtained 1,260 civil asset forfeiture
judgments in favor of the United States during the year, which represents a 5 percent increase when
compared with the prior year. Asset Forfeiture Chart 1 below reflects the number of judgments the United
States Attorneys’ offices obtained in criminal and civil asset forfeiture cases during the past 10 years. The
chart does not include federal administrative asset forfeiture matters or state court filings.
The United States Attorneys’ work on judicial asset forfeitures resulted in an estimated recovery
of $ 342,862,055 in forfeited cash and property during Fiscal Year 2003. This represents an increase of 7
percent when compared to Fiscal Year 2002. Approximately $ 5,381,206, or 2 percent, of the forfeited
property was retained for official law enforcement use. Approximately $ 18,858,859 of asset forfeiture
proceeds were applied to restitution in victim- related offenses. See Table 20. All other assets were
converted to cash value and the proceeds used for law enforcement purposes by federal, state, local, and
foreign law enforcement.
38 2003 Annual Statistical Report
Asset Forfeiture Chart 2 above shows combined civil and criminal asset forfeiture recoveries
reported through collections by United States Attorneys’ offices over the past 10 years. The chart does not
include federal administrative forfeitures or state court forfeitures.
Examples of asset forfeiture cases successfully handled by the United States Attorneys during
Fiscal Year 2003 include the following:
In the Eastern District of California, the United States District Court ordered $ 10
to $ 12 million in assets situated in Costa Rica to be civilly forfeited to the United States.
The forfeiture arose from an international investment fraud scheme conducted through the
internet. The defendants induced approximately 15,000 individuals into investing $ 60
million in the Tri West Investment Club scheme by falsely representing that the
individuals’ investments would earn substantial profits in a Bank Debenture Trading
Program.
In the Middle District of Florida, the United States District Court issued a Final
Order of Forfeiture for assets valued in excess of $ 7,602,412.10 when liquidated, arising
from the criminal convictions of 2 defendants for mail fraud, wire fraud, and money
laundering in connection with their telemarketing business. In addition, the government
expects to receive more than $ 1 million from the sale of the defendants’ forfeited real
property.
In the Southern District of Florida, a joint law enforcement effort resulted in
forfeiture and international sharing of funds recovered on behalf of the Government of
Peru. Representatives from the United States and Peruvian governments signed an
international agreement authorizing the transfer of $ 20,277,618.32 to the Government of
United States Attorneys 39
Peru. This resulted from an investigation involving the proceeds of fraud, corruption, and
money laundering by a former Peruvian Intelligence Chief and other associates of the
government of the former Peruvian President.
In the Eastern District of North Carolina , the United States Attorney’s office
filed a civil asset forfeiture case to recover the stolen, original copy of North Carolina's Bill
of Rights. The original copy had been missing since 1865 when General Sherman occupied
the city of Raleigh, North Carolina, and the document fell into the hands of a Union soldier.
After extensive litigation, including a claim raised by a silent investor of the antique dealer
who later attempted to sell the document, the court found that the document was stolen
property from the State of North Carolina and should be returned to the state.
40 2003 Annual Statistical Report
IV. CIVIL LITIGATION
Civil litigation by the United States Attorneys arises in various contexts: affirmative litigation, in
which the United States as plaintiff initiates actions to assert and protect government interests; defensive
litigation, in which the United States as defendant protects its interests in lawsuits filed against the
government; bankruptcy litigation, in which the United States is a creditor, an intervener, a party in
interest, or is otherwise involved in a bankruptcy matter; and a variety of other matters, not easily
categorized, in which the United States has an interest and which require the expertise of civil attorneys.
During Fiscal Year 2003, the United States Attorneys’ offices received a total of 89,959 civil
matters. The client agencies for the majority of civil matters received during the year were the Internal
Revenue Service, components of the Department of Justice, and the Department of Agriculture. See Table
6 and Chart 1 below. Of the matters received, 13,415, or 15 percent, were affirmative matters, 55,112 or
61 percent, were defensive matters, and 21,432, or 24 percent were other civil matters. During the same
period of time, the United States Attorneys’ offices terminated a total of 9,646 matters. United States
Attorneys terminate civil matters for a variety of reasons, including when settlements are reached with the
opposing party, when referrals are made for agency actions such as administrative recoupments, and when,
under the circumstances, declination is appropriate.
Civil matters and cases represent a significant portion of the United States Attorneys’ caseload.
As of the end of Fiscal Year 2003, there were a total of 128,087 pending civil matters and cases,
representing 49 percent of the 262,966 total pending criminal and civil matters and cases in the United
States Attorneys’ offices. Of the pending civil matters and cases as of the end of Fiscal Year 2003, 23,269,
or 18 percent, were affirmative litigation; 84,472, or 66 percent, were defensive litigation; and 20,346, or
16 percent, were other civil cases and matters handled by the United States Attorneys. See Table 5.
United States Attorneys 41
While the pending civil matters and cases represent a diverse range of causes of action, 77 percent
of these matters and cases were classified as Bankruptcy, Commercial Litigation, Prisoner Litigation,
Program Litigation, and Social Security. See Table 5. The data on Table 5 does not reflect case
complexity, and, as with any statistical representation of workload, cannot paint an accurate picture of the
time and effort required to investigate and litigate the matters and cases. For example, matters and cases
in the areas of asset forfeiture, employment discrimination, constitutional torts, and fraud are some of the
most complex cases handled by the United States Attorneys’ offices, and represent only 15 percent of all
pending matters and cases, but may involve months of investigation, depositions, discovery, and a lengthy
trial. Conversely, a tax lien case may involve one short appearance before a judge. Nonetheless, each
matter and case is treated the same for statistical purposes.
A total of 14,999 civil matters were pending as of the end of Fiscal Year 2003. Of these pending
matters, 4,336, or 29 percent, had been pending for less than 6 months, 6,763, or 45 percent, had been
pending for less than 12 months, and 9,752, or 65 percent, had been pending for less than 24 months. See
Table 16.
During Fiscal Year 2003, the United States Attorneys’ offices filed or responded to a total of 81,935
civil cases, a decrease of 2 percent when compared to the prior year. The client agencies for the majority
of civil cases filed or responded to during the year were the Internal Revenue Service, the Department of
Justice Agencies, and the Department of Agriculture. See Table 6 and Chart 2 below.
Of the 81,935 civil cases filed or responded to by the United States, 8,950, or 11 percent, were
affirmative civil cases, 54,208, or 66 percent, were defensive civil cases, and 18,777, or 23 percent, were
other civil cases. Also during Fiscal Year 2003, the United States Attorneys’ offices terminated a total of
75,434 cases. Judgments were issued in 30,832, or 41 percent, of these cases. A total of 23,915, or 78
percent, of these judgments were in favor of the United States. Additionally, 17,206, or 23 percent, of the
cases were settled. See Civil Chart 3 and 4 below, and Table 5.
42 2003 Annual Statistical Report
Beginning in Fiscal Year 2000, the civil disposition codes used in the LIONS case management system were revised to more accurately represent the outcomes
in civil cases. The definitions of the codes used for civil cases disposed of by trial were expanded to include evidentiary hearings. Thus, the Fiscal Year 2000,
2001, 2002, and 2003 data for civil cases disposed of by trial cannot be compared to data for prior years.
A total of 113,088 civil cases were pending as of the end of Fiscal Year 2003. Of these pending
cases, 30,172 or 27 percent, had been pending for less than 6 months, 51,013, or 45 percent, had been
pending for less than 12 months, and 76,039, or 67 percent, had been pending for less than 24 months. See
Civil Chart 5 and 6 below, and Table 17.
United States Attorneys 43
Civil Chart 7 below displays civil cases filed or responded to by cause of action, or case type,
during Fiscal Year 2003, while Civil Chart 8 below displays civil cases pending by cause of action, or case
type, as of the end of Fiscal Year 2003.
44 2003 Annual Statistical Report
United States Attorneys 45
46 2003 Annual Statistical Report
Affirmative Civil Litigation
Affirmative civil litigation includes several practice areas, namely, affirmative civil enforcement
( ACE), civil asset forfeiture, and bankruptcy adversarial proceedings. It also includes 2 other groups of
cases: commercial litigation, which comprises such affirmative cases as collection of defaulted Health
Education Assistance loans, National Health Service Corps scholarships, and other student loans; and
program litigation, which refers to such affirmative matters as enforcement of administrative subpoenas,
judicial assistance provided on behalf of international requests, and tax- related cases and matters which
are not seeking a tax refund.
The United States Attorneys received a total of 13,415 affirmative civil matters, and filed a total
of 8,950 affirmative civil cases during Fiscal Year 2003. This represents a decrease of 6 percent in the
number of matters received and a decrease of 4 percent in the number of cases filed when compared to the
prior year. The client agencies for the majority of the affirmative civil matters and cases were the
Department of Justice Agencies, the Department of Agriculture, and the Internal Revenue Service.
As of the end of Fiscal Year 2003, a total of 23,269 affirmative civil matters and cases were
pending, representing 10,320 civil affirmative matters and 12,949 civil affirmative cases. The largest
category of affirmative civil matters received was asset forfeiture ( 34 percent of all matters received),
followed by commercial litigation ( 25 percent) and fraud ( 11 percent). The largest category of affirmative
civil cases filed was commercial litigation ( 30 percent of all cases filed), followed by asset forfeiture ( 24
percent) and environmental/ lands ( 13 percent).
The United States Attorneys terminated a total of 6,274 affirmative civil matters in Fiscal Year
2003. As noted above, the United States Attorneys terminate matters for a number of reasons including
settlements, referrals to agencies for administrative recoupment, and declinations under appropriate
circumstances. During Fiscal Year 2003, 5,194 affirmative civil cases were resolved by judgments, with
5,065 of these judgments in favor of the United States.
Affirmative Civil Enforcement
The Affirmative Civil Enforcement ( ACE) program is an essential component of the United States
Attorneys’ successful prosecution of fraud, waste, and abuse in federal programs. ACE litigation recovers
funds wrongfully paid by the United States, and helps ensure that the government is fully compensated for
the losses and damages caused by those who have enriched themselves at the government’s expense.
Further, beyond recouping the government’s losses, ACE advances federal agencies’ goals for program
integrity by deterring future misconduct.
The primary statutory tool of ACE attorneys is the civil False Claims Act, which provides the
United States with a cause of action against any person who knowingly presents, or causes to be presented,
a false or fraudulent claim for money or property to the United States; makes or causes to be made a false
statement to get a false claim paid or approved; conspires to defraud the government by getting a false
claim paid; or makes, uses, or causes to be made or used, a false statement to conceal, avoid, or decrease
an obligation to the government. The statute provides for treble damages for the government’s loss, plus
penalties for each false claim.
United States Attorneys 47
In addition, ACE attorneys may use other statutes and common law legal remedies to recoup
monies wrongfully obtained from the United States and obtain compensation for the government’s losses.
These include the Medical Care Recovery Act, the Truth in Negotiations Act, the Buy American Act, the
Civil Racketeer Influenced and Corrupt Organizations Act, the Anti- Kickback Act, and common law
causes of action for fraud, negligent misrepresentation, and breach of contract.
Although many of the False Claims Act matters and cases handled by the United States Attorneys
are referred directly from federal or state agencies, a significant number of them result from filings by
private persons known as “ relators” who file suits on behalf of the federal government under the qui tam
provisions in the Act. When a qui tam complaint is filed, the government inquires into the relator’s
allegations and decides whether to pursue them. If a qui tam lawsuit ultimately results in a recovery for
the United States, the relator may be entitled to share in that recovery.
Another significant aspect of the United States Attorneys’ ACE programs is the use of the civil
remedies provided in many federal statutes to enforce the United States’ laws and ensure that those who
have imposed illegal burdens on the public accept responsibility for them. Examples include: civil cases
brought under the Comprehensive Drug Abuse Prevention and Control Act; the Consumer Products Safety
Act; and various environmental and civil rights statutes.
In Fiscal Year 2003, the United States Attorneys reported the recovery of $ 1.9 billion
the ACE program. During Fiscal Year 2003, 1,736 ACE cases and matters were settled or resulted in
judgments, representing a 6 percent increase over Fiscal Year 2002.
During Fiscal Year 2003, the United States Attorneys received 4,123 ACE matters, an increase of
1 percent when compared with the prior year, and filed or responded to 1,901 ACE cases, representing
virtually no change when compared with Fiscal Year 2002. At the end of Fiscal Year 2003, 7,806 ACE
matters and cases were pending, down from 8,324 at the end of Fiscal Year 2002. As in previous years,
a major focus of the United States Attorneys’ ACE activities is the prosecution of health care fraud. As
of the end of Fiscal Year 2003, 1,277 civil health care fraud matters were pending. A large majority of
civil health care fraud cases and matters are settled without a complaint ever being filed. During Fiscal
Year 2003, the United States Attorneys filed or responded to 231 civil health care fraud cases, representing
an increase of 5 percent when compared to the prior year.
Examples of successful ACE prosecutions handled by the United States Attorneys during Fiscal
Year 2003 include the following:
In the Eastern District of California, in a whistle- blower case under the federal
False Claims Act, the United States recovered $ 54,000,000 from Tenet Healthcare
Corporation and Redding Medical Center ( RMC) based on allegations that doctors at RMC
performed unnecessary cardiology procedures on Medicare, Medicaid, and TRICARE
patients, and then fraudulently billed for the surgeries. The recovery is the largest in the
history of the Department of Justice for a case alleging medical necessity fraud.
In the Southern District of New York, the United States Attorney’s office and
Shubert Organization, Inc., the owners and operators of 16 land- marked Broadway theatres,
agreed to a settlement to make the theatres accessible to people with disabilities in
48 2003 Annual Statistical Report
compliance with the Americans with Disabilities Act of 1990 ( the “ ADA”). The settlement
requires Shubert Organization, Inc., to install accessible wheelchair and companion seating
locations as well as aisle transfer seating, in their theatres. The Shubert Organization, Inc.,
has also agreed to sell tickets for a certain number of wheelchair seating locations on the
orchestra level at balcony prices, and to install or provide accessible restrooms. The
comprehensive corrective measures required by the settlement will ensure that people with
disabilities will have an equal opportunity to experience the diverse and spectacular
entertainment events offered in the historic Broadway theatre district.
Bankruptcy
It is in the vital interest of the United States to have a strong voice in bankruptcy proceedings. The
primary purposes of bankruptcy are two- fold: a fresh start for the bankruptcy debtor and an equitable
distribution of assets to the creditors. The United States usually participates in those bankruptcy cases
where it is a creditor for unpaid taxes or uncollected government loans. When a debtor submits to the
jurisdiction of the bankruptcy court, a court of equity, the creditors, including the United States in that role,
must abide by the provisions of the Bankruptcy Code ( Title 11) and the Federal Rules of Bankruptcy
Procedure, which severely restrict their collection actions.
The United States Attorneys filed or responded to a total of 18,309 bankruptcy cases, in which the
United States was: the plaintiff in 1,066 adversary proceedings or separate litigation within a bankruptcy
case; the defendant in 1,339 adversary proceedings; and a creditor or party- in- interest in 15,904 cases
which are classified under “ other designations.” Cases opened under “ other designations” are in response
to the filing of a bankruptcy petition by a debtor against whom the United States has a claim, usually
referred to a United States Attorney's office by another government agency. Bankruptcy cases filed in
United States Bankruptcy Courts for Fiscal Year 2003 totaled 1,661,966, a fiscal year historic high during
the 12- month period ending September 30, 2003. Although the United States Attorneys are only involved
in a fraction of the bankruptcy cases filed, if the caseload of the United States Bankruptcy Courts is
increasing, the United States Attorneys’ bankruptcy caseload will follow suit.
Defensive Civil Litigation
As noted previously, the United States Attorneys represent and defend the interests of the federal
government in lawsuits filed against the United States, or defensive civil litigation. Such litigation
includes, for example, tort suits brought by those who allege they were harmed as a result of government
action, the adjudication of Social Security disability claims, alleged contract violations, habeas corpus
cases, and race, sex, and age discrimination actions. The United States Attorneys’ offices represent and
defend the government in its many roles -- employer, regulator, law enforcer, medical care provider,
revenue collector, contractor, procurer, property owner, judicial and correctional system manager,
administrator of federal benefits, and others.
All lawsuits filed against the government must be defended, and the number of defensive civil cases
handled by the United States Attorneys has represented a significant portion of all civil cases handled
during the past several years. During Fiscal Year 2003, the United States Attorneys’ offices received
55,112 defensive civil matters from federal agencies. These defensive civil referrals represented 61 percent
of all civil matters received during the year. Commercial litigation, Social Security actions, prisoner
United States Attorneys 49
litigation, torts, and program litigation accounted for 87 percent of all defensive civil matters received
during the year. See Table 5.
The United States Attorneys represented the government in 54,208 defensive civil cases that were
filed in court during Fiscal Year 2003, a 2 percent decrease when compared to the prior year. Defensive
civil cases represented 66 percent of all civil cases during the year. During the same period of time, the
offices terminated 49,146 defensive civil cases, a decrease of 6 percent when compared to the prior year.
Judgments were issued in 24,210 of these cases, with a total of 17,523, or 72 percent, of these judgments
in favor of the United States. An additional 5,981, or 12 percent, of cases filed against the United States
were dismissed. As of the end of Fiscal Year 2003, a total of 83,268 defensive civil cases were pending,
an increase of 4 percent when compared to the prior year.
Commercial litigation cases represented the largest category of cases in the United States
Attorneys’ defensive civil program. During Fiscal Year 2003, the United States Attorneys responded to
20,066 defensive commercial litigation cases, which represented 37 percent of all defensive civil cases.
The second largest category was Social Security, with 15,979 cases responded to, which represented 29
percent of all defensive civil cases.
Unlike affirmative civil litigation where the United States initiates legal action, the successes of
defensive litigation are difficult to quantify. In some cases, liability issues must be resolved and the United
States Attorney’s office represents the interests of the United States in the resolution of those issues. In
other cases, the United States may have apparent liability to a plaintiff and the United States Attorney’s
role is to confirm liability and then negotiate or litigate a reasonable damages award. Often, a plaintiff may
sue the United States seeking to enforce a regulation or law, or restrain the United States from enforcing
a regulation or law. In these cases, the United States Attorney’s office represents not only the fiscal
interests of the government, but also the government’s intangible interest in the implementation of lawful
policies and practices.
Examples of successful defensive civil cases handled by the United States Attorneys during Fiscal
Year 2003 include the following:
In the District of Columbia, the United States Attorney’s office successfully
defended a Federal Tort Claims Act ( FTCA) action arising from the bombings of the
United States Embassies in Kenya and Tanzania, in 1998. Survivors of those killed in the
attacks alleged negligence on the part of the United States in the design and implementation
of security measures at the embassies. The United States Attorney’s office obtained
dismissal based on the discretionary function, foreign country, and independent contractor
exceptions to the FTCA, a result affirmed on appeal.
In the Western District of Washington, following the eruption of Mount St.
Helens in 1980, Congress passed the Monument Act requiring the United States Forest
Service to acquire interests in lands from owners within the boundaries of the monument,
including any “ mineral and geothermal interests.” In a suit attacking the United States
Forest Service's evaluation of patented mineral interests under the Monument Act, the
United States District Court found the United States Forest Service's valuation decision was
50 2003 Annual Statistical Report
reasonable, and in conformity with the requirements of land exchanges under the
Monument Act. The case is currently under appeal.
In the Western District of Washington, in a case alleging a violation of the
Endangered Species Act, plaintiffs claimed the Navy’s program to upgrade its facilities at
the Naval Submarine Base in Bangor, Washington, failed to take proper account of the
potential impact of an accidental detonation of a Trident II missile on the environment and
on listed species in the area. The United States District Court concluded that the risk of an
accidental explosion or detonation of non- nuclear components of a Trident II missile was
so remote and speculative that an environmental analysis of the consequences of such an
event was not required. An appeal is currently pending.
United States Attorneys 51
V. CRIMINAL AND CIVIL APPEALS
Criminal Appeals
Appeals, in general, are very time consuming, requiring a thorough review of the entire
record in the case, the filing of a brief and reply brief and, in most cases, participation in an oral
argument which requires travel to the city where the United States Court of Appeals for the circuit
is located. Furthermore, the complexity of appellate work and the time required to handle that work
increases when convictions are based on complex facts such as those found in organized crime,
organized crime drug enforcement and other narcotics cases, financial institution fraud, armed career
criminal, public corruption, health care fraud, and computer fraud cases.
As a result of the implementation of the United States Sentencing Guidelines in November
1987, Assistant United States Attorneys now spend far more time than before on sentencing issues,
such as preparing sentencing memoranda, conducting lengthy sentencing hearings, and handling
sentencing appeals. While deemed necessary, the additional sentencing and sentencing appeals work
associated with the Sentencing Guidelines has affected the United States Attorneys’ ability to pursue
the investigation and prosecution of more cases.
During Fiscal Year 2003, the United States Attorneys handled a total of 9,373 criminal
appeals filed by or against the United States, representing a 3 percent decrease when compared to
Fiscal Year 2002. See Appeals Chart 1 below.
52 2003 Annual Statistical Report
A total of 9,929 appeals were terminated during Fiscal Year 2003, representing an increase
of 6 percent in the number of appeals terminated when compared to the prior year. The United States
Courts of Appeals ruled in favor of the United States in 8,399, or 85 percent, of the appeals
terminated during the year. See Table 7.
The largest category of criminal appeals filed during Fiscal Year 2003 was narcotics, which
accounted for 3,560, or 38 percent, of all criminal appeals filed during the year. See Appeals Chart
2 above. Other large categories of criminal appeals included violent crime, with 2,240 appeals filed
in Fiscal Year 2003, and immigration, with 1,413 appeals filed during the year.
Examples of criminal appeals successfully handled by the United States Attorneys during
Fiscal Year 2003 include the following:
In the Central District of California, in a published decision, a panel of the
United States Court of Appeals for the Ninth Circuit affirmed a defendant’s
conviction for international parental kidnaping. In violation of a California joint
custody order, the defendant took his daughter to Italy. The child’s mother went to
Italy to seek return of the child, and an Italian court ordered the child’s return. The
mother was later found dead, which is still under investigation in Italy. In the
meantime, a federal grand jury indicted the defendant under 18 U. S. C. § 1204( a).
The defendant brought a motion to dismiss based on his claim that the Hague
Convention on the Civil Aspects of International Child Abduction precluded the
federal prosecution. The United States District Court denied the motion and the
defendant entered a conditional guilty plea. He received a term of 364 days in
custody and 1 year of supervised release. The defendant has served his term and is
currently in immigration detention. The United States Court of Appeals for the
Ninth Circuit affirmed the United States District Court’s ruling and rejected the
United States Attorneys 53
defendant’s claim that § 1204( d), which says section § 1204 does not “ detract” from
the Hague Convention, precluded the federal prosecution. The court held that the
plain language of the statute made clear that the criminal remedy complemented any
civil remedy under the Hague Convention.
In the Southern District of Florida, 3 defendants were involved in a
conspiracy to murder various witnesses who were scheduled to testify against 2 drug
kingpins. As a result of that conspiracy, 3 potential witnesses were murdered, and
various attempts were made to kill others. The defendants appealed life sentences
imposed after a jury found them guilty of witness tampering. The court summarily
rejected challenges to limitation of cross examination, jury instructions, and
sufficiency of evidence. The court also held that when a statute of limitations
defense is clear on the face of the indictment and requires no further development
of facts at trial, a defendant waives his right to raise that defense by failing to raise
it in a pretrial motion.
In the District of New Jersey, the United States successfully defended the
conviction and sentence of a defendant that bilked customers of First Jersey
Securities, a brokerage specializing in penny stocks, out of tens of millions of
dollars. After a bench trial in the Southern District of New York, the defendant was
ordered to return over $ 75 million to his defrauded customers, the largest litigated
judgment in the Security and Exchange Commission’s history. However, within a
few weeks of that order, the defendant filed for bankruptcy in New Jersey and
illegally concealed over $ 20 million in assets from the United States Bankruptcy
Court. The defendant was successfully prosecuted in the district for bankruptcy
fraud and sentenced to 9 years and 2 months in prison. On appeal, the defendant
raised a host of trial errors, including allegations of prosecutorial misconduct,
weight of evidence, and improper jury instructions, all of which were rejected by the
United States Court of Appeals. Likewise, the United States Court of Appeals
upheld the defendant’s sentence, finding that the United States District Court
properly calculated the amount of loss involved in the defendant’s scheme, properly
enhanced the defendant’s sentence for obstructing justice, and did not violate any
ex post facto principles.
Post- Sentencing Motions
Between Fiscal Year 1988, when the Sentencing Guidelines went into effect, and Fiscal
Year 1997, there was a dramatic increase year to year in the number of post- sentencing motions
filed by incarcerated defendants under 28 U. S. C. § 2255. These motions, filed by defendants
primarily to vacate a sentence, increased from 1,500 in Fiscal Year 1988 to 10,974 in Fiscal Year
1997, or a 632 percent increase. In Fiscal Year 1997 alone, the number increased by 2,342, or 27
percent, when compared with the prior year. See Appeals Chart 3 below. These post- sentencing
motions are in addition to the criminal appeals discussed above. The work required of Assistant
United States Attorneys to respond to these motions is time consuming and burdensome.
54 2003 Annual Statistical Report
The Prison Litigation Reform Act, which included provisions intended to curb abuses and
excesses in prisoner litigation, was enacted in Fiscal Year 1996, and was expected to result in a
reduction in post- sentencing motions. The Act required that prisoners pursue an administrative
claim before a complaint could be filed in United States District Court, made prisoners responsible
for filing fees, and subjected prisoners to sanctions for frequent and frivolous claims. However, two
factors, perhaps among others, caused the number of motions to continue to increase during Fiscal
Years 1996 and 1997. The United States Supreme Court’s