Opening Pandora’s Box: How Does Defendant Race Influence Plea Bargaining?

Minority overrepresentation in the criminal justice system has long been an important topic of research and policy debate. In New York City, recent changes in the Rockefeller Drug Laws and the controversy around police stop-and-frisk practices have placed an even greater emphasis on the need for studying the possible impact of defendants’ race and ethnicity on criminal justice outcomes. Relatively little contemporary research, though, examines plea-bargaining outcomes. Using unique data on misdemeanor marijuana cases, this study examines the impact of defendants’ race on prosecutors’ decisions to make (a) plea offers for a lesser charge and (b) sentence offers for non-custodial punishments. Preliminary findings indicated that black defendants were less likely to receive reduced charge offers, and both black and Latino defendants were more likely to receive custodial sentence offers. However, these disparities were largely explained by legal factors, evidence, arrest circumstances, and court actor characteristics, though black defendants were still more likely to receive custodial sentence offers after including these controls. No differences were found between white and Asian defendants. Implications for research and prosecutorial practices are discussed.     

Contradictions in Judicial Support for Capital Punishment in India and Bangladesh: Utilitarian Rationales

India and Bangladesh share a common history, and each has developed somewhat similarly since partition. However, while both countries now have relatively low murder rates, India has seen a decline in the rate of executions, while Bangladesh continues to impose death sentences and carry out executions at a higher rate. There have been challenges to the death penalty in India, restricting its use to exceptional cases. The same has not occurred in Bangladesh. Yet in both countries, systemic flaws in the criminal process are evident. This article draws on two original empirical research projects that explored judges’ opinions on the retention and administration of capital punishment in India and Bangladesh. The data expose justice systems marred by corruption, incompetence, abuses of due process, and arbitrary and inconsistent treatment of defendants from arrest through to conviction and sentencing. It shows that those with the power to sentence to death have little faith in the integrity of the criminal process. Yet, a startling paradox emerges from these studies; despite personal knowledge of its flaws, judges have trust in the death penalty to deter crime and to realise other sentencing aims and feel retention benefits society. This is explained by reference to utilitarian values. Not only did our judges express strongly utilitarian justifications for sentencing people to death, in terms of their erroneous belief in its deterrent effect, but some also articulated utilitarian justifications for misconduct in pre-trial processes, suggesting that it was necessary to break the rules to secure convictions when the system was dysfunctional and ineffective.

     

RACE,RACIAL THREAT,AND SENTENCING OF HABITUAL OFFENDERS*

As legislatures proliferate novel “enhancements” to criminal sentencing, such as “three-strikes” and related provisions, and as criminologists debate their effects, the role of existing enhancements, such as habitual offender statutes, has received little empirical attention. This article explores the effect of race in the decision to prosecute and sentence eligible defendants as “habitual” offenders. During FY 1992–93, 9,690 males admitted to prison in Florida were statutorily eligible (two prior felony convictions or one prior violent felony conviction) for sentencing as “habitual” offenders. Approximately 20% received that disposition. They will serve at least 75% of their enhanced sentence as compared with the state average of about 40%. Logistic regression, controlling for prior record, crime seriousness, and other relevant factors, shows a significant and substantial race effect. The disadvantage of black defendants is particularly strong for drug offenses and for property crimes that have relatively high victimization rates for whites (larceny, burglary). Race is less consequential for violent and weapons-related crimes. Race effects are more often significant in sentencing contexts that are low in terms of percent black, racial income inequality, drug arrest rates, and violent crime rates. The relevance of these findings for a “racial threat” interpretation of sentencing outcomes is discussed.     

A Comparison of Female and Male Probationers

Abstract

A majority of women convicted of crimes are sentenced to probation. Although proportionately more women than men receive probation, little is known about female probationers. The current study is one of the few to compare the backgrounds and case outcomes of women probationers with those of men. Statewide probation discharge data were used to examine differences between male and female probationers on their individual characteristics, offense and sentencing variables, and case outcomes and to explore the effect of gender on case outcomes. A number of gender differences were identified across the probationer, sentencing and case outcome variables examined. In addition, gender had a statistically significant influence on both new arrests and technical violations, after controlling for other variables such as age, race, income, prior involvement in the criminal justice system, conviction offense and sentence length.     

The Time Penalty: Examining the Relationship Between Time to Conviction and Trial vs. Plea Disparities in Sentencing

Although studies of sentencing routinely find that defendants who plead guilty receive relatively lenient sentences compared with similarly situated defendants convicted by trial, we have yet to fully understand the role of “mode of conviction” in the sentencing process. In particular, we know little about how the size of the disparity between guilty pleas and trial convictions may depend upon time in case processing, or the timing of pleas; that is, when during the process defendants plead guilty. This is a considerable issue, as “time” often is central to explanations given for plea-trial disparities. The current study examines this central, yet seldom empirically captured, dimension of the sentencing process. Using information gathered in an ancillary data collection effort operated under the supervision of the American Terrorism Study, we differentiate between the mode of conviction and time to conviction and explore the role of “time” in sentence severity, especially with regard to the plea-trial disparity. While consisting of defendants identified in connection with terrorism investigations, and sentenced in federal courts, our study takes advantages of a unique opportunity to isolate the effects of time from the mode of disposition and to explore time correlates of sentencing outcomes. In doing so, we raise important questions about the multiple ways in which time and mode of conviction may affect sentencing more generally and contribute to the larger theoretical discussions of how punishment decisions are made.     

Gender Disparities in Sentencing Departures: An Examination of U.S. Federal Courts

Using data from the United States Sentencing Commission, the present study examines the role of guideline departures in the sentencing of male and female defendants in federal courts. Findings indicate that female defendants continue to have lower odds of incarceration and to receive shorter sentence length terms, even after legal, extralegal, and contextual factors are controlled. The largest gender difference in the odds of incarceration was found for defendants who received substantial assistance departures, while male and female defendants in this same category were given the most similar sentence lengths. When departure status was examined as a dependent variable, it was found that female defendants were more likely to receive a sentencing departure. Finally, for both males and female defendants sentenced on multiple counts, those who went to trial and had prior criminal histories were less likely to receive sentencing departures. But defendants with higher guidelines sentences, those who had committed drug offenses, and those with more education were more likely to receive a sentencing departure.     

The role of neurological and psychological explanations in legal judgments of psychopathic wrongdoers

Although brain imaging has recently taken center stage in criminal legal proceedings, little is known about how neuroscience information differentially affects people’s judgments about criminal behavior. In two studies of community participants (N = 1161), we examined how mock jurors sentence a fictional psychopathic defendant when presented with neurological or psychological research of equal or ambiguous scientific validity. Across two studies, we (a) found that including images of the brain did not alter mock jurors’ sentencing judgments, (b) reported two striking non-replications of previous findings that mock jurors recommend less severe punishments to defendants when a neuroscientific explanations are proffered, and (c) found that participants rated a psychopathic individual as more likely to benefit from treatment and less dangerous when a neurological explanation for his deficits was provided. Overall, these results suggest that neuroscience information provided by psychiatrists in hypothetical criminal situations may not broadly transform mock jurors’ intuitions about a psychopathic defendant’s sentence, but they provide novel evidence that brain-based information may influence people’s judgments about treatability and dangerousness.     

An inmate’s right to die: legal and ethical considerations in death row volunteering

There is a considerable body of literature about the death penalty across a variety of disciplines. However, a newer body of literature has emerged examining the phenomenon of elected executions, also known as death row volunteering. To date, 138 (nearly 11%) of the 1300 death row executions have come from volunteers. This issue has been particularly controversial due to a number of legal and ethical considerations that have been raised by the scholarly, legal, and public communities. Such issues include a capital defendant’s competency to volunteer; ethical and moral dilemmas for capital defense attorneys, the states, and medical and mental health professionals; whether death row volunteering equates to ‘state-assisted suicide’; and finally, how these considerations impact the public’s support for capital punishment. This paper reviews the existing literature pertaining to death row volunteering through the lenses of these various considerations. Recommendations for future research in this area are also offered.     

Sentencing

While there is nearly unanimous agreement among social scientists that the defendant's prior record is important in explaining the sentence imposed on the defendant, there is little agreement on the "best" or most appropriate measure of prior record to use in examining sentence disparity. This study provides an assessment of the utility of 11 commonly used measures of prior record. We find that the various measures are not interrelated highly and thus necessarily are not interchangeable. We also find that the measures of prior record affect sentence severity differently and that the relationships between these measures and sentence severity varies for black and white defendants.     

Reassessing the Influence of Criminal History in Federal Criminal Courts

Abstract

Prior sentencing research indicates that defendants with more extensive criminal histories receive more punitive dispositions and that criminal history influences sentencing decisions over and above its influence on the guideline recommended sentence. To date, these additional effects of criminal history have almost exclusively been treated as linear effects. However, there are plausible reasons to expect that criminal history could have curvilinear effects on sentencing outcomes that taper off at higher scores. The purpose of this paper is to explore the potential curvilinear effects of defendant criminal history on incarceration, sentence length, and downward departure decisions in federal criminal courts. The findings suggest that criminal history has curvilinear effects on each of these sentencing outcomes. As criminal history category increases, defendants receive more severe sentences, net of other factors, but only up to a certain threshold level, at which point criminal history effects taper off and even reverse.     

Paying Money for Freedom: Effects of Monetary Compensation on Sentencing for Criminal Traffic Offenses in China

The current study seeks to understand the role that monetary compensation plays on the joint occurrence of imprisonment and probation for criminal traffic offenses in China. We argue that monetary compensation influences sentencing decisions primarily by manipulating the probation terms in favor of the defendant. With monetary compensation directly increasing the chances of a more lenient punishment through extended probation as opposed to more severe penalties, we have found sentence lengths for criminal traffic offenses to be concentrated at 36 months, the maximum length eligible for probation. All available sentencing documents for criminal traffic offenses from 2014 to 2016 were retrieved from the China Judgments Online website. The final dataset contains 141,689 observations. Following a joint model approach using both sentence length and probation as outcomes, we utilized a Zero-Truncated-Generalized-Inflated-Poisson model to address the distributional characteristics of sentence length, such as discrete integers, non-zero values, and the concentration of data on certain points. To avoid detecting effects of little scientific importance due to our large sample size, all results were evaluated using bootstrapping techniques. We found that the likelihood of probation increases when monetary compensation is provided, but that compensation does not make a significant difference on the sentence length for those defendants receiving less than 36 months imprisonment. When considering the concentration of sentence lengths at specific values, monetary compensation was positively associated only with the chance of inflation at the value of 36 months, and the probation itself became insignificant in predicting sentence length. The significant positive relationship between monetary compensation and lenient sentencing outcomes suggests that compensation plays a crucial role in the Chinese judicial process. Our study will not only help researchers to better understand the legal process in China, but it will also benefit the larger community as an example of utilizing new sources of data.     

In Search of the Missing Link: Examining Contextual Variation in Federal Charge Bargains across U.S. District Courts

Abstract

Punishment scholars acknowledge the fundamental importance of both prosecutorial discretion and jurisdictional variation in punishment; yet, little is known about the extent to which charging practices vary across court contexts. This is especially true in the federal criminal justice system. This research investigates this issue by linking four years of charging data from the Administrative Office of the U.S. Courts (AOUSC) to corresponding data from the U.S. Sentencing Commission (USSC). It incorporates unique information on district court contexts from a variety of sources to investigate jurisdictional variation in charge reductions. Findings provide evidence that federal charging practices vary across district courts. In particular, several structural court characteristics are significantly related to the likelihood of charge reduction for similarly-situated defendants. Results from this study are interpreted through the lens of contemporary legal perspectives on court communities and suggest several fruitful directions for additional research on the social contexts of criminal prosecution.     

American Indians and sentencing disparity: An Arizona test

Although a proliferation of research exists examining the extent to which African American criminal defendants receive more harsh sentences relative to Caucasians, comparatively little research has examined the issue of discrimination in relation to other minority groups. This article examines disparities in sentence length received between American Indian and Caucasian inmates incarcerated in Arizona state correctional facilities. Regression analyses were used to predict the sentences received by American Indian and Caucasian inmates convicted of six crimes (homicide, sexual assault, robbery, assault, burglary, and larceny). After prior felony record and other demographic variables were controlled in these crime-specific models, the crimes of robbery and burglary were the only crimes in which American Indians received longer sentences than Caucasians convicted of the same offense. Caucasian defendants received significantly longer sentences than American Indians for cases of homicide. A defendant's prior felony record was the only variable that consistently increased the length of sentence received by defendants across all types of crime. These findings are discussed and interpreted using various theoretical arguments.     

REASSESSING RACE DISPARITIES IN MARYLAND CAPITAL CASES*

A generation of research studies that were conducted in multiple states and covered different time periods has found evidence that individuals who kill white victims encounter a greater risk of facing the death penalty than killers of black victims. More recently, research has also examined the likelihood of death penalty processing for black defendants who kill white victims in comparison with other defendant–victim race groups. In particular, a study in Maryland conducted by Paternoster et al. (2003) found evidence that offenders in black defendant–white victim cases were more likely to be death noticed by prosecutors and to receive a death sentence than other offenders. A recent analysis by Berk, Li, and Hickman (2005) raised questions about some of these findings. In this article, we conduct new analyses and conclude that black defendants who kill white victims face a greater risk of adverse treatment than other types of defendants.     

Race and the Death Penalty

Abstract

Scholars have learned a great deal about race and the death penalty. Yet the field has limitations: (1) prior research focuses on African Americans and Hispanics but ignores Asian Americans; (2) researchers have not explored Donald Black's (1989) plan to eliminate discrimination called the “desocialization of law.” Black notes that jurors who do not know the race of the offender and victim cannot discriminate. Black then outlines proposals aimed at removing race information from trials, while still providing jurors with relevant legal information. We address both issues through an experiment in which mock jurors (N = 1,233 students) recommended a sentence in a capital murder trial consisting of four conditions: (1) Asian American-white; (2) white-Asian American; (3) African American-white; (4) race of offender and victim unknown. The results suggest that Asian Americans are treated the same as whites, while African Americans continue to suffer from discrimination. Here, we consider the potential role of social status in such outcomes. The results also suggest that African American offenders and unknown offenders face the same odds of a death sentence. Here, we consider two potential interpretations. On one hand, jurors in the unknown condition could have seen an African American offender and a white victim in their “mind's eye,” effectively merging the conditions. On the other hand, death sentences could be the same in the conditions for distinct reasons: Death sentences could be high in the unknown condition because of relational distance between the juror and offender, while death sentences could be high in the African American-white condition because of discrimination. We conclude by considering the theoretical and public policy implications of both the central findings.     

They know not what they do: Unguided and misguided discretion in Pennsylvania capital cases

Interviews with capital jurors demonstrate that jurors base their decisions on incorrect assumptions regarding the early release of defendants, decide the punishment prematurely, and fail to understand jury instructions. The 74 interviews from the Pennsylvania portion of the Capital Jury Project add insights into the cumulative and relative impact of these three problems with jurors' decision making. Every juror demonstrated at least one of these shortcomings. Underestimating the length of a life sentence was related to considering death the only acceptable punishment and prematurely deciding on death, and the most strongly related to voting for death.     

An Examination of Defendant Sex Disparity in Capital Sentencing: A Propensity Score Matching Approach

Although much prior work has examined the influence of extralegal factors on jury capital sentencing decision-making, the influence of defendant sex has been largely omitted from previous investigations. Using propensity score matching methods, the current study analyzes data from the North Carolina Capital Sentencing Project to examine whether “sex matters” in capital sentencing. Findings demonstrated that prior to matching there was a significant difference in the likelihood of receiving the death penalty for female and male defendant cases; however, after matching cases on an array of legal and extralegal case characteristics, these differences were no longer significant. Further results revealed that male defendants’ cases included different aggravating and mitigating factors than female defendants’ cases and that female defendants had limited “paths” to capital trials. Findings suggest that any apparent sex effects that are observed in capital sentencing stem from real differences in the case characteristics found in female and male defendants’ cases rather than any direct effects of defendant sex on jury decision-making. Study limitations and implications for death penalty research are also discussed.     

Whither the Prosecutor? Prosecutor and County Effects on Guilty Plea Outcomes in Wisconsin

Abstract

By most accounts, the prosecutor is the most powerful person in the courtroom, with discretion to dismiss cases, reduce charges, and offer noncustodial sentences in exchange for guilty pleas. Yet, little is known about the effects of individual prosecutors or community contexts on case outcomes. Relying on data from 318,000 felony and misdemeanor cases in Wisconsin, the present study examines the impact of several prosecutor and county characteristics on case dismissal, guilty plea to lesser charges, and the imposition of a noncustodial sentence following a guilty plea. The authors find that prosecutor caseload composition is associated with variations in guilty plea outcomes, but that neither prosecutor experience nor prosecutor caseload pressure affect other case outcomes. The authors also find that defense counsel and change in defense counsel exert significant influence on guilty plea outcomes. These findings are discussed in relation to focal concerns and courtroom communities perspectives.     

Evaluating the impact of prior record on judges' sentencing decisions: A seven-city comparison

There is much agreement among social scientists that the prior criminal records of defendants are important in explaining the sentences given by judges. That being so, it is crucial to control for prior record when examining sentence discrepancies, such as between black and white defendants. However, when examining sentencing patterns, a remarkable variety of indicators has been used to measure prior record. It is very likely that different measures of prior record have different relationships to sentencing. Only fragmentary evidence of these differential relationships has been offered, however. We will add to our knowledge about the efficacy of different measures of prior record by examining numerous measures and analyzing their relationship to sentences levied on black and white defendants. Data from seven cities will be used in the analysis in order to try to understand the variation that might exist in these relationships.     

Does Gender Modify the Effects of Race–ethnicity on Criminal Sanctioning? Sentences for Male and Female White, Black, and Hispanic Defendants

Using data from large urban courts for the years 1990–1996 and drawing from the “focal concerns” framework on case-process decision making, we examine the main and interactive effects of gender and race–ethnicity on sentence outcomes. The main focus of the present study is whether the effects of race–ethnicity (and gender) on sentence outcomes are similar or different across gender (and racial–ethnic) groups. Consistent with the findings of prior research, we find that female defendants receive more lenient sentences than male defendants and that black and Hispanic defendants receive less favorable treatment than white defendants. However, these main effects are strongly dependent on whether the sample is partitioned by gender or race–ethnicity. We find that race–ethnicity influences male but not female sentences. Conversely, gender strongly influences sentencing across all racial–ethnic groups. These findings are at odds with the traditional view that leniency in court sanctioning typically by-passes “women of color.” Instead, it appears that black and Hispanic female defendants actually benefit more from their “female” status than would be expected all else equal.