Warranted and Unwarranted Complexity in the U.S. Sentencing Guideline

The U.S. Sentencing Guidelines are highly complex because of both initial policy decisions and subsequent pressures from Congress and appellate courts. The two initial policy decisions that were largely responsible for this complexity were (a) basing guidelines on "relevant conduct" rather than on the offense of conviction and (b) specifying in detail the number and precise sentencing value of aggravating and mitigating factors. Given this initial bias toward specificity, it was inevitable that the complexity in the guidelines would become worse as Congress pressed for further distinctions and the Sentencing Commission responded to those statutory actions. The complexity of the U.S. Sentencing Guidelines has detrimental effects on both the perceived and actual fairness of the laws. Although statistical analyses indicate that the most complex guidelines (as indexed by the length of each guideline, the length of application notes for each guideline, and the number of amendments to each guideline) are also those that are most frequently used, there is also evidence that at least some of the complexity in the guidelines (the number of specific offense characteristics in each guideline and the number of cross references) is unwarranted.     

论我国量刑制度的改革——以美国联邦《量刑指南》为视角

我国有些地方法院进行了量刑规范化的一些尝试。为扭转我国"重定罪,轻量刑"的观念,减少"人情案"、"关系案"的作用空间,使量刑日益规范化、专业化,结合美国《量刑指南》从无到有、从强制性适用到只需参考、咨询的经验,我国应制定全国统一适用的量刑细则,并对量刑方法、量刑程序进行改革。     

Sentencing Disparity and Sentencing Guidelines: the Case of China

Asian Journal of Criminology - This study investigates sentencing disparity under the sentencing guidelines in China. Drawing upon the firsthand data of 509 criminal cases from a county-level court...     

美国《横向合并指南》的最新修订及启示

美国司法部与联邦贸易委员会于2010年8月联合发布了新版《横向合并指南》,新指南进一步淡化了结构主义色彩,打破了1992年指南所创设的五步分析法,相关市场界定的重要性也被大大降低,指南的制度设计趋向一个事实为基、更富弹性的分析框架。中国应借鉴美国的成熟经验,尽快研究制定横向合并指南,从"反竞争效果认定制度群"、"反竞争效果抗辩制度群"以及"反竞争效果补救制度群"三大方面来把握横向合并指南的内容。中国应注意平衡合并审查制度的确定性与灵活性,加强合并审查中法学与经济学的融合,并积极创建合并案件跟访制度。     

论美国“文化遗产犯罪量刑准则”及其对我国的启示

美国＂文化遗产犯罪量刑准则＂是在美国＂1987年量刑准则＂基础上制定、专门针对文化遗产犯罪的刑事处罚制度。＂文化遗产犯罪量刑准则＂以确定性的量刑方法为指导,实施量刑等级制度。其主要特色在于确定了若干加重量刑的标准,较以往的美国有关文化遗产犯罪的法律在量刑上更为确定和严厉。借鉴美国＂文化遗产犯罪量刑准则＂,克服我国文化遗产犯罪的刑事处罚制度中存在的保护范围不太广、量刑情节不具体等缺陷,无疑有利于加强我国文化遗产的法律保护。     

Justices and Legal Clarity: Analyzing the Complexity of U.S. Supreme Court Opinions

Legal clarity is important to understand and measure because of its connection to the rule of law. We provide the first systematic examination of the clarity of Supreme Court opinions and discover five important results. First, certain justices systematically craft clearer opinions than others. Justices Scalia and Breyer write the clearest opinions, while Justice Ginsburg consistently writes the most complex opinions. Second, ideology does not predict clarity in majority or concurring opinions. Third, all justices write clearer dissents than majority opinions, while minimum winning coalitions produce the clearest majority opinions. Fourth, justices across the board write clearer opinions in criminal procedure cases than in any other issue area. Finally, opinions that formally alter Court precedent render less clear law, potentially leading to a cycle of legal ambiguity.     

Non-State Actors in International Law: A Rejoinder to Professor Thirlway

That we consider the state-based system as best representing the individual is the product of a particular world view. A ‘naturalized myth’ renders inevitable the link between the physicality of the observable landscape and the state as a means of organizing a polity. This myth lingers on in international legal scholarship, although it has been debunked in other disciplines, notably in critical political geography. (Public) international lawyers can learn from their brethren in other disciplines and problematize the territorial state as a contingent political concept. Awareness of the social production of space may allow lawyers to imagine practices of resistance to the spatial status quo, in particular rights of non-state actors in the production of international law, alongside states, and obligations and responsibilities of non-state actors, especially where states have proved unable to properly assume roles of protection vis-à-vis individuals under their formal jurisdiction.

     

Direct and Indirect Effects of Case Complexity, Guilty Pleas, and Offender Characteristics on Sentencing for Offenders Convicted of a White-Collar Offense Prior to Sentencing Guidelines

Previous research on the punishment of offenders convicted of a white-collar offense estimated models that specify only direct effects of defendant characteristics, offense-related variables, and guilty pleas on sentence severity. Drawing from conflict or labeling theories, much of this research focused on the effects of offender's socioeconomic status on sentence outcomes. Findings from this research are inconsistent about the relationship between defendant characteristics and sentence severity. These studies overlook how differences in case complexity of white-collar offense and guilty pleas may intervene in the relationship between offender characteristics and sentence outcomes. This study seeks to contribute to an understanding of federal sentencing prior to the federal sentencing guidelines by testing a legal-bureaucratic theory of sentencing that hypothesizes an interplay between case complexity, guilty pleas and length of imprisonment. This interplay reflects the interface between the legal ramifications of pleading guilty, prosecutorial interests in efficiency and finality of case disposition in complex white-collar cases, and sentence severity. Using structural equation modeling, a four-equation model of sentencing that specifies case complexity and guilty pleas as intervening variables in the relationship between offender characteristics and length of imprisonment is estimated. Several findings are noteworthy. First, the hypothesized interplay between case complexity, guilty pleas, and sentence severity is supported. Second, the effect of offender's educational attainment on sentence severity is indirect via case complexity and guilty pleas. Third, offender's race and gender effect length of imprisonment both directly and indirectly through the intervening effect of case complexity and guilty pleas. These findings indicate the need to specify sentencing models that consider the direct and indirect effects of offender characteristics, offense characteristics, and guilty pleas on judicial discretion at sentencing.     

Structuring Judicial Discretion in China: Exploring the 2014 Sentencing Guidelines

In recent years, a range of western jurisdictions has introduced reforms designed to restrict and guide judicial discretion at sentencing. The reforms enacted include mandatory sentencing laws and guiding statutes prescribing sentencing purposes and principles as well as important aggravating and mitigating factors. However, formal guidelines are the most promising and well-studied innovation. We may now add China to the growing list of countries that have recognized the utility of guidelines. Over the past decade, China has slowly developed sentencing guidelines for its courts. The new guidelines contain both general directions with respect to the determination of sentence as well as specific numerical guidelines for common offences. The guidelines do not follow the approach taken by the US schemes, many of which employ a two-dimensional sentencing grid. Instead, China has adopted a strategy consisting of “Starting Point” sentences which are then adjusted by the court to reflect relevant mitigating and aggravating factors. This approach is much closer to the guidelines developed in England and Wales and those proposed but not yet implemented in New Zealand and Israel. In this article, we explore the new Chinese guidelines and provide a limited comparative analysis with guidelines in other jurisdictions. England and Wales is selected as the principal comparator since it has developed and implemented a comprehensive system consisting of both offence-specified guidelines as well as generic guidelines.     

Developing Sentencing Guidelines in Massachusetts: A Work in Progress

Sentencing guidelines legislation is currently under consideration by the Massachusetts legislature. This paper discusses the process used by the Massachusetts Sentencing Commission in formulating the sentencing guidelines legislation. The conceptual model and key substantive considerations associated with the sentencing guidelines are summarized, with special attention to two salient issues – intermediate sanctions and mandatory sentencing and their relationship to the sentencing guidelines. The paper concludes with a discussion of the reactions to the guidelines legislation and the prospects for passage.     

Ritual and racism: A Social-Historical Analysis of the Crack Sentencing Guidelines

Through the lens of ritual theory, this essay considers the pseudo-religious dimension of white supremacy in the U.S. judicial and penal systems by performing a case study analysis of the federal crack sentencing guidelines. In contrast to previous works on the war on drugs, this essay provides a more integratedunderstanding of the relationship between racism and capitalism within these systems. It achieves this by assessing the ritualistic roles people play in reenacting long-standing cultural practices that have historically been employed as a mechanism for the social and economic control of blacks. With this approach,the key issue in understanding racism becomes one of highlighting the repetition of historic patterns instead of attempting to discern the individual intentions of lawmakers. Finally, this approach also points to the complex ways in which people from different races and classes can be ironicallybound together in support of racist policies and class hierarchies.     

Enhancing Consistency in Sentencing: Exploring the Effects of Guidelines in England and Wales

Objectives

The development and application of methods to assess consistency in sentencing before and after the 2011 England and Wales assault guideline came into force.

Methods

We use the Crown Court Sentencing Survey to compare the goodness of fit of two regression analyses of sentence length on a set of legal factors before and after the assault guideline came into force. We then monitor the dispersion of residuals from these regressions models across time. Finally, we compare the variance in sentence length of equivalent types of offences using exact matching.

Results

We find that legal factors can explain a greater portion of variability in sentencing after the guideline was implemented. Furthermore, we detect that the unexplained variability in sentencing decreases steadily during 2011, while results from exact matching point to a statistically significant average reduction in the variance of sentence length amongst same types of offences.

Conclusions

We demonstrate the relevance of two new methods that can be used to produce more robust assessments regarding the evolution of consistency in sentencing, even in situations when only observational non-hierarchical data is available. The application of these methods showed an improvement in consistency during 2011 in England and Wales, although this positive effect cannot be conclusively ascribed to the implementation of the new assault guideline.     

Sentencing policy and disparity: Guidelines and the influence of legal and democratic subcultures

This study analyzed the effects of sentencing policy on sentencing outcomes and the determinants of sentencing decisions. The authors used hierarchical modeling to examine the impact of sentencing reform on legal and individual- and county-level extralegal factors in addition to the sentencing outcomes themselves. The research was framed within the legal and democratic subculture perspective developed by Richardson and Vines (1970) for understanding lower court decision making. The results indicated that sentencing policy acts as a filter, through which cues from each subculture are synthesized, and helps to shape the effects of both legal and extralegal variables on sentencing outcomes.     

The U.S. Mandatory Guidelines for Federal Workplace Drug Testing Programs: current status and future considerations

The U.S. Department of Health and Human Services (HHS) drug testing standards were published in 1988 and revised in 1994, 1998, and 2004. In 2004, significant revisions defining, standardizing, and requiring specimen validity testing on Federal employee donor urine specimens were included. In a separate notice, HHS proposed to establish scientific and technical guidelines for the Federal Workplace Drug Testing Program to: (1) permit laboratory testing of hair, oral fluid, and sweat patch specimens in addition to urine specimens for marijuana, cocaine, phencyclidine, opiates (with focus on heroin), and amphetamines [including methylenedioxymethamphetamine (MDMA), methylenedioxyethamphetamine (MDEA), methylenedioxyamphetamine (MDA)]; (2) permit use of on-site point of collection test (POCT) devices to test urine and oral fluid at collection sites; (3) permit use of instrumented initial test (screening only) facilities [IITF] to quickly identify negative specimens; and (4) add training requirement for collectors, on-site testers, and MROs. This proposal was published in the Federal Register on 13 April 2004, with a 90-day public comment period. The Substance Abuse and Mental Health Services Administration, HHS, reviewed those comments and is preparing the Final Notice that will define the requirements for such testing, including: specimen collection procedures, custody and control procedures that ensure donor specimen identity and integrity, testing facility, initial and confirmatory test cutoff concentrations, analytical testing methods, result review and reporting, evaluation of alternative medical explanations for presence of drug or metabolite in the donor's specimen, and laboratory certification issues. Voluntary pilot performance testing (PT) programs for each specimen type are on-going since April 2000 to determine how to prepare PT materials for specimens other than urine to evaluate laboratories' ability to routinely achieve accuracy and precision required. Certification programs will be developed using the current urine drug testing National Laboratory Certification Program model. The addition of accurate and reliable workplace drug testing using hair, oral fluid, and sweat patch specimens will complement urine drug testing, and aid in combating industries devoted to suborning drug testing through adulteration, substitution, and dilution. For example, hair testing may detect chronic drug use for up to 90 days and be useful in pre-employment situations; oral fluid testing may detect drug use in past hours and be useful in post-accident situations; sweat patch testing may be useful in follow-up drug testing and treatment programs; POCTs and IITFs may be most useful for quickly identifying specimens that are negative for drugs and indicate that the specimen is valid.     

Women in the U.S. Armed Services:

No abstract available for this article.     

Extralegal factors and the sentencing of organizational defendants: An examination of the Federal Sentencing Guidelines

The Federal Sentencing Guidelines were developed to provide uniform and standardized punishments for eliminating sentence disparities based on legally irrelevant factors. While research at the individual level showed that extralegal factors continued to affect sentence outcomes, no such research determined if these factors influenced sentencing of organizational offenders. This article extends the unit of analysis beyond the individual and toward organizational offenders to determine if total fine amounts are affected by extralegal organizational characteristics. Relying on post-1991 organizational defendant's data, the findings indicated both legal and extralegal factors significantly affected fine outcomes for organizational offenders. As expected, several legal factors significantly affected fine outcomes. At least two extralegal variables, economically solvent and closely held organizations, however, exerted significant effects in predicting the total fine amount imposed. Similar to research at the individual level, this study indicated that extralegal or legally irrelevant factors had some level of impact upon sentencing under the guidelines.     

Measuring U.S. innovative activity: business data at the U.S. Census Bureau

Innovation is seen as a source of strength and vitality in the U.S. economy. Better measures of innovative activity—including but not limited to innovation alone—could improve what we know about the sources of productivity and economic growth. The U.S. Census Bureau collects data on some measures of innovative activity that research shows affect economic performance. But understanding how the effects work requires more than just measures of innovative activity. It also requires solid statistical information about core measures of the economy so we can rule out the possibility that a measure of innovative activity merely proxies for something omitted from or measured poorly in the core data. Gaps in core measures can be filled by better integrating existing data and by more structured collections of new data. Versions of this paper were presented at the NSF/SRS Workshop, Advancing Measures of Innovation: Knowledge Flows, Business Metrics, and Measurement Strategies, Arlington VA, June 6–7, 2006, and circulated to the Advisory Committee on Measuring Innovation in the 21st Century Economy, Economics and Statistics Administration, U.S. Department of Commerce. This paper is unofficial and thus has not undergone the review accorded to official Census Bureau publications. Lucia Foster, Ron Jarmin, Jeffrey Mayer, Thomas Mesenbourg, and Daniel Weinberg, and the editors made valuable comments. However, the views expressed in the paper are those of the author and not necessarily those of the U.S. Census Bureau.     

美国专利权利要求解释的简介

<最高人民法院关于审理侵犯专利权纠纷案件应用法律若干问题的解释>,经最高人民法院审判委员会第1480次会议通过,于2009年12月28日发布,自2010年1月1日起施行,涉及专利权保护范围的确定问题.在专利侵权诉讼中,美国法院通常举行审前听证(马克曼听证会),以确定专利权利要求的保护范围.法官对权利要求范围的认定会预示专利侵权案件的结果,促使双方当事人尽快和解,从而加快专利侵权诉讼.介绍美国专利权利要求的概要,对我国的专利诉讼实践有着参考价值.