SENTENCING AND UNWARRANTED DISPARITY: AN EMPIRICAL ASSESSMENT OF THE LONG-TERM IMPACT OF SENTENCING GUIDELINES IN MINNESOTA*

Using an interrupted time-series design, this research note analyzes the long-term effect of Minnesota's sentencing guidelines on reducing unwarranted disparity in sentencing outcomes that fall within their scope of authority. Unwarranted disparity is defined as residual variation not attributable to legally mandated sentencing factors. Findings suggest that although the sentencing guidelines initially reduced disparity for the no prison/prison sentencing decision, inequality began to revert to preguideline levels as time passed. Further analysis revealed that the guidelines had a permanent impact on reducing disparities in decisions on the length of prison sentence. Overall we observed an 18% decline in disparity for the no prison/prison outcome and a 60% reduction in inequality for the judicial decision as to length of prison sentence. Two explanations for the reversionary trend in the no prison/prison series are highlighted.     

ON THE USE OF THE TOTAL INCARCERATION VARIABLE IN SENTENCING RESEARCH*

This study calls into question the use of the total incarceration response variable incorporated into sentencing studies over the past 30 years. Specifically, using data from the Pennsylvania Commission on Sentencing (PCS), it argues–and reveals–that prison and jail represent two distinct institutions, and that the judge's decision on disposition should take that factor into account. It recommends that researchers should therefore reconsider use of the total incarceration variable, which combines prison and jail into a single response category.     

THE EFFECT OF GENDER ON THE DECISION TO INCARCERATE BEFORE AND AFTER THE INTRODUCTION OF SENTENCING GUIDELINES*

The present study explores the relationships between gender and imprisonment decisions in Minnesota before and after the introduction of sentencing guidelines. Results from a series of logistic regression models indicate that gender alone did not have a significant impact on the likelihood of imprisonment, but women with dependent children were significantly less likely to be imprisoned before sentencing guidelines and in the years subsequent to their implementation. The findings suggest that despite the introduction of sentencing reforms, court officials tend to return to issues of substantive justice, and they appear unable to shed their individual or organizational ideas of fairness in sentencing.     

THE IMPACT OF MEGAN'S LAW ON SEX OFFENDER RECIDIVISM: THE MINNESOTA EXPERIENCE*

Although Megan's Law was passed more than 10 years ago, very little is known as to whether it reduces sex offender recidivism significantly. Using a retrospective quasi‐experimental design, we examine whether community notification has a deterrent effect by comparing the recidivism rates of 155 level 3 (“high public risk”) sex offenders released from Minnesota prisons between 1997 and 2002 who were subject to broad notification with two separate control groups who were not. The first control group (referred to as the prenotification group) contained 125 sex offenders released between 1990 and 1996 (the 7 years preceding the implementation of the Community Notification Act) who likely would have been subject to broad community notification had the law been in effect at the time of their release. The second control group (referred to as the non‐notification group) was composed of 155 offenders (37 level 1 and 118 level 2) released between 1997 and 2002 who were not subject to broad community notification. The results from the Cox proportional hazards models reveal that broad community notification significantly reduced the risk of time to a sex reoffense (rearrest, reconviction, and reincarceration) compared with both control groups. The findings were mixed, however, for both non‐sex and general reoffending. Whereas broad community notification significantly reduced the risk of timing to both non‐sex and general recidivism compared with the prenotification group, no such effects were found in the non‐notification group analyses. We discuss the implications of these results and attempt to explain why Megan's Law seems to reduce sex offense recidivism in Minnesota.     

DISCRETION AND DISPARITY UNDER SENTENCING GUIDELINES: THE ROLE OF DEPARTURES AND STRUCTURED SENTENCING ALTERNATIVES*

This article examines the use of alternative sentencing provisions as mechanisms for departing from sentencing guidelines in Washington State and as structural sources of unwarranted sentencing disparity. The authors argue that these structural features of guidelines not only serve as “windows of discretion” through which disparities arise, but they also may encourage disparities by requiring consideration of substantive criteria that disadvantage certain offender groups. The analyses find that males and minority offenders are less likely to receive alternative sentences below the standard range, but that race‐ethnicity and gender have inconsistent effects on departures above the standard range. Theoretical implications of the study are discussed.     

THE EFFECT OF VICTIM PARTICIPATION IN SENTENCING ON SENTENCE OUTCOME *

The role of victims in the criminal justice process has been a neglected area of research. In the past two decades, however, victims of crime have received increased attention, and recently this attention has centered on the involvement of victims in sentencing. This paper addresses the concerns of critics of the involvement of victims in sentencing and assesses the impact of victim participation on sentence outcome using felony crimes in one midwestern county. Analysis reveals that filing a victim impact statement has some effect on sentence outcome (probation versus incarceration), although offense and offender characteristics are of primary importance. Victim requests for a particular sentence do not influence the choice of sentence. Legal considerations largely explain length of imprisonment, although several of the victim-related variables have explanatory power. The implications of these results for the debate concerning victim participation are discussed.     

CRIME,ARRESTS, AND PRETRIAL JAIL INCARCERATION: AN EXAMINATION OF THE DETERRENCE THESIS*

Using longitudinal data calibrated in daily intervals and a vector ARMA (VARMA) study design, we investigate the causal relations among the number of crimes reported to the police, the frequency of arrest, and the number of defendants held in pretrial jail confinement. Results show a lagged negative effect of frequency of arrest on reported crime. As the number of wrests made by police increases, the number of index crimes reported to authorities decreases substantially the following day. Additionally the analysis reveals a significant positive contemporaneous relationship between criminal activity and arrest levels. No feedback effects among the three variables are noted. In sum, our findings add empirical support to the thesis that the instantaneous and lagged relationship between crime and clearances are of opposite sign. That is, criminal activity increases arrest levels instantaneously, or at least relatively so, while the negative effect of arrest levels on crime levels transpires more gradually.     

THE POWER OF DIVERSION: INTERMEDIATE SANCTIONS AND SENTENCING DISPARITY UNDER PRESUMPTIVE GUIDELINES*

Fiscal constraints and shifting political climates in corrections have recently led to a renewed interest in intermediate punishments. Despite their growing prevalence, though, relatively little empirical research has examined the judicial use of alternative sanctions as a sentencing option. By using 3 years of data from the Pennsylvania Commission on Sentencing (PCS), this study investigates little‐researched questions regarding the use of sentencing alternatives among offenders and across contexts. Results indicate that male and minority offenders are the least likely to receive intermediate sanctions, both as a diversionary jail or prison sentence and as a substitute for probation. The probability of receiving an intermediate sanction also varies significantly across judges and court contexts and is related to county‐level funding for these programs, among other factors. Findings are discussed as they relate to contemporary theoretical perspectives on the perceived suitability of intermediate punishments and on the unique role that offender agency plays in the sentencing of these cases. Directions for future research are discussed.     

TRANSFERRED JUVENILES IN THE ERA OF SENTENCING GUIDELINES: EXAMINING JUDICIAL DEPARTURES FOR JUVENILE OFFENDERS IN ADULT CRIMINAL COURT*

This study contributes to contemporary research on the punishment of juvenile offenders in adult court by analyzing the use of guidelines departures for transferred juveniles in two states, one with presumptive sentencing guidelines (Pennsylvania) and one with voluntary guidelines (Maryland). Propensity score matching is first used to create more comparable samples of juvenile and young adult offenders, and then Tobit regressions are employed to estimate the effect of juvenile status on the likelihood and length of departures. Our findings indicate that juvenile status significantly affects the use of upward departures in Pennsylvania, and the use of both downward and upward departures in Maryland. Judicial reasons for departure are examined to provide additional insight into the complex dynamics surrounding exceptional sentences for juvenile offenders sentenced in adult court.     

EVALUATING THE COOK COUNTY SENTENCING GUIDELINES

This article examines the empirical basis for current criminal sentencing guidelines being used in Cook County, Illinois. Unlike in many other sentencing reforms, guidelines have generally been developed out of an empirical analysis of past sentencing decisions through the identification of variables most predictive of sentence. However, when the statistical analysis is inadequate or faulty, the resultant sentencing guidelines must be questioned. Presented is a reanalysis of the original data used to develop Cook County's sentencing guidelines. Generally, the current sentencing guidelines used in Cook County are not found to be predictive of sentence. Implications of this finding are discussed.     

SOCIOECONOMIC DISPARITIES UNDER DETERMINATE SENTENCING SYSTEMS: A COMPARISON OF PREGUIDELINE AND POSTGUIDELINE PRACTICES IN MINNESOTA*

After a brief review of determinate sentencing systems, this study examines the impact of Minnesota's determinate sentencing law on various presentence and sentencing outcomes. Using comparable pre- and postguideline measures, the results of this study suggest that Minnesota's reform effort was largely successful in reducing disparity within the scope of the new guidelines. However, although the direct impact of socioeconomic attributes of the offender diminished, these characteristics continued to influence sentencing decisions indirectly through various presentence decisions and case attributes not governed by the guidelines Different models of charge bargaining and sentence negotiations are also observed when pre- and postguideline models are compared. Yet, the determinants of these time-specific models are not consistent with the assumptions of a circumvention argument. The paper concludes with suggestions for further research evaluating the impact of determinate sentencing systems on achieving social neutrality in the application of criminal sanctions.     

MODELING THE EFFECTS OF LEGALLY RELEVANT AND EXTRALEGAL FACTORS UNDER SENTENCING GUIDELINES: THE RULES HAVE CHANGED*

Studies of sentencing in jurisdictions with sentencing guidelines have generally failed to specify adequately the effects of offense seriousness and criminal history—the principal factors that, by law, should determine sentencing decisions. As a result, the explanatory power of those models is seriously limited, and regression coefficients representing both legal and extralegal factors may be biased. We present an alternative approach to specify more precisely the effects of legally relevant factors on sentencing outcomes and test the approach using felony sentencing data from Washington State. We find that controlling for the presumptive sentence substantially improves the fit and explanatory power of models predicting sentencing decisions, and that the estimated effects of extralegal factors, specifically sex and race, reduce considerably. The findings have both substantive and methodological implications.     

COURT COMMUNITIES UNDER SENTENCING GUIDELINES: DILEMMAS OF FORMAL RATIONALITY AND SENTENCING DISPARITY

Efforts to structure sentencing through guidelines involve a fundamental dilemma for the sociology of law—guidelines attempt to emphasize formal rationality and uniformity (Savelsberg, 1992) while allowing discretion to tailor sentences to fit situations and characteristics of individual defendants when courts deem it warranted (substantive rationality). This exercise of substantive rationality in sentencing based on "extralegal" criteria deemed relevant by local court actors risks the kind of unwarranted disparity that guidelines were intended to reduce. We view local courts as arenas in which two sets of sentencing standards meet—formal rational ones articulated by guidelines vs. substantive, extralegal criteria deemed relevant by local court actors. We use statistical and qualitative data from Pennsylvania, a state whose courts have operated under sentencing guidelines for over a decade. Our analysis examines extralegal differences in three county courts' sentencing outcomes, and then documents ways in which substantive rational sentencing criteria are intertwined with defendants' exercise of their right to trial and their race and gender.