The Federal/State Criminal Prosecution Nexus: A Case Study in Cooperation and Discretion

Contemporary studies of prosecutorial decision making at the state level are infrequent, and even fewer studies examine the discretionary decisions of federal prosecutors. In addition, virtually no scholarly literature examines the growing overlap between federal and state criminal jurisdiction. This paper advances both theoretical and empirical understandings of the organizational and political contexts in which prosecutorial discretion takes place by exploring the nexus between federal and state criminal jurisdictions. Drawing on interview research in a large urban area with several active federal/state cooperative prosecution programs, we suggest that these cooperative relations open new avenues of discretion for local and federal prosecutors; limit the authority of other court actors, including state judges; and erode the distinctions between federal and local criminal jurisdiction.     

论单一制中国的财政联邦制——以中央与地方财政关系为视角

单一制与联邦制只不过是国家纵向权力配置模式的类型化。任何国家都存在集权或分权两种力的作用,中国便是一个带有联邦制因素的单一制国家。中国财政联邦制的发展与单一制国家结构框架内的体制多有抵牾,但中国财政联邦制的变革并不意味着宪政联邦制的确立。     

Doing technology transfer in federal laboratories (Part 1)

According to data from the Congressional General Accounting Office and the Association of University Technology Managers, the federal laboratories seriously lag some universities in rates of technology transfer. This paper, based on interviews with technology-transfer professionals in federal laboratories and universities, discusses the phenomenon of technology transfer, highlighting subjects such as technology push and market pull, cooperative R&D, technology licensing, start-up companies, information-dissemination and technology-search programs, technology transfer and local development, models of technology-transfer programs, limits to federal technology transfer, and measurement of technology transfer. It concludes that the explanation for the difference in technology-transfer rates between federal laboratories and universities is due primarily to the way technology-transfer opportunities are marketed in the two sectors.     

The ghost that slayed the mandate

Virginia v. Sebelius is a federal lawsuit in which Virginia has challenged President Obama's signature legislative initiative of health care reform. Virginia has sought declaratory and injunctive relief to vindicate a state statute declaring that no Virginia resident shall be required to buy health insurance. To defend this state law from the preemptive effect of federal law, Virginia has contended that the federal legislation's individual mandate to buy health insurance is unconstitutional. Virginia's lawsuit has been one of the most closely followed and politically salient federal cases in recent times. Yet the very features of the case that have contributed to its political salience also require its dismissal for lack of statutory subject matter jurisdiction. The Supreme Court has placed limits on statutory subject matter jurisdiction over declaratory judgment actions in which a state seeks a declaration that a state statute is not preempted by federal law--precisely the relief sought in Virginia v. Sebelius. These statutory limits are a sea wall; they keep out, on statutory grounds, some suits that should otherwise be kept out on Article III grounds. The statutory and constitutional limits on federal jurisdiction over suits like Virginia v. Sebelius insulate federal courts from the strong political forces surrounding lawsuits that follow from state statutes designed to create federal jurisdiction over constitutional challenges by states to federal law. This Article identifies previously neglected jurisdictional limits, shows why they demand dismissal of Virginia v. Sebelius, and explains why it is appropriate for federal courts to be closed to suits of this type.     

Twenty years of operational use of a risk prediction instrument: The United States parole commission's salient factor score

Although empirically-based recidivism prediction instruments were developed as far back as the 1920s, the adoption of the Salient Factor Score by the federal parole board in 1972—as part of a system of explicit parole decisionmaking guidelines—marked the first time that such an instrument was used in a way that had a definite, measurable impact on paroling decisions. The Salient Factor Score has been used in federal parole decisionmaking continuously for the past twenty years. It is axiomatic that a prediction instrument, particularly an instrument used in actual case decisionmaking, be revalidated periodically to ensure that it has retained predictive accuracy. In this article, the predictive accuracy of the Salient Factor Score over time is examined using data on three, large random samples of federal prisoners released in 1970–1972, 1978, and 1987. In addition, the relationship of the Salient Factor Score to the Criminal History Score of the new federal sentencing guidelines—which apply to defendants convicted of federal offenses committed on or after November 1, 1987—is discussed.     

THE FEDERAL JUDICIAL SYSTEM

Since Chief Justice Taft's highly activist tenure, many people have looked to the Supreme Court for leadership in efforts to modernize federal judicial administration. This article reviews the role of the Chief Justice of the United States in federal judicial administration. as well as organizational and procedural improvements in court management at all three tiers of the federal court system, as seen by one trained in public administration Although improvement is apparent. other needed steps include less emphasis on the number of judgeships and more careful long-range planning and experimentation with new techniques     

Extension services and intermediaries: Brokering federal technologies to smaller firms

Extension services and other organizations that assist small and medium-size firms can play an important role in brokering technology from federal laboratories and other R&D sources. They can help the firms identify and define their technology needs and can help interpret and apply federal-laboratory technologies to meet those needs. These are some of the conclusions of a recent Federal Laboratory Consortium project, designed and managed by INNOVATION ASSOCIATES and overseen by the National Association of Management and Technical Assistance Centers. Major recommendations resulting from the project include: a re-examination by Congress of the federal technology-transfer structure to eliminate redundancies and fill gaps; funding extension services to facilitate hiring of dedicated technology-transfer staff; and providing additional incentives and creating informal mechanisms that encourage federal laboratories to work with small firms. The author also recommends that extension services view relationships with federal laboratories as long-term development rather than short-term “fix-its,” provide proactive and continuous follow-up of small firms working with federal laboratories, and act as an advocate on behalf of small firms. The following article discusses the project and its findings. Observations, issues, and recommendations are found at the end of the article.     

All the President's Senators: Presidential Copartisans and the Allocation of Federal Grants

Previous scholarship argues that House members' partisan relationship to the president is among the most important determinants of the share of federal dollars they bring home to their constituents. Do presidential politics also shape distributive outcomes in the Senate? Analyzing the allocation of more than $8.5 trillion of federal grants across the states from 1984 to 2008, we show that presidential copartisan senators are more successful than opposition party members in securing federal dollars for their home states. Moreover, presidents appear to target grants ex post to states that gain presidential copartisans in recent elections.     

THE SOCIAL CONTEXT OF GUIDELINES CIRCUMVENTION: THE CASE OF FEDERAL DISTRICT COURTS*

Recent scholarship on criminal punishments increasingly highlights the importance of courtroom social contexts. Combining recent data from the U.S. Sentencing Commission (FY1997–2000) with aggregate data on federal districts, the current study examines interdistrict variations in the application of downward departures from the federal sentencing guidelines. Findings indicate that substantial variation exists in the probability of both prosecutor‐initiated substantial assistance departures and judge‐initiated downward departures. This variation is accounted for, in part, by organizational court contexts, such as caseload pressures, and by environmental considerations, such as the racial composition of the district. Additional evidence suggests that individual trial penalties and race disparities are conditioned by aggregate court contexts. Drawing on interviews with federal justice personnel, this article concludes with a discussion of future directions for research on federal guidelines departures. Part of the glory of the federal system…is that you've got this one big organization, but it can be molded to different needs…
‐ An assistant U.S. attorney ‐     

Subnational Determinants of National Multipartism in Latin America

Recent research points to the importance of subnational elections as variables shaping the national party system in federal states (Jones 1997b; Mainwaring and Shugart 1997; Samuels 2000). I propose that the effects of subnational elections are not limited to federal states but instead can be seen throughout the region. This paper examines the impacts of gubernatorial elections across eighteen Latin American countries during the most recent democratic period. The analysis suggests that intermediate subnational elections do exert an influence on national party systems, whether the state is federal or not, and particularly influence how many parties are elected to a legislature's lower house.     

From Empire to Law: Customs Collection in the American Founding

This essay investigates the eighteenth‐century origins of the federal administrative state through the prism of customs collection. Until recently, historians and legal scholars have not closely studied collection operations in the early federal custom houses. Gautham Rao's National Duties: Custom Houses and the Making of the American State (2016) offers the most important and thoroughly documented historical analysis to date. Joining a growing historical literature that explains the early development of the US federal political system with reference to imperial models and precedents, Rao shows that the seductive power of commerce over the state within eighteenth‐century imperial praxis required the early federal customs officials to “negotiate” their authority with the mercantile community. A paradigm of accommodation dominated American customs collection well into the nineteenth century until Jacksonian centralizers finally began to dismantle it in the 1830s. The book brings welcome light to a long‐neglected topic in American history. It offers a nuanced, historiographically attentive interpretation that rests on a broad archival source base. It should command the sustained attention of legal, social, economic, and constitutional historians for it holds the potential to change the way historians think about early federal administration. This essay investigates one of the central questions raised in National Duties : How were the early American custom houses able to successfully administer a comprehensive program of customs duties when their imperial predecessors had proved unable to collect even narrowly tailored ones? Focusing on the Federalist period (1789–1800), I develop an answer that complements Rao's, highlighting administrative change over continuity and finding special significance in the establishment of the first federal judicial system.     

Sentence disparity in the federal courts and the adoption of sentencing guidelines

Pressure in the 1970's to reform the sentencing process can be attributed to a change in perceived public sentiment regarding the utility of treatment and to the belief that sentencing disparity was a severe problem in the sentencing process. Primary reform occurred in the federal judicial system with the development and implementation of rigorous sentencing guidelines. An evaluation of sentencing patterns for one federal judicial district indicates that sentencing disparity was not severe. Most federal offenders are relatively mild and consistently receive relatively mild sentences.     

The Limits of Senatorial Courtesy

Because of senatorial courtesy, scholars typically assume that presidents defer to home state senators from their party when selecting judges for the federal courts. We challenge this view, arguing that presidents face structural incentives that encourage them to consult broadly with senators across the partisan and ideological spectrums in choosing nominees. Using new data on the fate of judicial vacancies on the federal district courts between 1947 and 1998, we show how institutional and political forces increase interested senators' leverage in choosing federal judges. Senatorial courtesy, we conclude, has its limits, given presidents' incentives to consult with institutionally empowered senators in selecting nominees.     

The Impact of Federalism on National Party Cohesion in Brazil

This article explores the impact of federalism on national party cohesion. Although credited with increasing economic growth and managing conflict in countries with diverse electorates, federal forms of government have also been blamed for weak party systems because national coalitions may be divided by interstate conflicts. This latter notion has been widely asserted, but there is virtually no empirical evidence of the relationship or even an effort to isolate and identify the specific features of federal systems that might weaken parties. In this article, I build and test a model of federal effects in national legislatures. I apply my framework to Brazil, whose weak party system is attributed, in part, to that country's federal form of government. I find that federalism does significantly reduce party cohesion and that this effect can be tied to multiple state‐level interests but that state‐level actors' impact on national party cohesion is surprisingly small.     

Felony and misdemeanor defendants filed in the u.s. district courts during fiscal years 1990–95: An analysis of the filings of each offense level

The number of criminal defendants in cases filed in the federal courts increased by fewer than 1,000 from 1990 to 1995. Separate analyses of filings of felony and misdemeanor defendants revealed that there are different factors that influence the magnitude of the caseload of each offense level. The number of federal felony filings is strongly linked to staffing levels within the ninety-four U.S. attorneys’ offices, while the types of filings are a reflection of prosecution priorities. As a result, the magnitude of the felony caseload in the federal courts does not mirror either local or national crime rates. Misdemeanor filings, on the other hand, are dependent on enforcement practices of local authorities at military bases and/or national parks, and are concentrated within a few federal courts. The number of misdemeanor filings and traffic violations, in particular, are susceptible to dramatic changes when these local authorities modify their enforcement procedures.     

Company interactions with federal laboratories: What they do and why they do it

Focusing on responses from 229 companies that have worked with federal laboratories, the study examines companies' objectives and initial motivations for technical interaction between companies and federal laboratories. Companies come to the federal laboratories for many reasons: some try to enhance their training and human capital, others to build precompetitive knowledge not likely to show a quick return, and still others to avail themselves of unique lab facilities or seek technical assistance. One implication of these findings is that the traditional view of technology transfer may distort the nature of commercially relevant technical interactions, particularly in an era characterized by rampant “metricmania.” Any assessment of company-laboratory interactions failing to take into account the multiple objectives of many different technical interactions is likely to hinder as much as it helps.     

Less Democracy, More Courts: A Puzzle of Judicial Review in Russia

This article explores why, throughout the 1990s, some Russian regions created their own constitutional courts and others did not. Contrary to current theories that assert that politicians create a strong and independent judiciary to protect them from the tyranny of election-winners in the context of political uncertainty, my analysis finds that constitutional courts emerged only in those regions where governors virtually guaranteed their re-election by consolidating their political power vis-à-vis federal and local governments. The article argues that both federal and regional politicians used the process of creating subnational constitutional courts to legitimize their federalism and judicial reforms. The changes in the balance of power between those governors, who aspired to have their own judicial system, and the federal government that insisted on a single federal judicial system, determined the variation in the process of court-building across Russian regions.     

Administering Entitlement: Governance,Public Health Care,and the Early American State

This article explores the federal marine hospitals of the early republic, the first public health care system in US history. Beginning in 1798, the federal government collected twenty cents per month from mariners' wages and used this revenue to subsidize medical care for sick and disabled merchant mariners. Previous studies have traced links between marine hospitals and modern public policy. By studying governance from the bottom up, this article takes a different approach. I argue that jurists, physicians, and officials' regulation of sailors' entitlement to public health care facilitated and reflected a transformation of national authority. Between 1798 and 1816, sailors' entitlement was a local matter, based on the traditional paternalist understandings of maritime laborers as social dependents. By 1836, though, the federal Treasury redefined entitlement around a newly calculus of productivity: only the productive were entitled to care at the marine hospitals. This story about governance, federal law, and political economy in the early United States suggests that the early American state was a more vibrant participant in the market and society than has been previously understood.     

Federal laboratories & American industry: Fueling innovation

With a little-used gold mine of federal technical resources available to American industry, and adequate networking structure to expedite the transfer of valuable information is needed. The US government's laboratories have assisted some corporations, particularly those in defense-oriented industries, through collaborative research activities. To face the competition from abroad, a greater segment of American industry, of necessity, must tap the technical information and assistance available within the maze of federal laboratories to convert new and existing research into tangible, marketable products. NERAC has designed and tested an accessing model that matches the technological needs of American industry with federal experts through an existing network of federal-laboratory technology-transfer officers. The process is uncomplicated and direct. As a knowledgeable liaison, NERAC has developed a communication network to facilitate the transfer of often-unique material from the federal laboratories to American industry.