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.     

Reflections on the Exercise of Prosecutorial Discretion 50 Years After Publication of The Challenge of Crime in a Free Society

In The Challenge of Crime in a Free Society, the U.S. President's Commission on Law Enforcement and Administration of Justice under President Johnson in 1967 acknowledged the influential role that prosecutors play but lamented the fact that their highly discretionary charging and plea bargaining decisions were often made haphazardly and inconsistently. The Commission called for more transparency and accountability in charging and plea bargaining processes. I examine the exercise of prosecutorial discretion in the 50 years since the publication of the Commission's report, with a focus on the results of research and changes in policy and practice. Although the charging and plea bargaining processes have not been subject to the type of scholarly scrutiny directed at judges’ sentencing decisions, the research that has been published in the past several decades has become more theoretically grounded, methodologically sophisticated, and transdisciplinary. In terms of policy, decisions handed down by the Supreme Court since the 1960s have provided some minimal regulation of charging and plea bargaining, and the reforms embraced by state and federal prosecutors have affected the exercise of prosecutorial discretion.     

Crime,public opinion and trial courts: An analysis of sentencing policy

Much recent research on public opinion and trial courts demonstrates a link between local attitudes and sentencing in highly visible criminal cases. However, such crimes are not typical of most trial court work. Our research examines relationships between public opinion, crime rates, and sentencing in routine cases, including armed and unarmed robbery, burglary, larceny, and possession of narcotics. The research includes over 6000 cases and measures public opinion in all twenty of Florida's trial court circuits. Except for possession of narcotics, no significant correlations were discovered between public opinion and sentencing, but high crime rates generally produced lenient sentences. The research questions the impact of public opinion on most litigation and suggests that judicial elites usually act without concern for local public opinion.     

Decision-Making in court: Observing the sentencing of men and women

Abstract

Using systematic observation together with an analysis of the relevant court and criminal records this research examined the processing and sentencing of a small number of male and female defendants in an English magistrates' court. The findings indicate that sentencing was indirectly affected by a defendant's sex and directly affected by at least one aspect of a defendant's demeanour. These results provide support for the view that combining systematic observation with an analysis of court records offers a more effective means of investigating the differential treatment of male and female defendants than either unsystematic observational studies or the analysis of court records alone.     

Attitudes and public punishment preferences: Finnish results of Scandinavian sense of justice research

Opinion polls have repeatedly shown that populations favour severe penalties for offenders. However, surveys using a case vignette method, where the attributes of the case described to the respondents are varied, produce more versatile results. Such research gives a nuanced picture of punitive attitudes. In this study, the sentence decisions of laypeople who are informed about the offender’s criminal history, ethnic background, gender, social issues and substance abuse were examined.

A representative mail survey collected in Finland as part of Scandinavian sense of justice research was used as empirical data. Respondents were presented with six criminal cases and asked to determine sentences for them. All respondents received the same vignettes, but the background attributes of the offenders varied randomly.

This study showed that all the background attributes had a clear connection to the sentence decisions. Considering these results, the idea of a ‘general punitive attitude’, which is commonly used in academic literature, appears to be too simple of a way to look at the relationship between attitudes and punishment decisions.     

Institutionalizing inequality in the courts: Decomposing racial and ethnic disparities in detention,conviction, and sentencing*

A significant body of literature has examined racial and ethnic inequalities in sentencing, focusing on how individual court actors make decisions, but fewer scholars have examined whether disparities are institutionalized through legal case factors. After finding racial and ethnic inequalities in pretrial detention, conviction, and incarceration based on 4 years of felony court data (N = 83,924) from Miami-Dade County, we estimate nonlinear decomposition models to examine how much of the inequalities are explained by differences in criminal history, charging, and for conviction and incarceration, pretrial detention. Results suggest that inequality is greatest between White non-Latinos and Black Latinos, followed by White non-Latinos and Black non-Latinos, ranging from 4 to more than 8 percentage points difference in the probability of pretrial detention, 7–13 points difference in conviction, 5–6 points in prison, and 4–10 points difference in jail. We find few differences between White non-Latinos and White Latinos. Between half and three-quarters of the inequality in pretrial detention, conviction, and prison sentences between White non-Latino and Black people is explained through legal case factors. Our findings indicate that inequality is, in part, institutionalized through legal case factors, suggesting these factors are not “race neutral” but instead racialized and contribute to inequalities in court outcomes.     

域外辩诉交易的发展及其启示

辩诉交易源于美国。其后,辩诉交易在德国的传播实践叫"刑事协商";在意大利刑事诉讼法典中被规定为"依当事人要求适用刑罚程序";在俄罗斯刑事诉讼法典中被称为"在刑事被告人同意对他提出的指控时做出法院判决的特别程序",通称为认罪程序;日本学者建议在对其简略程序改造时增加该程序叫做"司法交易";而在英国、加拿大等国家中仍然习惯称之为"辩诉交易"。辩诉交易从在美国之发端,到在加拿大等国家之广为传播,其之所以在一片抨击与责难声中,仍能保持如此旺盛的生命力,根源于该制度所独具的、其它诸多刑事司法制度所无法媲美的价值蕴涵。     

Crime,cash, and limited options: Explaining the prison boom*

Research Summary An analysis of a state panel of prison populations from 1977 to 2005 shows that the best predictors of prison populations are crime, sentencing policy, prison crowding, and state spending. Prison populations grew at roughly the same rate and during the same periods as spending on education, welfare, health and hospitals, highways, parks, and natural resources. Current and lagged values of state spending on prison construction also accounted for a substantial amount of variation in subsequent prison populations. Public opinion, partisan politics, the electoral cycle, and social threats seem to have had little effect on the number of prisoners. Policy Implications The availability of publicly acceptable alternatives to incarceration may not be sufficient to reverse course. Federal funding of alternatives—but not prisons—would provide states with the financial incentive to reduce prison populations.     

The intersection of race and gender: an examination of sentencing outcomes in North Carolina

This study examines the intersection of offenders’ race and gender in the sentencing process using data on felony cases sentenced in North Carolina. Analyses examine the likelihood that charges were reduced in severity between initial filing and conviction, the likelihood of imprisonment, and the length of sentence imposed, and test whether race affects punishment similarly for men and women. Results indicate that status characteristics predict both reductions in charge severity and the severity of the final sentence, and that racial disparity is conditional on gender. However, the results are not entirely consistent with predictions derived from the extant literature. Gender significantly predicts case outcomes at each stage, but black men were not uniformly disadvantaged, and black women received the least severe treatment in two out of four analyses. Theoretical implications for the intersection of race and gender in sentencing theories are discussed.     

Female sex offenders who abuse children whilst working in organisational contexts: offending,conviction and sentencing

To date, there has been very little research into the phenomenon of female-perpetrated institutional child sexual abuse (CSA). This study explored 71 cases of CSA perpetrated by women working with children, considered by UK police and courts between 2000 and 2016. Qualitative and quantitative content analysis was employed to examine court reports, professional regulatory body decisions, media reports and an online sentencing database in order to identify perpetrator and victim characteristics, the nature of the offending behaviour, modus operandi and criminal justice system responses. Findings indicate most women offended alone and had no previous criminal or employment records of concern. Victims were typically male and 15–16 years old. Most women received custodial sentences, typically of 2–3 years in length. Implications for policy and practice are also discussed.     

Court processing and sentencing of drinking drivers: Using new methodologies

Driving while intoxicated (DWI) offenses provide a unique focal point for research in criminology. In recent years, legislative and media attention has increasingly focused on the harmful acts of drunk drivers, but little is known of the characteristics of individuals arrested for driving while drunk or of the court processing and sanctioning of such offenders. The research presented here uses a variety of methodological techniques to analyze individual-level court processing data for persons convicted of DWI on a revoked license. We find that the population of persons processed for this offense have certain characteristics which are not unlike those of persons processed for street crimes. Further, we find evidence of differential sanctioning related to ethnicity and level of education. We conclude with a call for future investigation of court processing to understand better why the DWI legislative mandate is being applied differently across social groups.     

The Intersection of Crime Seriousness,Discretion, and Race: A Test of the Liberation Hypothesis

Spohn and Cederblom’s interpretation of the liberation hypothesis asserts that with trivial crimes, judges are “liberated” to consider extra-legal attributes such as race when making sentencing decisions. The current study posits that this perspective may be too theoretically simplistic because it fails to distinguish between the concepts of discretion and uncertainty. In light of this argument, we examine the sentencing decisions of felony cases in the Florida circuit courts. Results indicate that blacks and Hispanics are more likely to be imprisoned than whites, and males more so than females. Contrary to expectations, this disparity increases with crime seriousness. Consistent with the imprisonment model, blacks and males receive longer sentences and the effect increases with case seriousness. We found no evidence that the effect of offender extra-legal attributes depends upon the characteristics of the judges handling the cases. Suggestions for future research and implications for the liberation hypothesis are discussed.     

Public sentencing rallies in China: The symbolizing of punishment and justice in a socialist state

This article explores the functions and format of the public sentencing rallyin China. The public sentencing rally is a judicial event in which the verdictand sentence of a criminal case already decided in court is announced publicly,in a venue such as a stadium or auditorium. Sentencing rallies provide an important organizational and operational avenue through which communicativeactions of blaming and shaming are constituted and relayed to their socialaudience. They can be convened for one individual or for a group of convictedcriminals, usually those convicted of serious crimes, crimes that attract somepublic attention or crimes that are targeted during anti-crime campaigns. Theirfunction is to educate and deter through a process of ritual and representation.They are a format in which the emotive representations of public shaming and gestures of moral indignation can be acted out. Rallies also represent to theirsocial audience, a conceptual framework through which to interpret thecharacteristics of judicial authority in post-1978 China. This aspect ofrepresentation involves two types of authority, the moral authority of thecourt to mete out popular justice and the institutional authority of the courtrepresented in the aspirational claims of institutional reform – proceduralpropriety, professionalism and the strict adherence to the law.     

The Unintended consequences of sentencing reforms: Using social chain theory to examine racial disparities in Female imprisonment

The current study uses social chain theory to examine the potential unintended effects of sentencing reforms on racial disparities in female imprisonment. Our analysis measures changes in the relative odds of Black to White female imprisonment using the Relative Rate Index (RRI) through panel regression modeling on 40 states from 1983 to 2008. Our final models indicate that four types of sentencing reforms had unintended perverse effects on racial disparities in prison admissions while Truth in Sentencing laws increased racial disparities in time-served. Eighteen combinations of sentencing reforms also significantly impacted disparities. Theoretical and policy implications are also discussed.     

Race,Plea, and Charge Reduction: An Assessment of Racial Disparities in the Plea Process

With the growing recognition of the salience of prosecutorial discretion, attention to biases in the earlier phases of case processing is increasing. Still, few studies have considered the influence of defendant race and race/sex within the plea process. The present study uses a sample of felony cases to assess the influence of race and race/sex on the mode of disposition, similarities and differences in the factors that predict the likelihood of a plea across race, and potential racial disparities in the plea value received pertaining to a charge reduction. The findings suggest that blacks, and black males in particular, are less likely to plea, and are expected to receive a lower value for their plea. Also, the factors that predict the likelihood of a plea are substantively different across race. Conditioning effects of race and sex are found in the likelihood of a plea and probabilities of a charge reduction.     

Difference, Disparity, and Race/Ethnic Bias in Federal Sentencing

Federal sentencing guidelines were enacted to reduce unwarranted disparities in sentencing. In this paper we examine the degree to which disparity in sentencing on the basis of race and ethnicity occurred in federal sentencing after the guidelines were implemented. We consider how much of the disparity is explained by offense-related factors as specified in the guidelines. We find that African Americans, Hispanics, and Native Americans receive relatively harsher sentences than whites and that these differentials are only partly explained by offense-related characteristics. We interpret our findings in light of attribution, uncertainty avoidance, and conflict theories.     

The “Distance Traveled”: Investigating the Downstream Consequences of Charge Reductions for Disparities in Incarceration

Abstract

Relatively little work examines the impact that charging decisions exert on sentencing. We investigate this issue by estimating the “distance traveled” in charge bargaining, or the expected change in the likelihood of incarceration associated with reductions in charges across different stages of prosecution. Using data from New York County, we examine how the probability of incarceration shifts as a result of charging decisions and how this potentially contributes to social inequalities in incarceration. Findings indicate that charge reductions are associated with sizeable decreases in the probability of incarceration, particularly at the plea bargaining stage. On average, the “distance traveled” is substantially greater for female than male defendants and for White compared to Latino and Black defendants, even after accounting for a host of relevant punishment factors. Findings are discussed as they relate to contemporary theoretical perspectives on prosecutorial decision-making and social inequality in punishment.     

建立控辩协商程序与完善检察官自由裁量权

在未来《刑事诉讼法》的修订中,借鉴外域“辩诉交易”制度,建立起具有中国特色的“控辩协商”程序,已经得到学界和司法实务界的认可。“控辩协商”程序的设立和运行与检察官自由裁量权的行使具有不可分割的关系,应该以外域实施辩诉交易制度需要的检察官自由裁量权为参照系,进一步丰富和完善我国检察机关自由裁量权的内容,为建立和实施控辩协商程序提供制度上的支持。     

Reactions to Mandatory Sentences in Relation to the Ethnic Identity and Criminal History of the Offender

This study investigated the responses of 181 participants (87 men, 94 women), from Adelaide, South Australia, to scenarios describing mandatory sentences for perpetrators of a property offense committed in the Northern Territory, Australia. Four scenarios that were randomly distributed varied ethnic identity (White Australian, Aboriginal Australian) and criminal history (first-time offender, third-time offender). Participants completed attitude measures for both mandatory sentencing and capital punishment, a right-wing authoritarianism scale, and a scale concerned with sentencing goals (retribution, deterrence, protection of society, and rehabilitation). Results showed strong effects of attitude toward mandatory sentencing on scenario responses for variables such as perceived responsibility, deservingness, leniency, seriousness, anger and pleasure, and weaker effects of ethnic identity and criminal history. Participants were generally more sympathetic when the offender was an Aboriginal Australian. Results of a multiple regression analysis showed that attitude toward mandatory sentence was predicted by right-wing authoritarianism and by sentencing goals relating to deterrence and the protection of society.     

The Relationship Between Crime Reporting and Police: Implications for the Use of Uniform Crime Reports

Empirical studies that use reported crime data to evaluate policies for reducing crime will understate the true effectiveness of these policies if crime reporting/recording behavior is also affected by the policies. For instance, when the size of the police force increases, changes in the perceived likelihood that a crime will be solved may lead a higher fraction of victimizations to be reported to the police. In this paper, three data sets are employed to measure the magnitude of this reporting bias. While each of these analyses is subject to individual criticisms, all of the approaches yield similar estimates. Reporting bias appears to be present but relatively small in magnitude: each additional officer is associated with an increase of roughly five Index crimes that previously would have gone unreported. Taking reporting bias into account makes the hiring of additional police substantially more attractive from a cost–benefit perspective but cannot explain the frequent inability of past studies to uncover a systematic negative relationship between the size of the police force and crime rates.