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.     

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.     

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.     

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.     

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.     

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.     

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.     

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.     

Determinate sentencing, formal rationality, and khadi justice in Maine: An application of Weber's typology

In the 1980s over twenty-five jurisdictions, including Maine, changed their sentencing policies. Nevertheless, only a few states approximated the goal of determinancy proposed by advocates of reform. Recent extensions of Weber's work on law finding to the area of punishment provide a means to reconceptualize the problem addressed by advocates of determinacy. This article refocuses debates about sentencing reform in terms of Weber's concept of formal rationality.It explains why one state—Maine—did not reduce judicial disparities and why determinacy failed to be introduced. Sentences from an experiment conducted among all members of Maine's judiciary are compared with guideline sentences in two states—Minnesota and Pennsylvania. This comparison clearly supports national criticism of Maine's failure to reduce judicial disparities in sentences. It is concluded that widespread sentencing disparities in Maine result from a criminal code legitimating substantively irrational decisionmaking or khadi justice. No attempt was made to move toward a formally rational system advocated by proponents of determinacy.     

Evaluating the Role of Race in Sentencing: An Entropy Weighting Analysis

The current study builds on prior research examining racial disparities in sentencing. Entropy weighting is introduced as a new method for estimating racial disparities that has several advantages over traditionally used methods. Entropy weighting is compared to regression and propensity score methods in estimating Black-White disparities in incarceration sentences. Although all methods find non-significant racial disparities in incarceration sentences, regression and propensity score methods underestimate disparities in incarceration sentence lengths. Entropy weighting provides comparable estimates to propensity score methods, but assures that the samples are identical on all covariates aside from race. The method offers researchers a useful and flexible approach for estimating racial disparities in criminal justice, and its use may lead to alternative conclusions about the size and presence of racial disparities in sentencing.     

Incorporating Co-offending in Sentencing Models: An Analysis of Fines Imposed on Antitrust Offenders

Analyses of sentencing (and other criminal justice processes such as the decision to prosecute, plea bargaining, and contact with the police) often use the isolated individual as the unit of analysis. However, the criminal justice system often processes either offenses or court cases rather than persons. If court cases always involved one individual, this would have little impact. However, offenses involving co-offending—two or more persons acting together—comprise a substantial proportion of criminal activity (Reiss, 1980, 1986). Depending on the prevalence of co-offending, it may be very likely that two or more individuals involved in the same case will be selected as members of the same sample of criminal justice or criminological data. Unless it can be shown that both the individual-level variables of co-offenders and their error terms are mutually independent, analyses based on methods such as ordinary least-squares multiple regression would violate the underlying assumptions of such models. However, alternatives to linear models assuming either type of independence are available. Among the most useful of these are mixed models, specifically those assuming compound symmetry. This is illustrated with an analysis of fines imposed on criminally convicted antitrust offenders. These models may yield results which are substantially different than those from models which ignore co-offending. In a model of fines imposed on antitrust offenders, models which ignore co-offending generally overstate both estimates and statistical significance of offense-level variables and understate those of offender-level variables.     

Race-Based Judgments, Race-Neutral Justifications: Experimental Examination of Peremptory Use and the Batson Challenge Procedure

Practically speaking, the peremptory challenge remained an inviolate jury selection tool in the United States until the Supreme Court's decision in Batson v. Kentucky. 476 U.S. 79 (1986). Batson's prohibition against race-based peremptories was based on two assumptions: (1) a prospective juror's race can bias jury selection judgments; (2) requiring attorneys to justify suspicious peremptories enables judges to determine whether a challenge is, indeed, race-neutral. The present investigation examines these assumptions through an experimental design using three participant populations: college students, advanced law students, and practicing attorneys. Results demonstrate that race does influence peremptory use, but these judgments are typically justified in race-neutral terms that effectively mask the biasing effects of race. The psychological processes underlying these tendencies are discussed, as are practical implications for the legal system.     

Wage differentials and social comparison: An experimental study of interrelated ultimatum bargaining

Equal pay for equal work is discussed in many different legal and political contexts. Our study explores one consequence of this formula, the effect of social comparison for wage acceptance, in multilateral ultimatum games. The results of our laboratory experiments indicate that the availability of information concerning ultimatum offers to other responders influences acceptance behavior even if responders have differing outside options. Particularly, behavior is only partly influenced by self-regarding social comparison; that is, the probability of acceptance decreases significantly for offers that put responders at a substantial disadvantage compared with others. On the contrary, responders are also partly concerned about unfavorable discrimination against others. However, we find that in our setting, i.e. in a setting where the wage offer relation is endogenously chosen, a slightly unequal relation maximizes the joint acceptance frequency for both responders.     

Women,Work, and Crime: An International Test of the Emancipation Hypothesis

This study analyzes Interpol statistics on female crime for the 1963–1970 period for a sample of Western nations with the purpose of testing two popular explanations of female criminality. Six measures of female economic participation in society were correlated with female proportional involvement in overall crime rates, theft, fraud, murder, and robbery/burglary.

It was found that women's contribution to the overall arrest rate is neither directly proportional to their employment in the commercial work force, nor to the degree in which their jobs are comparable to those of males. The analysis of the crimes of theft and fraud provided support for the “opportunity” version of emancipation theory. Adler's “aggressive” variant of the emancipation hypothesis was only partly borne out by the data for murder and not supported for robbery and burglary.     

Examining the research underlying the sentencing guidelines concept in Denver,Colorado: A partial replication of a reform effort

This paper examines the empirical basis for the criminal sentencing guidelines developed in Denver, Colorado. Unlike many other sentencing reforms, such guidelines have generally been developed out of an empirical analysis of past sentencing decisions, which identifies those variables most predictive of sentence. Empirical arguments, as a part of a reform effort, are often more persuasive than nonempirical arguments. However, when the analysis is inadequate or faulty, the resultant reform effort may be called into question.Presented in this paper is a reanalysis of the original data used to develop the Denver guidelines. Questions are raised regarding implications of extensive missing observations across cases and the resulting shrinkage of cases available for multivariate analyses. The original data is reanalyzed in both its original form and in a more complete form by estimating the missing data through a complex regression technique. Our analyses suggest that there are serious methodological weaknesses in the original study. The implications of these weaknesses are discussed.