Plea decision-making by attorneys and judges

Objectives

Approximately 95 % of convictions in the United States are the result of guilty pleas. Surprisingly little is known about the factors which judges, prosecutors, and defense attorneys consider in these decisions. To examine the legal and extralegal factors that legal actors consider in plea decision-making, we replicated and improved upon a 40-year-old study by asking legal actor participants to review a variety of case factors, and then make plea decisions and estimate sentences for pleas and trials (upon conviction).

Methods

Over 1,500 defense attorneys, prosecutors, and judges completed an online survey involving a hypothetical legal case in which the presence of three types of evidence and length of defendant criminal history were experimentally manipulated.

Results

The manipulated evidence impacted plea decisions and discounts, whereas criminal history only affected plea discounts (i.e., the difference between plea and trial sentences). Defense attorneys considered the largest number of factors (evidentiary and non-evidentiary), and although legal actor role influenced the decision to plead, it did not affect the discount.

Conclusions

In replicating a landmark study, via technological advances not available in the 1970s, we were able to increase our sample size nearly six-fold, obtain a sample representing all 50 states, and include judges. However, our sample was nonrepresentative and the hypothetical scenario may or may not generalize to actual situations. Nonetheless, valuable information was gained about the factors considered and weighed by legal actors.

     

Battered wives,lawyers, and district attorneys: An examination of law in action

The legal services received by 146 Milwaukee women who had been beaten by their husbands, but had been free of the violence for at least a year, are described and evaluated. Of these women 106 recieved legal help in connection with at least one battering incident. Some women saw more than one member of the legal profession, so the total number of legal contacts among the 106 women was 255. There is evidence that lawyers and district attorneys were most likely to be used by those battered women for whom the use of personal strategies and informal help sources (such as family and friends) were ineffective in combatting the violence. Contrary to the negative image of lawyers and district attorneys found in the literature on wife beating, most legal service contracts were rated as very or fairly successful by the battered women. The more difficult and severe the situation, the higher the success ratings given to lawyers and district attorneys by their clients. Despite the generally positive reactions that most beaten women had to lawyers and district attorneys, there were many negative incidents reported, including district attorneys who refused service or discouraged battered women from filing charges, and lawyers who sided with the aggressors or attempted to meet their personal and professional needs at the expense of their clients. These incidents remind us that it would be useful to educate legal professionals about the nature of family violence, the situation and needs of battered women, and the legal and ethical responsibilities that lawyers and district attorneys have when they are contacted by battered women.     

Recognition of organizations and accreditation of representatives, attorneys, and agents--VA. Proposed rule

The Department of Veterans Affairs (VA) proposes to revise existing procedures and requirements regarding recognition of service organizations and accreditation of their representatives and agents, attorneys, and individuals seeking to represent claimants for benefits administered by VA. These amendments are necessary to improve clarity and to enhance VA's ability to assure high quality representation of claimants.     

The effect of witnesses, attorneys, and judges on civil commitment in North Carolina: a prospective study

A total of 388 commitment hearings were observed and analyzed for demographic information on patients, name of judge, duration of hearing, identities of those present and those actually testifying, outcome of any procedural challenges, and concurrence of the judges with attorney and physician recommendations. Age, race, and gender of the patient were found to have no significant effect on the outcome of the cases. Disposition of the cases correlated with recommendations by physicians, witnesses, and state attorneys in an overwhelming number of cases. Possible harmful influences of plea-bargaining in commitment hearings are discussed.     

Power and intergroup perception between public defenders and district attorneys

This paper proposes a theoretical framework for understanding intergroup perception differences between public defenders and district attorneys. Social psychological research is reviewed to outline the role of power in intergroup perception differences between high and low status groups. These power differences as well as perception differences are then applied to public defenders and district attorneys, who themselves represent low and high status groups, respectively. To help substantiate this theoretical framework, a qualitative field study is presented in which public defenders and district attorneys of the juvenile justice system were interviewed regarding their perceptions of the youth they process, themselves, and each other. While this field study is a first step and supports the theoretical claim that power underpins intergroup perception differences between public defenders and district attorneys, more quantitative and qualitative empirical research is necessary. The implications of this research are discussed in the terms of the welfare of juvenile offenders.     

Criminal defense counsels,district attorneys,and the insanity plea: A modest difference of opinion

This research examines differences between samples of 166 city and county prosecutors and 118 defense attorneys from Virginia, Tennessee, and Kentucky concerning their views toward the insanity plea in felony cases. Currently, tests for insanity used by the states are the M’Naghten rule, the ALI Model Penal Code test, and the Smith “irresistible impulse” test or combinations thereof. Defense counsels greatly favor the prosecution bearing the burden of proving a defendant’s sanity, while a majority of prosecutors believe that this is the defense counsel’s responsibility. Twenty-five percent of the prosecutors surveyed believed that it is the prosecutor’s responsibility to show by clear and convincing evidence, beyond a reasonable doubt, that defendants are sane and capable of bearing the responsibility for their crimes alleged. Philosophical and practical arguments about the burden of proof issue are examined. Preferences of defense counsels and prosecutors for different insanity tests are explored, finding that a majority of attorneys favor the more recent ALI test.     

Plea bargaining and appraisals of eyewitness evidence by prosecutors and defense attorneys

A sample of defense attorneys and prosecutors from matched California counties participated in a two-part study. Study 1A reports the results of a survey regarding how influential each of the 17 eyewitness factors is in affecting the accuracy of real eyewitness identifications. Generally, both attorney groups considered all eyewitness factors to be influential; on only 6 of the 17 factors were defense attorneys more likely than prosecutors to provide higher importance ratings. In Study 1B, the attorneys answered questions regarding their willingness to plea bargain after reading each of four scenarios in which (1) same- versus cross-race identification and (2) whether the perpetrator was familiar were experimentally manipulated. Both eyewitness factors influenced plea bargaining decisions, and effects were generally consistent for both attorney groups. Results confirm that plea bargaining decisions at least by defense attorneys are made ‘in the shadow of the trial,’ and that appraisals of the strength of eyewitness evidence play a significant role in these decisions.     

Beliefs about secondary confession evidence: a survey of laypeople and defense attorneys

We surveyed students, community members, and defense attorneys regarding beliefs about secondary confession evidence (i.e. when a third party tells authorities that a person has confessed to him or her) from jailhouse informants and other sources. Results indicated that laypeople perceive secondary confessions as less credible than other types of evidence (e.g. forensics, DNA, eyewitness testimony), and they are knowledgeable about factors that may influence the veracity of secondary confessions, such as incentives or previous testimony. However, they underestimated or were uncertain about how persuasive secondary confessions would be to themselves or other jurors. Compared to laypeople, defense attorneys were more sensitive about issues affecting the reliability of secondary confessions.     

Psychiatric expertise in civil commitment: Training attorneys to cope with expert testimony

The learned treatise approach to challenging the psychiatric expert witness in civil commitment proceedings was investigated in the present study. An Ad Litem's Handbook, modeled after Ziskin (1975), was written and distributed to a group of attorneys who also received workshop training in aggressively defending the proposed patients at civil commitment hearings. TheseTRAINED attorneys were compared with control groups of attorneys not receiving the training intervention in terms of trial tactics, cross-examination profiles, and other courtroom behaviors in order to assess the impact of such training and the impact of the learned treatise approach in civil commitment hearings. Results indicated that, in spite of explicit endorsement of such tactics by the court,TRAINED attorneys did not alter their courtroom behaviors significantly in directions suggested by the special training and, like their untrained counterparts, did not aggressively challenge the psychiatric expert whose testimony argued for commitment of their clients.The research reported here is based primarily on the author's doctoral dissertation, completed at the University of Texas at Austin, May 1977. The author would like to acknowledge the assistance of Joseph Horn, Ph.D., dissertation committee chairman and the other members of the committee for their guidance.     

Opinions of attorneys and law enforcement personnel on the accuracy of eyewitnes identifications

A survey was conducted to obtain the opinions of attorneys and law enforcement personnel regarding several important aspects of eyewitness evidence: (1) legal procedures concerning eyewitness evidence; (2) estimated frequency of mistaken eyewitness identification; (3) the effects of certain witness/ suspect characteristics on identification accuracy; (4) the amount of emphasis placed on eyewitness evidence by judges and juries; (5) the relationship between a witness' identification accuracy and certainty; and (6) the effect of stress and arousal on identification accuracy. The questionnaire was sent to a sample of defense and prosecuting attorneys in each of Florida's 20 Judicial Circuits, to each of the 67 county Sheriff's Departments in Florida, and to 100 randomly sampled Police Departments in Florida. Prosecuting attorneys and law enforcement officers indicated that they regard eyewitness identification as relatively accurate and that judges and juries appropriately emphasize its importance. Defense attorneys, on the other hand, felt that eyewitness identifications are often inaccurate and are overemphasized by triers of fact. The implications of these findings for the criminal justice system and their possible applications within the legal system are discussed.     

Prosecuting child sexual abuse in rural Kentucky: Factors influencing case acceptance by prosecuting attorneys

This study examined the relationship between felony prosecutors’ discretion and the legal and social factors present in cases of child sexual abuse. Prosecuting attorneys from 20 rural circuits in Kentucky were targeted for semistructured interviews in order to determine what influences them to accept or not accept a case for prosecution. Findings show a relationship between rural Kentucky prosecutors’ decision to accept a case and the availability of physical evidence, victims’ age and competence, potential trauma inflicted upon the victim, and the situation in which the allegation of sexual abuse originated. The relationship between prosecutors’ discretion and various factors is discussed regarding the impact on other criminal justice officials in their pursuit to combat child sexual abuse in Kentucky and in other rural communities as well. Winner of 1997 Outstanding Graduate Paper Award, Southern Criminal Justice Association     

关注刑事辩护律师的权益保障

年初本刊采访最高人民检察院常务副检察长张耕时,张耕副检察长曾透露说高检正在起草一个有关保障律师依法执业的专门规定。果然,最近最高人民检察院公开发布了这个颇受司法界关注的司法文件枣《关于人民检察院在刑事诉讼中保障律师依法执业的规定》(以下简称《规定》)。     

Mental illness in the eyes of the law: examining perceptions of stigma among judges and attorneys

In response to the increasing numbers of mentally ill persons placed under the care of correctional institutions, community-based diversion programs have been established to address the unique needs and challenges of this vulnerable population. Given that legal personnel may serve as gatekeepers in placement decisions, and the lack of existing research examining their attitudes toward offenders with mental illness, the present study aimed to evaluate perceptions of dangerousness and treatment need among a sample of judges, prosecutors, and public defenders across the state of Mississippi. While controlling for age, results of a factorial MANCOVA revealed that public defenders, relative to both judges and prosecutors, endorsed more compassionate attitudes about defendants with mental illnesses. Furthermore, political ideology did not significantly influence attitudes toward mentally ill offenders. While judges and prosecutors endorsed more negative stereotypes about mental illness and perceived mentally ill defendants as a greater risk to the community, mean scores across groups suggested moderately positive attitudes overall. Study limitations, implications for correctional mental health providers, and directions for future research are discussed.