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Fifty Years of American Sentencing Reform: Nine Lessons 美国量刑改革五十年:九个教训
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701798
M. Tonry
Efforts to standardize sentences and eliminate disparities in a state or the federal system cannot succeed; distinctive practices and norms, diverse local cultures, and practical and political needs of officials and agencies assure major local differences in sentencing practice. Presumptive sentencing guidelines developed by sentencing commissions, however, are the most effective means to improve consistency, reduce disparity, and control corrections spending. Federal sentencing guidelines have been remarkably unsuccessful; they should be rebuilt from the ground up. Mandatory sentencing laws should be repealed, and no new ones enacted; they produce countless injustices, encourage cynical circumventions, and seldom achieve demonstrable reductions in crime. Black and Hispanic defendants are more likely than whites and Asians to be sentenced to imprisonment, and for longer; presumptive sentencing guidelines reduced racial disparities initially and over time, but most states do not have presumptive guidelines. Use of predictions of dangerousness to determine who is imprisoned and for how long is unjust; predictive accuracy has improved little in 50 years and current methods too often lengthen prison terms of people who would not have committed violent crimes. Except in the handful of states that have effective systems of presumptive sentencing guidelines, parole release is an essential component of a just and cost-effective sentencing system in the United States.
在州或联邦系统中,标准化判决和消除差异的努力不会成功;不同的做法和规范,不同的地方文化,以及官员和机构的实际和政治需要,确保了量刑实践中的重大地方差异。然而,由量刑委员会制定的推定量刑准则是提高一致性、减少差异和控制惩戒支出的最有效手段。联邦量刑指南非常不成功;他们应该从头开始重建。应废除强制性量刑法,不制定新的法律;它们造成了无数的不公正,鼓励了玩世不恭的规避,很少能明显减少犯罪。黑人和西班牙裔被告比白人和亚裔被告更有可能被判处监禁,而且刑期更长;推定量刑指南最初和随着时间的推移减少了种族差异,但大多数州没有推定量刑指南。利用对危险程度的预测来确定谁被监禁以及监禁多长时间是不公正的;在过去的50年里,预测的准确性几乎没有提高,目前的方法往往会延长那些不会犯下暴力犯罪的人的刑期。在美国,除了少数几个拥有有效的推定量刑指导制度的州外,假释是公正和具有成本效益的量刑制度的重要组成部分。
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引用次数: 15
Model Penal Code: Sentencing—Workable Limits on Mass Punishment 示范刑法典:量刑——大规模刑罚的可行限制
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701796
K. Reitz, Cecelia M. Klingele
The Model Penal Code: Sentencing (MPCS) rewrites the 1962 Model Penal Code’s provisions on sentencing and corrections. Since the 1960s, use of all forms of punishment has exploded, including incarceration, community supervision, supervision revocation, economic sanctions, and collateral consequences of convictions. The MPCS provides an institutional framework for all major forms of punishment. It consists of a sentencing commission, sentencing guidelines, abolition of parole release discretion, appellate sentence review, and controls on correctional population size. It revamps sentencing procedures to inject greater fairness and transparency. It gives state legislators broad advice on how they can reform their systems as a whole, while improving decisions in each case. The MPCS recommends newly crafted limits on punishment through reasoned pursuit of utilitarian crime reduction goals, prohibition of disproportionate sentence severity, individualization of sentences that cuts through even mandatory minimum penalties, refinement of each type of punishment so it can achieve its core purposes, an attack on “criminogenic” sentences that do more harm than good, measures to prioritize and direct correctional resources to offenders who present the greatest risks and highest needs, and creation of institutional capacity to monitor, manage, and improve the entire system over time.
《示范刑法:判刑》改写了1962年《示范刑法》关于判刑和惩戒的规定。自20世纪60年代以来,各种形式的惩罚的使用激增,包括监禁、社区监督、撤销监督、经济制裁和定罪的附带后果。MPCS为所有主要形式的惩罚提供了一个制度框架。它包括量刑委员会、量刑指南、废除假释自由裁量权、上诉判决审查以及对惩教人口规模的控制。它重新制定了量刑程序,以提高公平性和透明度。它为州立法者提供了广泛的建议,说明他们如何改革整个系统,同时改进每种情况下的决策。MPCS建议通过合理追求功利性的减少犯罪目标、禁止不成比例的刑罚严厉性、对刑罚的个别化甚至突破强制性的最低刑罚、细化每种类型的刑罚以实现其核心目的、打击弊大于利的“犯罪”刑罚,采取措施,将惩教资源优先分配给风险最大、需求最高的罪犯,并随着时间的推移,建立监督、管理和改进整个系统的机构能力。
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引用次数: 13
Predictions of Dangerousness in Sentencing: Déjà Vu All Over Again 判决中危险的预测:再次发生
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701895
M. Tonry
Predictions of dangerousness are more often wrong than right, use information they shouldn’t, and disproportionately damage minority offenders. Forty years ago, two-thirds of people predicted to be violent were not. For every two “true positives,” there were four “false positives.” Contemporary technology is little better: at best, three false positives for every two true positives. The best-informed specialists say that accuracy topped out a decade ago; further improvement is unlikely. All prediction instruments use ethically unjustifiable information. Most include variables such as youth and gender that are as unjust as race or eye color would be. No one can justly be blamed for being blue-eyed, young, male, or dark-skinned. All prediction instruments incorporate socioeconomic status variables that cause black, other minority, and disadvantaged offenders to be treated more harshly than white and privileged offenders. All use criminal history variables that are inflated for black and other minority offenders by deliberate and implicit bias, racially disparate practices, profiling, and drug law enforcement that targets minority individuals and neighborhoods.
对危险的预测往往是错误的,而不是正确的,使用了他们不应该使用的信息,并且不成比例地伤害了少数罪犯。40年前,三分之二被认为有暴力倾向的人并没有暴力倾向。每两个“真阳性”,就有四个“假阳性”。当代技术也好不到哪去:最多是3个假阳性对应2个真阳性。消息灵通的专家说,准确率在十年前就达到了顶峰;进一步的改善不太可能。所有的预测工具都使用了不道德的信息。大多数包括诸如年龄和性别等变量,这些变量就像种族或眼睛颜色一样不公平。没有人会因为蓝眼睛、年轻、男性或黑皮肤而受到指责。所有的预测工具都包含社会经济地位变量,这些变量导致黑人、其他少数民族和弱势罪犯比白人和特权罪犯受到更严厉的对待。所有这些都使用了针对黑人和其他少数族裔罪犯的犯罪历史变量,这些变量被故意和隐性偏见夸大了,种族歧视的做法,侧写,以及针对少数族裔个人和社区的毒品执法。
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引用次数: 14
Criminal Courts as Inhabited Institutions: Making Sense of Difference and Similarity in Sentencing 刑事法院作为人居机构:辨析量刑的异同
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701504
J. Ulmer
An inhabited institutions perspective views institutions from the bottom up, as “inhabited” by individual and organizational actors who have agency, rather than as static, top-down structures. Criminal justice structures and policies, such as those that govern courts and their sentencing decisions, are dependent on court participants. From this perspective, several conclusions emerge. First, theory and methods in the study of courts and sentencing are out of balance: theories emphasize interpretation, culture, and processes, while empirical inquiries focus largely on statistical studies of aggregates and outcomes. Second, the inhabited institutions perspective blurs the lines between the discretions of specific participants such as prosecutors and judges. Rather than attempt to parse the discretion of individual actors, we should study the interactions that jointly produce discretionary decisions. Third, we should focus on specific organizational mechanisms that produce both uniformity and variation between courts. Finally, variation between courts in sentencing practices should be understood not as a nuisance in top-down imposition of sentencing policies, but as a valuable but underappreciated source of policy feedback and learning.
有人居住的机构视角从下到上将机构视为由具有代理权的个人和组织行为者“居住”的机构,而不是静态的自上而下的结构。刑事司法结构和政策,例如管辖法院及其量刑决定的结构和政策取决于法院参与者。从这个角度来看,出现了几个结论。首先,法院和量刑研究的理论和方法失衡:理论强调解释、文化和过程,而实证研究主要集中在对总量和结果的统计研究上。其次,有人居住的机构视角模糊了检察官和法官等特定参与者的自由裁量权之间的界限。我们不应该试图分析个体行为者的自由裁量权,而应该研究共同产生自由裁量决定的相互作用。第三,我们应该关注在法院之间产生统一性和差异性的具体组织机制。最后,不应将法院在量刑实践中的差异理解为自上而下实施量刑政策的麻烦,而应将其理解为政策反馈和学习的宝贵但未被充分重视的来源。
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引用次数: 62
Forty Years of American Sentencing Guidelines: What Have We Learned? 四十年美国量刑指南:我们学到了什么?
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701503
Richard S. Frase
Since 1980, 22 state and federal jurisdictions have adopted sentencing guidelines. Nineteen still have them. No two systems are alike. Experience suggests that any well-designed system requires five core features: a permanent, balanced, independent, and adequately funded sentencing commission; typical-case presumptive sentences and departure criteria; a hybrid sentencing theory that recognizes both retributive and crime control purposes; balance between the competing benefits of rules and discretion; and sentence recommendations informed by resource and demographic impact assessments. Balance is needed in terms of commission composition, between conflicting sentencing purposes, between rules and discretion, and between the influence of the commission, the legislature, and case-level actors. Guidelines proponents disagree about a number of important issues. Some relate to which crimes and sentencing issues should be regulated. Others concern the design details that determine how the system actually works. It is clear, however, that preguidelines regimes of unstructured, highly discretionary sentencing are unacceptable and that commission-drafted guidelines, endorsed by the American Bar Association and the American Law Institute, are the only successful sentencing reform model. In four decades, no competing model of comparable detail and scope has been seriously proposed.
自1980年以来,22个州和联邦司法管辖区通过了量刑指南。19个仍然有。没有两个系统是相似的。经验表明,任何精心设计的系统都需要五个核心特征:一个永久、平衡、独立和资金充足的量刑委员会;典型案例推定句与偏离标准;既承认惩罚目的又承认犯罪控制目的的混合量刑理论;规则和自由裁量权的竞争利益之间的平衡;以及根据资源和人口影响评估提出的判刑建议。需要在委员会组成、相互冲突的量刑目的、规则和自由裁量权以及委员会、立法机构和案件层面行为者的影响之间取得平衡。指导方针的支持者在一些重要问题上意见不一。其中一些涉及哪些罪行和量刑问题应该受到监管。其他人则关注决定系统实际工作方式的设计细节。然而,很明显,非结构化、高度自由裁量的量刑指导原则前制度是不可接受的,由美国律师协会和美国法律研究所认可的委员会起草的指导原则是唯一成功的量刑改革模式。四十年来,没有一个具有可比细节和范围的竞争模型被认真提出。
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引用次数: 22
Federal Sentencing after Booker 布克案之后的联邦判决
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701712
P. Hofer
The Supreme Court decision in United States v. Booker seemed to portend a new era for federal sentencing. By making federal guidelines advisory rather than “mandatory,” and authorizing judges to critically review their development, Booker empowered judges to reject unsound guidelines. Booker has had, however, surprisingly little effect on sentence severity or imprisonment use. Sentencing below guideline ranges increased, but more from a general relaxation of guidelines’ restrictions than from reasoned rejection of unsound guidelines. They continue to exert gravitational pull. Inter-judge disparity, modestly reduced by the earlier guidelines, increased after Booker. The commission claims that racial disparities increased, but the evidence is mixed and controversial. Bias in judges’ decisions contributes less to racial disparity than do statutes and guidelines that disproportionately affect African Americans. Booker has the potential to reduce structural disparities caused by unsound guidelines. The federal system remains unbalanced, however, with control of sentencing concentrated largely in the hands of Congress and prosecutors rather than of the commission and judges. Only repeal of statutory mandatory minimums and many specific statutory directives to the commission will permit federal sentencing reform to work as intended.
最高法院对美国诉布克案的判决似乎预示着联邦判决的新时代。布克将联邦指导方针改为咨询性而非“强制性”,并授权法官对其发展进行批判性审查,从而赋予法官拒绝不健全指导方针的权力。然而,令人惊讶的是,布克对判决的严重性和监禁的使用几乎没有影响。低于准则范围的量刑增加了,但更多的是由于准则限制的普遍放松,而不是因为合理地拒绝不健全的准则。它们继续发挥引力作用。法官之间的差异,在早期的指导方针中略有减少,在布克案之后有所增加。该委员会声称种族差异有所增加,但证据不一且有争议。法官判决中的偏见对种族差异的影响要小于不成比例地影响非裔美国人的法规和指导方针。布克有可能减少由不健全的指导方针造成的结构性差异。然而,联邦体制仍然不平衡,量刑的控制权主要集中在国会和检察官手中,而不是委员会和法官。只有废除法定的强制性最低量刑和许多具体的法定指令,才能使联邦量刑改革按计划进行。
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引用次数: 14
Trials and Tribulations: The Trial Tax and the Process of Punishment 审判与磨难:审判税与刑罚过程
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701713
B. Johnson
The jury trial has long been a keystone of the American criminal justice system. Few defendants exercise their right to trial, however, and those who do tend to receive significantly harsher punishments if convicted. This phenomenon, known as a trial tax or, conversely, as a guilty plea discount, is one of the most profound and consistent findings in the empirical sentencing literature. Estimates of its magnitude differ across studies and jurisdictions, but it typically involves a two- to six-times increase in the odds of imprisonment and a 15–60 percent increase in average sentence length. Recent changes to American sentencing policy may have exacerbated plea-trial disparities, raising a host of moral, legal, and procedural questions about fair and equal treatment of defendants who exercise their right to trial.
长期以来,陪审团审判一直是美国刑事司法制度的基石。然而,很少有被告行使审判权,而那些行使审判权的被告如果被定罪,往往会受到更严厉的惩罚。这种现象被称为审判税,或者反过来说,被称为认罪折扣,是实证量刑文献中最深刻、最一致的发现之一。不同的研究和司法管辖区对其程度的估计有所不同,但它通常会使监禁的几率增加2到6倍,平均刑期增加15 - 60%。最近美国量刑政策的变化可能加剧了辩诉审判的差异,引发了一系列道德、法律和程序上的问题,即如何公平和平等地对待行使审判权的被告。
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引用次数: 23
Have Racial and Ethnic Disparities in Sentencing Declined? 量刑中的种族和民族差异减少了吗?
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2019-01-01 DOI: 10.1086/701505
Ryan D. King, Michael T. Light
Blacks and Hispanics convicted of felonies are more likely than whites to receive prison sentences for their crimes, and they receive slightly longer sentences if imprisoned. Yet the majority of prior research compares sentencing decisions at a single point in time and does not give explicit attention to whether and how racial and ethnic disparities have changed. Decades of sentencing data from Minnesota, the federal courts, and a sample of large urban counties are used to assess the degree of change in racial and ethnic sentencing disparities since the 1980s. There has been some decline in the magnitude of racial and ethnic disparities, with changes in drug laws aligning with some of the reduction in disparity at the federal level. This trend, along with the pattern of findings from related studies, poses a challenge to prominent theoretical explanations of sentencing disparities, including racial threat theory and the focal concerns perspective. Each of four influential theoretical explanations of racial and ethnic disparities in sentencing includes significant empirical or logical shortcomings. Advancing theoretical understanding of racial and ethnic disparity will require new data that follow cases from the point of arrest through to final disposition and include information about citizenship and victims.
被判犯有重罪的黑人和拉美裔人比白人更有可能因其罪行被判入狱,如果被监禁,他们的刑期会稍长一些。然而,大多数先前的研究比较了单一时间点的量刑决定,并没有明确关注种族和民族差异是否以及如何改变。本文利用明尼苏达州、联邦法院和大城市县几十年的量刑数据,评估了自20世纪80年代以来,种族和民族量刑差异的变化程度。种族和民族差异的程度有所下降,毒品法律的变化与联邦一级差异的缩小相一致。这一趋势以及相关研究的结果模式,对包括种族威胁理论和焦点关注观点在内的对量刑差异的主要理论解释提出了挑战。关于量刑中种族和民族差异的四种有影响力的理论解释中,每一种都有明显的经验或逻辑缺陷。推进对种族和民族差异的理论理解将需要新的数据来跟踪从逮捕到最终处置的案件,并包括有关公民身份和受害者的信息。
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引用次数: 45
War and Postwar Violence 战争与战后暴力
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2018-03-01 DOI: 10.1086/696649
R. Gartner, L. Kennedy
Wars are related to subsequent violence in complex and at times contradictory ways. The relationships between war and postwar violence, recognized throughout history, have attracted the attention and concern of researchers, state officials, and policy makers and the broader public. Methodological challenges, however, limit the potential for isolating the precise circumstances under which war and postwar violence are causally related. The weight of the evidence indicates that war is often followed by increases in violence, but there are important exceptions to this pattern. Potential theoretical explanations for this relationship abound. The harmful effects of wars on the minds and bodies of those participating in them are less influential on postwar violence than are the damages wars do to postwar societies’ social and economic institutions, political legitimacy, and group relations. Preventing or reducing elevated rates of violence after wars is rarely a priority during peace negotiations. As a consequence, policies instituted as part of the peace-building process often fuel violent crime.
战争与随后的暴力有着复杂的、有时甚至是矛盾的关系。历史上公认的战争与战后暴力之间的关系引起了研究人员、国家官员、政策制定者和广大公众的关注。然而,方法上的挑战限制了孤立战争和战后暴力因果关系的确切情况的可能性。大量证据表明,战争之后暴力事件往往会增加,但这种模式也有重要的例外。对这种关系的潜在理论解释比比皆是。战争对参战者身心的有害影响对战后暴力的影响不如战争对战后社会的社会和经济制度、政治合法性和群体关系造成的损害。在和平谈判中,预防或减少战后暴力率上升很少是优先事项。因此,作为建设和平进程一部分制定的政策往往助长暴力犯罪。
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引用次数: 19
The Psychological Effects of Solitary Confinement: A Systematic Critique 单独监禁的心理影响:一个系统的批判
2区 社会学 Q1 CRIMINOLOGY & PENOLOGY Pub Date : 2018-03-01 DOI: 10.1086/696041
C. Haney
Research findings on the psychological effects of solitary confinement have been strikingly consistent since the early nineteenth century. Studies have identified a wide range of frequently occurring adverse psychological reactions that commonly affect prisoners in isolation units. The prevalence of psychological distress is extremely high. Nonetheless, use of solitary confinement in the United States vastly increased in recent decades. Advocates defend its use, often citing two recent studies to support claims that isolation has no significant adverse psychological effects, including even on mentally ill people. Those studies, however, are fundamentally flawed, their results are not credible, and they should be disregarded. Critically and comprehensively analyzing the numerous flaws that compromise this recent scholarship underscores the distinction between methodological form and substance, the danger of privileging quantitative data irrespective of their quality, and the importance of considering the fraught nature of the prison context in which research results are actually generated. Solitary confinement has well-documented adverse effects. Its use should be eliminated entirely for some groups of prisoners and greatly reduced for others.
自19世纪初以来,关于单独监禁对心理影响的研究结果一直惊人地一致。研究已经确定了一系列经常发生的不良心理反应,这些反应通常影响隔离牢房的囚犯。心理困扰的患病率非常高。尽管如此,近几十年来,美国使用单独监禁的人数大幅增加。支持者为隔离的使用辩护,经常引用最近的两项研究来支持这样的说法,即隔离对心理没有明显的不利影响,甚至对精神病患者也没有影响。然而,这些研究从根本上是有缺陷的,它们的结果不可信,它们应该被忽视。批判性地、全面地分析影响这一最新学术研究的众多缺陷,强调了方法论形式与实质之间的区别,不顾质量而给予定量数据特权的危险,以及考虑研究结果实际产生的监狱环境令人担忧的本质的重要性。单独监禁的副作用是有据可查的。对某些囚犯群体应完全取消死刑,对其他囚犯群体应大大减少死刑的使用。
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引用次数: 53
期刊
Crime and Justice-A Review of Research
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