布克案后法官间量刑差异:初窥

IF 4.9 1区 社会学 Q1 Social Sciences Stanford Law Review Pub Date : 2010-12-01 DOI:10.2139/SSRN.1446744
R. Scott
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引用次数: 52

摘要

《量刑改革法》的一个核心目的是减少法官之间的量刑差异,这种差异不是由罪犯和犯罪行为之间的合法差异造成的,而是由量刑法官的哲学、政治或偏见造成的。联邦量刑准则尽管存在公认的缺陷,但成功地减少了这种不合理的差距。但在2005年至2007年的一系列判决中,最高法院提出了指导方针咨询意见(布克),为上诉审查设定了高度尊重的标准(加尔),并明确授权法官驳回量刑委员会的政策判决(金布罗)。自那时以来,委员会收到了大量关于法官之间量刑差异激增的轶事报告。本文提供了自最高法院推翻联邦判决以来法官间量刑差异的第一个经验证据,借鉴了马萨诸塞州地区(唯一向公众提供关键量刑文件的地区法院)的原始新量刑数据集。数据表明,法官之间的量刑差异在量刑长度和量刑方式上都有明显的增加。自布克、金布罗和加尔案以来,法官对刑期长短的影响增加了一倍多。在不受强制性最低刑期限制的案件中,法院较为宽大的法官和较为严厉的法官之间的差异意味着平均两年以上的监禁。这些判决也改变了指导性量刑模式。一些“一切照旧”的法官继续以与布克案之前基本相同的比率低于指导范围的量刑,而其他“终于自由”的法官现在量刑低于指导范围,是布克案之前量刑水平的三倍或四倍。在解释法官间量刑差异的激增时,本文对传统理论提出了质疑,即持续在指导范围内量刑是惯性、害怕逆转、锚定效应、战略行为或简单的懒惰的产物。相反,它建议一些法官实际上同意《准则》或出于体制原因有意识地选择量刑。
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Inter-Judge Sentencing Disparity After Booker: A First Look
A central purpose of the Sentencing Reform Act was to reduce inter-judge sentencing disparity, driven not by legitimate differences between offenders and offense conduct, but by the philosophy, politics, or biases of the sentencing judge. The federal Sentencing Guidelines, despite their well-recognized deficiencies, succeeded in reducing that form of unwarranted disparity. But in a series of decisions from 2005 to 2007, the Supreme Court rendered the Guidelines advisory (Booker), set a highly deferential standard for appellate review (Gall), and explicitly authorized judges to reject the policy judgments of the Sentencing Commission (Kimbrough). Since then, the Commission has received extensive anecdotal reports of a surge in inter-judge disparity at sentencing.This Article provides the first empirical evidence of inter-judge sentencing disparity since the Supreme Court upended federal sentencing, drawing on an original new dataset of sentences from the District of Massachusetts — the only district court that makes key sentencing documents available to the public. The data indicate a clear increase in inter-judge sentencing disparity, both in sentence length and in guideline sentencing patterns. Since Booker, Kimbrough, and Gall, the effect of the judge on sentence length has more than doubled in strength. In cases not subject to a mandatory minimum, the difference between the court’s more lenient and more severe judges translates into an average of more than two years in prison. The decisions also have altered guideline sentencing patterns. Some “business as usual” judges continue to sentence below the guideline range at essentially the same rate as before Booker, while other “free at last” judges now sentence below the guideline range at triple or quadruple their pre-Booker levels.In explaining the spike in inter-judge sentencing disparity, the Article casts doubt on the conventional theories that persistent within-guideline sentencing is the product of inertia, fear of reversal, anchoring effects, strategic behavior, or simple laziness. Instead, it proposes that some judges actually agree with the Guidelines or consciously choose to impose within-range sentences for institutional reasons.
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