Stakes and risk: Incapacitative intent in sentencing decisions

Measures of seriousness of the conviction offense and prior criminal record are strong correlates of sentences. This is consistent with a desert orientation to sentencing. Competing sentencing theories emphasize concepts of risk and incapacitation, but their roles in sentencing decisions have received less attention. This study focused on judicial risk assessments and on the concept of stakes. Both variables plausibly are related to incapacitative intents of judges. Our hypotheses that the risk and stakes measures used are relatively independent and correlated with, and have an interaction effect on, decision outcomes were supported. Both judges' assessments of risk and our stakes scale accounted for substantial variation in the decision to incarcerate. Time actually served in confinement also was related substantially to stakes, risk, and their interaction. Implications of the stakes and risk concepts for future guidelines development and decision study in criminal justice are discussed.     

Integrating base rate data in violence risk assessments at capital sentencing

Prediction of violence in capital sentencing has been controversial. In the absence of a scientific basis for risk assessment, mental health professionals offering opinions in the capital sentencing context are prone to errors. Actuarial or group statistical data, known as base rates, have proven far superior to other methods for reducing predictive errors in many contexts, including risk assessment. Actuarial follow-up data on violent recidivism of capital murderers in prison and post release have been compiled and analyzed to demonstrate available base rates for use by mental health experts conducting risk assessments pertaining to capital sentencing. This paper also reviews various methods for individualizing the application of base rates to specific cases. © 1998 John Wiley & Sons, Ltd.     

Adolescents at risk for violence: an initial validation of the life challenges questionnaire and risk assessment index

Initial validation was sought for the Life-Challenges Questionnaire-Teen Form, a 120-item youth-risk assessment tool. The questionnaire was administered to 99 students enrolled in an adolescent detention facility and a comparison group of 305 students attending high school. The survey items included correlates of youth violence and categorized risk level in a Risk Assessment Index (RAI) based on 53 critical items most strongly correlated with youth violence. Higher RAI scores were expected for the detention sample, males, minorities, and 15- to 18-year-olds. Differences between adolescents in detention and high school in terms of risk for violence were assessed by means of analysis of variance, and multiple regression analysis was used to examine the relative effect of detention status, race/ethnicity, gender, and other factors on risk behavior as measured by the RAI. Findings revealed that the detention group endorsed correlates of youth violence more often than the non-detention group and received significantly higher RAI scores. In addition, being in detention, male, and a racial/ethnic minority were significant predictors of risk behavior. The authors conclude that The Life-Challenges Questionnaire (and Risk Assessment Index) effectively differentiated between the detention and student samples, thus, providing initial support for its validity as a risk-assessment measure.     

Risk assessment in sentencing and plea bargaining: The roles of prosecutors and defense attorneys

Research on risk assessment in sentencing has focused heavily on the role of judges. Ignoring the role of other courtroom actors in the sentencing process, however, leaves unexamined the potentially significant effects on judicial decision making of arguments made by prosecutors and defense attorneys at sentencing hearings. Unduly focusing on judges also overlooks the vast majority of sentences arrived at through negotiated guilty pleas. We explored the extent to which considerations of risk are made among prosecutors and defense attorneys when advocating for given sentences in open court or during plea negotiations. We surveyed all prosecutors and defense attorneys in 14 judicial circuits in Virginia and found that most prosecutors and defense attorneys at least “sometimes” explicitly invoked actuarial risk estimates both at sentencing hearings and during plea negotiations. However, defense attorneys were much more likely than prosecutors to be averse to the use of risk assessment in either form of case disposition.     

The guilty mind and criminal sentencing: integrating legal and empirical inquiry as illustrated by capital sentencing

We articulate an interpretation of mens rea that is broader than the traditional special sense but narrower than the traditional general sense. Mens rea in this intermediate sense addresses the guilty mind required by the sentencing criteria for specific criminal sentences for particular offenses. We advance an analytic structure for the integration of legal and empirical inquiry regarding standards of culpability that establish eligibility for capital punishment under contemporary United States legal doctrine. This structure addresses legal standards of culpability directly as well as indirectly in the form of evolving standards of decency. The general form of this analysis should be applicable more generally to sentencing provisions that address culpability as a sentencing consideration for other criminal sentences.     

Actuarial models for assessing prison violence risk: revisions and extensions of the Risk Assessment Scale for Prison (RASP)

An investigation and extension of the Risk Assessment Scale for Prison (RASP-Potosi), an actuarially derived scale for the assessment of prison violence, was undertaken through a retrospective review of the disciplinary records of the first 12 months of confinement of a cohort of inmates entering the Florida Department of Corrections in 2002 and remaining throughout 2003 (N=14,088). A near replication of the RASP-Potosi and additional analyses based on other weighted logistic regression models were performed on an inmate subsample for whom all information categories were available (n=13,341). Younger age and shorter sentences were associated with increased violent misconduct. Older age, drug conviction, and higher educational attainment were associated with reduced violent misconduct. Regardless of whether the original RASP-Potosi or its progeny were utilized, or the custody level of the inmate sample, the models were modestly successful in predicting prison violence, with the area under the curve (AUC) ranging from .645 to .707.     

The purposes of sentencing: Public support for competing aims

With reform of the sentencing process a priority in both the United States and Canada, there has been a growth of interest in public attitudes toward the goals of sentencing. Two studies investigated the layperson's view of the appropriate purpose of sentencing offenders. Previous work on this topic has simply provided subjects with a checklist of sentencing purposes and asked them to endorse one. The present research—using both college students and members of the general public—employed a procedure that allows researchers to infer the principle underlying sentencing decisions. In the first study, subjects rated the importance of several sentencing purposes and also assigned sentences to offenders described in scenarios. Severity of assigned sentence was significantly correlated only with the seriousness of the offence. Ratings of the importance of general deterrence, incapacitation, or rehabilitation were not significantly related to severity of recommended penalties. This result contrasts with the importance ratings of these purposes provided by the subjects themselves. These findings were replicated in the second study, which employed an independent sample of subjects. In contrast to the results of opinion polls, it would appear that the public is more concerned with the principle of just deserts than with the utilitarian sentencing aims such as deterrence, incapacitation, or rehabilitation. The methodological implications of this research and the consequences of these findings for sentencing policy are discussed.     

Guidelines are not enough: The need for written sentencing opinions

Guideline sentencing systems, including the new federal guidelines, have not settled on a clear conception of when and how a trial judge should explain sentences. Indeterminate sentencing systems did not have a tradition of written sentencing decisions and recent sentencing reforms do not focus on the trial judge's role. This article suggests the many advantages of written sentencing opinions. Initial experience under the federal sentencing guidelines bolsters the conclusion that written sentencing opinions in appropriate cases—including both sentences “within” guidelines and guideline “departures”—are the next step in the evolving law of sentencing and the best way to recognize trial judges as an essential engine of principled change.     

Naturalistic assessment of children's compliance to teachers' requests and consequences for compliance

Naturally occurring levels of teacher commands, child compliance to those commands, and positive and negative teacher feedback were studied in 19 teachers and 130 children in kindergarten through third grade. Seventy-five of the children had been identified as "making a good social adjustment" to school (high-rated) and 55 children were identified as "not making a good social adjustment" to school (low-rated). Results of intensive observation over a 4-wk period showed that: (a) individual teachers differed significantly in their overall use of commands; however, they did not differentially respond to high- versus low-rated children; (b) high-rated children were more likely to comply with commands than were low-rated children; (c) although the overall level of positive social consequences was extremely low, there was some indication that high-rated children were more likely to receive positive feedback for compliance than were low-rated children; (d) low-rated children received significantly more positive feedback than high-rated children for noncompliance; (e) teachers gave negative feedback for noncompliance at an equal level to both groups of children; and (f) although repeated teacher commands following noncompliance were equal across groups, low-rated children were exposed to significantly higher levels of repeated commands following compliance than were high-rated youngsters.     

Sex offenders, sentencing laws and pharmaceutical treatment: a prescription for failure

The phenomenon of adults who have sexual interests involving children as partners, or pedophiles, is considered among the most sociopathological of human conditions. Considerable literature is devoted to issues and problems associated with or related to pedophilia, including prevalence, etiology, treatment, and outcome studies. The sexual victimization of children, based upon data gathered from a number of sources, suggests an intractable problem that is national in scope. Recent manifestations of society's efforts to deal with the sexual victimization of children include the enactment of criminal sentencing laws that mandate the treatment of offenders with certain pharmaceutical agents, such as medroxy-progesterone acetate ("MPA"). Because sentencing laws as a rule vary widely from state to state, there is considerable variation as to who is subject to MPA treatment laws, and how such laws-including specific provisions, such as clinical criteria, if any, required for treatment; type and period of treatment plans; informed consent; etc-are implemented. Most important, these sentencing laws may have remarkably little relation to what is widely considered effective treatment for pedophilia disorders. We examine in detail the most recent sentencing laws pertaining to treatment of persons who have been convicted of sex offenses involving children as victims. Our critique may offer insight and suggestions as to how such sentencing laws can be more suitably tailored to the treatment needs of persons with pedophilia disorders.     

Meta-cognition about biological sex and gender-stereotypic physical appearance: consequences for the assessment of leadership competence

Previous findings are inconsistent with regard to whether men are judged as being more or less competent leaders than women. However, masculine-relative to feminine-looking persons seem to be judged consistently as more competent leaders. Can this different impact of biological sex and physical appearance be due to the disparate availability of meta-cognitive knowledge about both sources? The results of Study 1 indicated that individuals possess meta-cognitive knowledge about a possible biasing influence of persons' biological sex, but not for their physical appearance. In Study 2, participants judged the leadership competence of a male versus female stimulus person with either masculine or feminine physical appearance. In addition, the available cognitive capacity was manipulated. When high capacity was available, participants corrected for the influence of stimulus persons' sex, but they fell prey to this influence under cognitive load. However, the effect of physical appearance was not moderated by cognitive capacity.     

Potential consequences of abandonment in preschool-age: Neuropsychological findings in institutionalized children

Objective: Several longitudinal studies had shown that early deprivation and institutionalization during the first six months of life affects the emotional, cognitive, social and neurophysiologic development. Nevertheless, our understanding of possible similar effects of delayed institutionalization, in preschool-age remains unclear to this day. The goal of this study is to evaluate the cognitive performance of institutionalized children with history of preschool-age physical abandonment. Method: 18 male institutionalized children with history of abandonment during the preschool-age (2-5 years old) and comparison group matched by age, handedness, gender, educational and socioeconomic level were tested on multiple tasks of attention, memory and executive functions. Results: We found a cognitive impairment in the institutionalized children in several measures of attention, memory and executive functions. This is the first report of cognitive impairment related to late abandonment and institutionalization effects (after 2 years old), extending the already known effects on early institutionalization. Conclusions: This preliminary study suggests that environmental factors including abandonment and institutional care, can affect not only the infancy period, but also the preschool period providing new insights into our understanding of neurocognitive development.     

Arousal, processing, and risk taking: consequences of intergroup anger

Intergroup emotions theory (IET) posits that when social categorization is salient, individuals feel the same emotions as others who share their group membership. Extensive research supporting this proposition has relied heavily on self-reports of group-based emotions. In three experiments, the authors provide converging evidence that group-based anger has subtle and less explicitly controlled consequences for information processing, using measures that do not rely on self-reported emotional experience. Specifically, the authors show that intergroup anger involves arousal (Experiment 1), reduces systematic processing of persuasive messages (Experiment 2), is moderated by group identification (Experiment 2, posttest), and compared to intergroup fear, increases risk taking (Experiment 3). These findings provide converging evidence that consistent with IET, emotions triggered by social categorization have psychologically consequential effects and are not evident solely in self-reports.     

Psychiatric prediction of dangerousness in capital sentencing: The quest for innocent authority

Eight states require the sentencer in a capital case to consider directly the question of whether a criminal defendant would pose a danger to the community in the long term. Although all available psychiatric evidence indicates that psychiatrists cannot make accurate predictions of criminal defendants' future dangerousness, sentencers rely heavily upon clinicians' predictions of long-term future dangerousness when imposing the death penalty. Legislatures and courts accept psychiatrists' predictions of dangerousness by relying on an elaborate “subterfuge” which uses powerful emotional influences to cover up painful conflicts of values and to satisfy society's desire for simultaneous innocence and authority.     

Examining the association between MAOA genotype and incarceration, anger and hostility: The moderating influences of risk and protective factors

Findings from molecular genetic research have indicated that a polymorphism in the promoter region of the MAOA gene interacts with environmental liabilities to predict antisocial phenotypes. We use these findings as a springboard to examine whether a global protective-risk factor index moderates the effect of MAOA genotype on the probability of being incarcerated and on a measure of anger and hostility. Analysis of data from the National Longitudinal Study of Adolescent Health (Add Health) indicates that exposure to risk and protective factors in adolescence are able to moderate the effect of MAOA genotype on anger and hostility in adulthood for males. The results in relation to the probability of being incarcerated were consistently null.     

Suicide-related behavior after psychiatric hospital discharge: Implications for risk assessment and management

Suicide-related behavior (SRB), including suicide attempts and instrumental SRB, occurs far more often than completed suicide and exacts a toll on patients, their loved ones, and society. Nevertheless, few prospective studies of SRB have been conducted. In this study, 954 patients were interviewed in a psychiatric hospital and then followed for one year after discharge. During this one-year period, nearly one-quarter of patients (23%) engaged in SRB, with the rate of suicide attempts (18%) three times greater than the rate of instrumental SRB (5%). Risk factors for SRB were demographic (White ethnicity, female gender), clinical (past SRB, depression, impaired functioning), and contextual (unemployment, large social networks). In contrast with other studies, there was no "peak" in the risk of SRB shortly after hospital discharge. Instead, patients' rate of SRB was relatively constant over the one-year follow-up. Implications for risk assessment and management in acute inpatient settings are discussed.     

Suicide and violence risk in law enforcement: practical guidelines for risk assessment, prevention, and intervention.

Research and anecdotal reports indicate that suicide and violence risk may be higher among members of law enforcement than those in other occupational categories. This article examines the phenomenon of suicide and violence risk within this population, and law enforcement cultural variables that may contribute to elevated risk. Suicide and violence risk factors and clues unique to law enforcement are described, as are intervention approaches which may be helpful to managing and reducing risk.