By Mary Pattillo and Gabriela Kirk

Economic sociologists have documented the rise of financialization, including credit and debt. In the case of monetary sanctions in the criminal legal system, courts frequently extend payment plans—or “layaway”—as a way for defendants to manage financial court debt and gain their freedom. Using 241 hours of courtroom ethnography and 155 interviews with court actors and people paying their court debt in Illinois, the authors offer a microsociology of financialization that shows how the creditor/debtor relationship commodifies freedom, confuses and suffuses court processes, amplifies control, and expands the financial sector into domains that obligate participation. Layaway freedom represents a case of coercive financialization, or the externally imposed, involuntary, or last-resort entry into financial engagements. The manipulation of money and time achieves disproportionate punishment that is multiplicative, rather than simply additive, all under the guise of routine financial responsibility. The authors discuss implications of these concepts for both economic and criminal-legal sociology

American Journal of Sociology, Volume 126 Number 4 (January 2021): 889–930

By Hayley Hahn

In recent decades, states and municipalities have increasingly relied on court fines and fees to overcome budget shortfalls. Existing literature underscores the varied and adverse impacts of court debt, as well as the disproportionate incidence of such debt on people of color and poor people of all races. Yet, few pieces of scholarship directly link increased imposition of court fines and fees to decreased dependence on traditional progressive taxes. This article aims to fill the gap. Using the Law and Political Economy (LPE) framework, I argue that increased imposition of court debt derives from heightened antitax sentiment and the erosion of the state and local tax bases. In the process, I contend, the tax and court debt systems reflect and exacerbate racial inequality. I conclude by proposing a conceptual framework to abate reliance on court debt, advancing the LPE mission.

Journal of Law and Political Economy, 2(1) 2021.

By Kathleen Powell

This study identifies the correlates of legal financial obligation (LFO) debt repayment among persons sentenced to probation and transferred to a specialized collections unit. Using bivariate tests and logistic regression, results indicate that starting balance amounts, monthly payment amounts, and enforcement actions (capias warrant) are the strongest influences on the likelihood of full debt repayment. These results indicate that some persons will struggle to repay their LFO balances if amounts assessed are in excess of their means, even in an institutional context adopting an individualized, flexible, and non-punitive approach to collections. Policy implications suggest a need for reform at the point of LFO assessment to avoid imposing obligations that are unreasonable to individuals’ ability to repay.

Social Sciences 10: 433., 2021.https://doi.org/10.3390/ socsci10110433

By Aravind Boddupalli and Livia Mucciolo

State and local governments collected $16 billion in fiscal year 2019 from financial penalties imposed on people who had contact with the justice system, according to US Census Bureau data. These penalties included speeding tickets (including those from automated traffic cameras), parking tickets, court-imposed administrative fees, and forfeitures or seizures of property believed by law enforcement officials to be connected to crimes. In total, fines, fees, and forfeitures account for less than 1 percent of total state and local general revenue, but the way they are enforced can create unjust burdens. These financial penalties often disproportionately fall on low-income people of color, particularly Black people (O’Neill, Kennedy, and Harris 2021; Sances and You 2017). In addition, consequences for those unable to pay can be severe (Menendez et al. 2019). Reliance on fines, fees, and forfeitures as a revenue source can also engender conflicts of interest for government officials. For example, states and localities have ramped up speeding ticket enforcement and arrests for various violations in response to budgetary shortfalls and political pressures (Makowsky, Stratmann, and Tabarrok 2019). In this report, we first examine how much states and localities report collecting from fines, fees, and forfeitures, highlighting the states and localities most reliant on them as a revenue source. While the average state and local share of revenue from fines, fees, and forfeitures is relatively small, these shares are larger for some local governments, especially small cities. We then explore how revenue from some fines and fees (we exclude forfeitures from this analysis) are allocated in each of the 50 states, the District of Columbia, and a handful of cities. We specifically focus on speeding tickets as an illustrative example. Overall, we find that in at least 43 states, some portion of speeding ticket revenue is allocated toward a court or law enforcement fund. This finding reveals the potential for conflicts of interest and misaligned fiscal incentives. That is, police officers and judges might levy fines and fees with the intent of funding their respective agencies, as was demonstrated by the 2015 US Department of Justice investigation into Ferguson, Missouri’s police department (US Department of Justice 2015). We additionally find that many states use fines and fees to fund general government services unrelated to cost recovery for the justice system, such as special funds for health care or highway initiatives.

Washington, DC: The Urban Institute, 2022. 39p.

By Carl Lieberman, Elizabeth Luh and Michael Mueller-Smith

Millions in the United States face financial sanctions in the criminal court system each year, totaling over $27 billion in overall criminal debt. In this study, we leverage five distinct natural experiments across multiple states using regression discontinuity designs to evaluate the causal impact of these sanctions. We consider a range of long-term outcomes including employment, recidivism, household expenditures, and other self-reported measures of well-being, measured using a combination of administrative records on earnings and employment, the Criminal Justice Administrative Records System, and household surveys. We find consistent evidence across the range of natural experiments and subgroup analyses of precise null effects on the population, ruling out long-run impacts larger than +/-3.6% on total earnings and +/- 4.7% on total recidivism. These results are inconsistent with theories of criminal debt poverty traps but also do not justify using financial sanctions for local revenue or as a crime control tool.

Unpublished paper, 2023. 54p.

By Matthew Menendez, Michael F. Crowley, Lauren-Brooke Eisen, and Noah Atchison

The past decade has seen a troubling and well-documented increase in fees and fines imposed on defendants by criminal courts. Today, many states and localities rely on these fees and fines to fund their court systems or even basic government operations.

A wealth of evidence has already shown that this system works against the goal of rehabilitation and creates a major barrier to people reentering society after a conviction.

They are often unable to pay hundreds or thousands of dollars in accumulated court debt. When debt leads to incarceration or license suspension, it becomes even harder to find a job or housing or to pay child support. There’s also little evidence that imposing onerous fees and fines improves public safety.

Now, this first-of-its-kind analysis shows that in addition to thwarting rehabilitation and failing to improve public safety, criminal-court fees and fines also fail at efficiently raising revenue.

The high costs of collection and enforcement are excluded from most assessments, meaning that actual revenues from fees and fines are far lower than what legislators expect. And because fees and fines are typically imposed without regard to a defendant’s ability to pay, jurisdictions have billions of dollars in unpaid court debt on the books that they are unlikely to ever collect. This debt hangs over the heads of defendants and grows every year.

This study examines 10 counties across Texas, Florida, and New Mexico, as well as statewide data for those three states. The counties vary in their geographic, economic, political, and ethnic profiles, as well as in their practices for collecting and enforcing fees and fines.

New York: Brennan Center for Justice at New York University School of Law 2019. 68p.

By Hannah Jeffery

This briefing seeks to inform the development of the Specialist Sexual Violence Court (SSVC) pilots and other projects to address the response to sexual violence in the criminal justice system.

It introduces the challenges that the system faces in processing sexual violence cases and the barriers experienced by victim-survivors. Through qualitative interviews with Independent Sexual Violence Advocates, and drawing on the policy landscape and the evidence-base, we outline six considerations for implementing SSVC pilots in the UK.

London: Centre for Justice Innovation, 2022. 13p.

By John W. Wertheimer

This first title in the “Law, Literature & Culture” series uses six legal disputes from the South Carolina courts to illuminate the complex legal history of race in the U.S. South from slavery through Jim Crow. The first two cases—one criminal, one civil—both illuminate the extreme oppressiveness of slavery. The third explores labor relations between newly emancipated Black agricultural workers and white landowners during Reconstruction. The remaining cases investigate three prominent features of the Jim Crow system: segregated schools, racially biased juries, and lynching, respectively. Throughout the century under consideration, South Carolina’s legal system obsessively drew racial lines, always to the detriment of non-white people, but it occasionally provided a public forum within which racial oppression could be challenged. The book emphasizes how dramatically the degree of legal oppressiveness experienced by Black South Carolinians varied during the century under study, based largely on the degree of Black access to political and legal power.

Amherst College Press, 2023.

By Lisa Keen and Suzanne B. Goldberg

n 1992, the voters of Colorado passed a ballot initiative amending the state constitution to prevent the state or any local government from adopting any law or policy that protected a person with a homosexual, lesbian, or bisexual orientation from discrimination. This amendment was immediately challenged in the courts as a denial of equal protection of the laws under the United States Constitution. This litigation ultimately led to a landmark decision by the United States Supreme Court invalidating the Colorado ballot initiative. Suzanne Goldberg, an attorney involved in the case from the beginning on behalf of the Lambda Legal Defense and Education Fund, and Lisa Keen, a journalist who covered the initiative campaign and litigation, tell the story of this case, providing an inside view of this complex and important litigation.

Ann Arbor, MI: University of Michigan Press, 1998.

Edited by Michiel Van der Wolf

This edited collection provides an interdisciplinary and cross-national perspective on safeguarding the quality of forensic assessment in sentencing offenders. Taking an in-depth look at seven different Western countries, each chapter provides an overview of the role of assessment in sentencing offenders, as well as a focus on formal ways in which the respective country’s legal system and disciplinary associations protect the quality of forensic assessment. Each chapter explores how to assure better decision making in individual cases based on assessments of psycholegal concepts such as mental disorder/insanity, criminal responsibility and dangerousness. Combining the perspectives of lawyers, legal scholars, and clinicians working in the field, this book is essential for those working in and with forensic assessment.

New York; London: Routledge, 2022. 281p.

By Kim Thomas

Summary The Prevention of Organised Crime Act’s anti-gang provisions are not meeting their objectives. They were originally meant to fill the gaps in common law and help prosecutors gain convictions for gang-related crimes. But the act is severely underutilised for these specific crimes. For this paper’s recommendations to have a substantial effect on addressing organised crime, the various departments involved in South Africa’s criminal justice process need to be cleaned up and resources improved. Key points • Post-apartheid South Africa experienced an increase in organised crime and gangrelated activity. The South African legislature responded with enacting the Prevention of Organised Crime Act in 1999 and specifically addressed criminal gang activity, money laundering and racketeering. • Over 20 years later, very few gang-related cases have been prosecuted under this legislation. Most gang activity is still prosecuted under common law and other legislation. • Interviews with key stakeholders reveal that the main cause for failed/limited implementation lies in the scarcity of human resources, skills and training across the South African Police Service, National Prosecuting Authority and Crime Intelligence, and the lack of meaningful cooperation among them. • Further shortfalls of the act include a lack of provision for targeting gang leaders and Research Paper weak sentencing

ENACT-Africa, 2023. 32p.

By Christopher Lowenkamp, Matthew DeMichele, and Lauren Klein Warren

This report presents findings related to impacts associated with criminal justice improvements underway in Lucas County, Ohio. The current report, however, focuses on impacts related to one of Lucas County’s initiatives - the use of the Public Safety Assessment (PSA). The report shows that Lucas County made serious reductions to the number of people booked into jail during the post-PSA period. For the entire seven-year study period, of those released pretrial, 27% experienced a failure to appear (FTA), 17% were arrested for any offense, and 5% were arrested for a violent offense during the pretrial period. There were reductions in the pretrial outcomes between the pre- and post-PSA periods: a six-percentage point decrease in FTA rates (30% vs. 24%), a five-percentage point decrease in new criminal arrest (NCA) rates (20% vs. 15%) and a two-percentage point decrease in new violent criminal arrest (NVCA) rates (6% vs. 4%). The results demonstrate that the PSA meets standards of predictive validity. For the three scales, we found that the Area Under the Curve (AUC) values are in the good (NCA) and fair (NVCA and FTA) ranges, there is incremental increase in failures as scores increase, and significant increases in the predicted likelihood of failure as scores increase across a series of regression models. The report shows that the PSA meets validity standards used for criminal justice assessments, and the report includes tests for predictive bias.

Advancing Pretrial Policy and Research, 2020. 84p.

By Don Stemen and David Olson

Bail reform efforts across the United States have accelerated in recent years, driven by concerns about the overuse of monetary bail, the potentially disparate impact of pretrial detention on poor and minority defendants, and the effects of bail decisions on local jail populations. Proponents of bail reform advocate for reducing or eliminating the use of monetary bail, arguing that many defendants are held in jail pretrial solely because they cannot afford to post bail. Opponents counter that reducing the use of monetary bail or increasing the number of people released pretrial could result in more defendants failing to appear for court hearings (FTAs) or committing crimes while on pretrial release. Evaluations of recent bail reform efforts indicate that these efforts have not been associated with increases in new criminal activity….. A debate has played out in the media regarding the link between GO18.8A, the types of individuals released pretrial, and the number and percent of individuals charged with a new crime while on pretrial release. The debate centers around an evaluation of GO18.8A conducted by the Office of the Chief Judge (OCJ).5 The OCJ’s evaluation found that the number and percent of felony defendants released pretrial increased after GO18.8A but that the percent of felony defendants charged with a new crime while on pretrial release was similar before and after GO18.8A. Subsequent analyses by the media6 and academics7 suggested that the OCJ’s evaluation underestimated the percent of defendants charged with a new crime after GO18.8A. …. These critiques suggested that GO18.8A may have led to an increase in new criminal activity of those released pretrial and contributed directly to increases in crime in Chicago and Cook County. These subsequent analyses, however, also suffer from methodological problems similar to those in the OCJ’s evaluation. By relying on the same public data collected and distributed by the OCJ, these analyses were unable to correct for the critiques made of the OCJ’s analyses – namely a truncated follow-up period and a failure to account for seasonality – without making assumptions about, and estimations of, underlying recidivism rates of those released.8 More importantly, the analyses were unable to verify or refute the OCJ’s analyses of bond court decisions, release rates, or new criminal activity through the independent analysis of defendant- and charge-level court or jail data. As a result of these methodological shortcomings and contradictory findings, the actual impact of GO18.8A remains unclear. ….

Chicago: Loyola University Chicago, 2020. 34p

By James Hess and Susan Turner

Jurisdictions across the country have joined a movement to rethink how individuals are handled at the pretrial stage of case processing. Although alternatives to cash bail systems have been around since the 1960s, 1 renewed interest has focused on the use of risk assessment algorithms to help determine which pretrial individuals might be released safely into the community. These types of tools hold promise as a means to move away from “debtor prisons” for individuals who do not have the financial resources to pay for their release. However, the field is still in the relatively early stage of testing these tools for predictive ability, potential racial bias in administration, as well as whether their use actually reduces incarceration.2 California has recently entered the pretrial risk assessment arena. Senate Bill 10 was passed in 2018 to change from a cash-based pretrial system to a risk-based release and detention system; although it is on hold until November 2020 when California voters determine its fate. 3 However, legislation passed as part of the 2019 Budget Act created a pilot program to test the use of various risk assessment tools in a number of counties across California. This report presents findings from the Los Angeles pilot effort under the Act to validate the Public Safety Assessment (PSA). The PSA is a risk assessment instrument developed by the Laura and John Arnold Foundation to inform pretrial judicial decisions on whether to release or detain a defendant. The tool predicts three outcomes after pretrial release: Failure to Appear (FTA); New Criminal Activity (NCA, arrest on any misdemeanor or felony charge); and New Violent Criminal Activity (NVCA, arrest on a violent misdemeanor or felony charge). The tool’s nine risk factors include prior convictions, incarceration, and failures to appear, violent offenses, pending cases at the time of arrest and age. Risk factor counts are weighted by an integer multiplier and summed to create a risk score. Several sets of adjacent scores are collapsed together into one score to produce a final 6-point risk scale for each of the outcomes.

Irvine, CA: University of California Irvine, Center for Evidence-Based Corrections, 2021. 103p

By Alex Albrigh

Are the effects of money bail on misconduct large enough to justify its costs? Money bail advocates argue that its usage is critical for averting misconduct, while skeptics counter that its effects are small and not worth the consequent human costs of pretrial detention. I address this debate directly by using administrative data and a policy reform in Kentucky. An automatic release program removed financial bail conditions for a subset of low-level cases, creating an opportunity to estimate the program’s effects on detention and misconduct using a differences-in-differences approach. The program cut the usage of financial bail by 50.5 p.p., while it increased the rate of failure to appear by 3.3 p.p. The program’s effect on pretrial rearrest is indistinguishable from zero, and the data rules out even modest sized increases. Effects on misconduct are primarily driven by substitution away from money bail, rather than from unsecured bail (which only requires payment in the event of misconduct). …

Unpublished paper, 2021. 61p.

By Brandon L. Garrett, Brett O. Gardner , Evan Murphy, Patrick Grimes

In criminal cases, forensic science reports and expert testimony play an increasingly important role in adjudication. More states now follow a federal reliability standard, which calls upon judges to assess the reliability and validity of scientific evidence. Little is known about how judges view their own background in forensic scientific evidence, and what types of specialized training they receive on it. In this study, we surveyed 164 judges from 39 different U.S. states, who attended past trainings at the National Judicial College. We asked these judges about their background in forensic science, their views concerning the reliability of common forensic disciplines, and their needs to better evaluate forensic science evidence. We discovered that judges held views regarding the scientific support for different forensic science disciplines that were fairly consistent with available literature; their error rate estimates were more supported by research than many estimates by laypersons, who often assume forensic methods are nearly infallible. We did not find any association between how judges rate forensic reliability and prior training. We did, however, find that training corresponded with judges’ views that they should, and do in fact, take on a more active gatekeeping role regarding forensics. Regarding the tools judges need to vet forensic experts and properly evaluate forensic science evidence, they reported having very different backgrounds in relevant scientific concepts and having forensic science education needs. Judges reported needs in accessing better material concerning reliability of forensic science methods. These results support new efforts to expand scientific evidence education in the judiciary.

Forensic Science International. Volume 321, April 2021, 110714

By Brandon L. Garrett; William E. Crozier.; and Rebecca Grady

Forensic examiners regularly testify in criminal cases, informing the jurors whether crime scene evidence likely came from a source. In this study, we examine the impact of providing jurors with testimony further qualified by error rates and likelihood ratios, for expert testimony concerning two forensic disciplines: commonly used fingerprint comparison evidence and a novel technique involving voice comparison. Our method involved surveying mock jurors in Amazon Mechanical Turk (N = 897 laypeople) using written testimony and judicial instructions. Participants were more skeptical of voice analysis and generated fewer “guilty” decisions than for fingerprint analysis (B = 2.00, OR = 7.06, p = <0.000). We found that error rate information most strongly decreased “guilty” votes relative to no qualifying information for participants who heard fingerprint evidence (but not those that heard voice analysis evidence; B = 1.16, OR = 0.32, p = 0.007). We also found that error rates and conclusion types led to a greater decrease on “guilty” votes for fingerprint evidence than voice evidence (B = 1.44, OR = 4.23, p = 0.021). We conclude that these results suggest jurors adjust the weight placed on forensic evidence depending on their prior views about its reliability. Future research should develop testimony and judicial instructions that can better inform jurors of the strengths and limitations of forensic evidence.

Journal of Forensic Sciences, 2020

By Brandon L. Garrett and Gregory Mitchell

William Blackstone famously expressed the view that convicting the innocent constitutes a much more serious error than acquitting the guilty. This view is the cornerstone of due process protections for those accused of crimes, giving rise to the presumption of innocence and the high burden of proof required for criminal convictions. While most legal elites share Blackstone’s view, the citizen jurors tasked with making due process protections a reality do not share the law’s preference for false acquittals over false convictions. Across multiple national surveys sampling more than 12,000 people, we find that a majority of Americans consider false acquittals and false convictions to be errors of equal magnitude. Contrary to Blackstone, most people are unwilling to err on the side of letting the guilty go free to avoid convicting the innocent. Indeed, a sizeable minority view false acquittals as worse than false convictions; this group is willing to convict multiple innocent persons to avoid letting one guilty person go free. These value differences translate into behavioral differences: we show in multiple studies that jury-eligible adults who reject Blackstone’s view are more accepting of prosecution evidence and are more conviction-prone than the minority of potential jurors who agree with Blackstone. These findings have important implications for our understanding of due process and criminal justice policy. Due process currently depends on jurors faithfully following instructions on the burden of proof, but many jurors are not inclined to hold the state to its high burden. Courts should do away with the fiction that the reasonable doubt standard guarantees due process and consider protections that do not depend on jurors honoring the law’s preference for false acquittals, such as more stringent pretrial screening of criminal cases and stricter limits on prosecution evidence. Further, the fact that many people place crime control on par with, or above, the need to avoid wrongful convictions helps explain divisions in public opinion on important policy questions like bail and sentencing reform. Criminal justice proposals that emphasize deontic concerns without addressing consequentialist concerns are unlikely to garner widespread support.

Michigan Law Review Volume 121 Issue 5 2023

By Brandon L. Garrett, William E. Crozier, Kevin Dahaghi, Elizabeth J. Gifford, Catherine Grodensky, Adele Quigley-McBride & Jennifer Teitcher

Where the vast majority of criminal cases are resolved without a trial, the criminal system in the United States is a system of pleas, not trials. While a plea, its terms, and the resulting sentence entered in court are all public, how the outcome was negotiated remains almost entirely nonpublic. Prosecutors may resolve cases for reasons that are benign, thoughtful, and well-calibrated—or discriminatory, self-interested, and arbitrary—with very little oversight or sunlight. For years, academics and policymakers have called for meaningful data to fill this crucial void. In this Article, we open the “black box” of prosecutorial discretion by tasking prosecutors with documenting detailed case-level information concerning plea bargaining. This is not a hypothetical or conceptual exercise, but rather the product of theory, design, and implementation work by an interdisciplinary team. We collected systematic data from two prosecutors’ offices for one year. The Article describes how the data-collection methodology was designed, piloted, and implemented, as well as the insights that have been generated. Our system can be readily adapted to other offices and jurisdictions. We conclude by discussing how documenting the plea-bargaining process can affect prosecution practices, defense lawyering, judicial oversight, and public policy, its constitutional and ethical implications, and its broader implications for democratic legitimacy. An open-prosecution approach is feasible and, for the first time in the United States, it is in operation.

75 STAN. L.REV. 1365 (2023)

By Brian J. Ostrom and Jordan Bowman

Since Gideon v. Wainwright, the provision of an attorney to a criminal defendant is an accepted constitutional right. The past 50 years has witnessed the ongoing development by defense practitioners of what it means to “provide the effective assistance of counsel” through strong legal advocacy. More recently, many practitioners contend that in addition to the defense attorney, professional support services, such as social workers, paralegals, and criminal investigators, are critical to effective assistance of counsel in indigent defense cases. Investment by defender offices in resources and skills beyond traditional legal expertise promises to bring positive returns not just for clients, but for the criminal justice system and taxpayers as well. The umbrella of what we will call the holistic defense model covers the most developed concepts and practices of an integrated defense team. Proponents of holistic defense claim a wide range of enhanced client outcomes including more favorable court dispositions and successful treatment for recurring needs (e.g., addiction, joblessness, mental illness) as well as associated public benefits such as reduced recidivism and less reliance on costly incarceration. As positive as these meritorious claims may be, the current dearth of rigorous evaluative research means they remain unverified

Williamsburg, Virginia, National Center for State Courts, 2019. 53p.