Felony Jury Sentencing in Practice: a Three-State Study
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Vanderbilt Law Review Volume 57 Issue 3 Article 3 4-2004 Felony Jury Sentencing in Practice: A Three-State study Nancy J. King Rosevelt L. Noble Follow this and additional works at: https://scholarship.law.vanderbilt.edu/vlr Part of the Criminal Law Commons, and the Jurisprudence Commons Recommended Citation Nancy J. King and Rosevelt L. Noble, Felony Jury Sentencing in Practice: A Three-State study, 57 Vanderbilt Law Review 885 (2019) Available at: https://scholarship.law.vanderbilt.edu/vlr/vol57/iss3/3 This Article is brought to you for free and open access by Scholarship@Vanderbilt Law. It has been accepted for inclusion in Vanderbilt Law Review by an authorized editor of Scholarship@Vanderbilt Law. For more information, please contact [email protected]. Felony Jury Sentencing in Practice: A Three-State Study Nancy J. King*& Rosevelt L. Noble" I. INTRODU CTION .................................................................... 886 A. M ethodological Note ................................................ 890 B. The Legal Framework in Each State ....................... 891 II. JURY SENTENCING AS TRIAL PENALTY: THE PROSECUTOR'S BEST FRIEND ............................................... 895 A. Jury Sentencing-Why Prosecutors Stick by It .......895 B. The Plea Discount or Trial Penalty-Background.. 896 C. Jury Sentencing as a Trial Penalty in Kentucky .....898 1. Descriptions of the Jury Sentence as Bargaining Chip for Prosecution .................. 898 2. Reasons Given for High Jury Sentences ......899 3. Enforcing the Discount ................................. 901 4. Summary of Statistical Findings ................. 907 5. The Consequence: Prosecutorial Resistance to Change ................................... 908 D. Jury Sentencing as Trial Penalty in Virginia......... 910 1. Descriptions of Jury Sentencing as Trial Penalty ................................................. 910 2. Reasons Given for Higher Jury Sentences... 910 3. Enforcing the Disparity ................................ 916 4. Summary of Statistical Findings ................. 923 5. The Consequence: Prosecutors Protect Jury Sentencing ............................................ 925 * Lee S. & Charles A. Speir Professor of Law, Vanderbilt University, (J.D., Michigan) [email protected]. For their helpful suggestions on this paper in its earlier phases, we thank Professor Kevin Reitz, G. Thomas Munsterman, and all of the faculty who participated in workshops at Vanderbilt University, Northwestern University, the University of Illinois, Duke University, Stanford University, and the 2002 Law and Society Annual Meeting. We are particularly grateful to each of the many attorneys, judges, and professionals from Kentucky, Virginia, and Arkansas, who so generously provided the information that made this project possible. Excellent research assistance was provided by Dora Klein and Anne Marie Farmer. .. Senior Lecturer, Sociology, Vanderbilt University, (Ph.D. Vanderbilt), [email protected]. 886 VANDERBILT LAW REVIEW [Vol. 57:3:885 E. Jury Sentencing as Trial Penalty in Arkansas ....... 926 1. Descriptions of Jury Sentencing as Trial P en alty .......................................................... 926 2. Reasons Given for High Jury Sentences for D rug Offenses ......................................... 928 3. Maintaining the Sentencing Differential in D rug Cases ............................................... 932 4. Summary of Statistical Analysis .................. 939 5. The Consequence: Prosecutors Favor Jury Sentencing .................................................... 939 III. JURY SENTENCING AND TRIAL JUDGES ............................... 940 A . Deference .................................................................. 94 1 B . Dodg e ....................................................................... 94 1 C. Docket ....................................................................... 944 D. The Result: JudicialAcceptance of Jury as S en ten cer .................................................................. 94 5 IV. JURY SENTENCING AND DEFENDERS ................................... 946 V. LESSONS FOR SENTENCING REFORMERS ............................. 949 A. Barriersto the Substitution of Judge Sentencing for Jury Sentencing.................................................. 950 B. Strengthening the Jury as Price Setter: IncreasingJury Power and Information ................. 953 V I. C ON CLU SION ........................................................................ 962 I. INTRODUCTION Today, in six states, felons convicted by juries are routinely sentenced by juries. These states form a sizeable segment of the United States, beginning with Virginia at the eastern end, and proceeding west, through Kentucky, Missouri, Arkansas, Texas, and Oklahoma, following the trail of early settlers. Juries in these jurisdictions select an appropriate sentence from within a statutory range of punishment provided to them in their instructions from the judge. The use of juries to sentence felons in these states began well over a century ago,1 well before the recent United States Supreme Court decision in Apprendi v. New Jersey,2 which has generated 1. These states have practiced jury sentencing from early in their history, or, as one judge put it, "since the earth cooled." See infra note 192. For more on the origins of felony jury sentencing in Virginia and Kentucky, see Nancy J. King, The Origins of Felony Jury Sentencing in the United States, 78 CHI.-KENT L. REV. 937 (2003). 2. 530 U.S. 466, 490 (2000). 2004] FELONY JURY SENTENCING IN PRACTICE 887 renewed interest in the appropriate role for juries in sentencing. 3 Roughly 4000 juries deliver felony sentences every year.4 The number of felons sentenced by juries in Texas alone exceeds the number of federal defendants convicted annually by jury, for misdemeanors or felonies, in all districts combined. 5 Despite its continuing influence, jury sentencing in noncapital cases is one of the least understood procedures in contemporary American criminal justice. While scholars and commissions have repeatedly dissected other sentencing systems and jury functions, felony jury sentencing has managed to elude systematic empirical inquiry. 6 This Article looks beyond idealized visions of jury sentencing to examine for the first time how jury sentencing in noncapital cases actually operates in three different states-Kentucky, Virginia, and Arkansas. Dozens of interviews with prosecutors, defenders, and 3 The Court's latest Apprendi-related opinion, Blakely v. Washington, No. 02-1632, 2004 U.S. LEXIS 4573 (June 24, 2004), handed down as this article was going to press, promises to have a particularly widespread impact on sentencing systems nationwide. See Susan Klein & Nancy King, Beyond Blakely (forthcoming); Sentencing Law and Policy (collecting commentary and case law updated daily), at http://sentencing.typepad.com (last visited July 11, 2004). The rule in Apprendi and Blakely, however, defines only which facts must be treated essentially as elements of the offense under the Sixth Amendment; it does not speak to whether a jury or a judge must select a sentence once those facts have been admitted or proven beyond a reasonable doubt. Nevertheless, some commentators have used the Apprendi rule as a platform for proposing that jurors, not judges, select punishment in felony cases. See, e.g., Morris B. Hoffman, The Case for Jury Sentencing, 52 DUKE L.J. 951 (2003); Jenia Iontcheva, Jury Sentencing as Democratic Practice, 89 VA. L. REV. 311, 314 (2003) (calling for the "reintroduction of jury sentencing" and arguing that because of "their deliberative capacity and democratic makeup, juries are better situated than other political institutions to perform the sensitive tasks of deciding between contested sentencing goals and applying the law with due regard for the individual circumstances of each offender"). 4. This very rough estimate is derived by adding the 836 sentences imposed in the year 2000 in noncapital felony cases from the Kentucky, Virginia, and Arkansas data sets discussed infra notes 11, 70, 120 & 174, the 2647 jury sentences in noncapital felony cases reported in OFFICE OF COURT ADMIN., TEX. JUDICIAL COUNCIL, ANNUAL REPORT OF THE TEXAS JUDICIAL SYSTEM FOR FISCAL YEAR 2001 (2001), and estimating conservatively at least 300 felony jury sentences annually in Missouri and Oklahoma. OFFICE OF STATE COURT ADMIN. FOR Mo. 2000 ANNUAL REPORT 125 (2000) (reporting 612 total felony jury trials); NAT'L CTR FOR STATE COURTS, STATE COURT CASELOAD TABLES, EXAMINING THE WORK OF STATE COURTS (1999) (noting Oklahoma's criminal caseload is about half that of Missouri). 5. BUREAU OF JUSTICE STATISTICS, U.S. DEP'T OF JUSTICE, SOURCEBOOK OF CRIMINAL JUSTICE STATISTICS 2001 (2002) [hereinafter SOURCEBOOK], http://www.albany.edu/sourcebookl 1995/pdf/t532.pdf (Table 5.32 shows that 2035 total defendants were convicted by jury in all United States District Courts). 2284 defendants were "convicted by jury or found guilty/insane" in United States District Courts for 2002. Bureau of Justice Statistics, Federal Justice Statistics Resource Center, at http://fjsrc.urban.org (last visited July 11, 2004). 6. Existing empirical studies of jury sentencing are limited to single localities or offenses, or examine sentencing data generated under now obsolete sentencing law. For a review, see Nancy J. King & Rosevelt L. Noble, Jury Sentencing in Non-Capital Cases: Comparing Severity and Variance with Judicial