SJS7 Case Processing FINAL 9-7-12.2.docx...SEXUAL ASSAULT CASE PROCESSING IN VERMONT DISTRICT COURT...
Transcript of SJS7 Case Processing FINAL 9-7-12.2.docx...SEXUAL ASSAULT CASE PROCESSING IN VERMONT DISTRICT COURT...
Data Driven Decisions
SEXUALASSAULTCASEPROCESSINGINVERMONT
DISTRICTCOURTCASEPROCESSINGANDSENTENCING
2004-2010
Preparedby:
TheVermontCenterforJusticeResearch
P.O.Box267NorthfieldFalls,VT05664
802-485-4250
ElizabethMaier,Ph.D.
PrincipalInvestigatorandResearchAssociate
RobinAdler,Ph.D.
DirectorofResearch
JoanOwen,B.S.
ResearchAnalyst
AlishaNowicki
ResearchAssistant
FundedbytheBureauJusticeStatisticsUnitedStatesDepartmentofJustice
Grant#2009-BJ-CX-K038
April,2012
TableofContentsEXECUTIVESUMMARY.................................................................................................................................3
INTRODUCTION............................................................................................................................................4
ARRESTSVS.CITATIONS...............................................................................................................................5
SEXUALASSAULTANDAGGRAVATEDSEXUALASSAULT..............................................................................9
SexualAssaultCaseProcessingandOutcomes........................................................................................9
AggravatedSexualAssaultCaseProcessingandOutcomes...................................................................13
SENTENCINGANALYSIS..............................................................................................................................15
PREDICTORSOFSENTENCING....................................................................................................................17
DemographicsofCohort........................................................................................................................17
BEFOREANDAFTERTHE2006SEXUALVIOLENCEPREVENTIONACT........................................................19
SexualAssault:PreandPost2006SexualViolencePreventionAct.......................................................20
AggravatedSexualAssault:PreandPost...............................................................................................21
CaseStudy:ChittendenCounty..............................................................................................................22
SexualAssault.....................................................................................................................................23
AggravatedSexualAssault.................................................................................................................23
CONCLUSION..............................................................................................................................................24
Table1:SexualAssaultCountySummarySentencingStatistics.................................................................26
Table2:SexualAssaultDispositionTimeByCounty..................................................................................29
3
EXECUTIVESUMMARYThisreportexaminedtheVermontDistrictCourtprocessingandsentencingofAggravatedSexualAssaultandSexualAssaultoffenseswherethevictimwasanadultduringtheperiodof2004-2010.Whethersexualassaultoffenderswerearrestedorsimplyreceivedacitationtoappearincourt,andwhatfactorsmightinfluencethatdecision,wasalsostudied.Finally,thereportdiscussedtheeffectsoftheSexualViolencePreventionActwhichwaspassedbyVermontStateLegislatorsin2006.KeyFindings:
• Betweentheyears2003-2010,over1,200sexoffenses(forciblerapesbyanadultoffender)werereportedtolawenforcement.
• Regardlessofthecircumstancesofthecrime,theproportionofdefendantsarrestedvs.citedremainsrelativelyequal.
• Overhalf(approximately63percent)ofsexualassaultandaggravatedsexualassaultconvictionsareforthesamecategoryofoffenseasthedefendantwasoriginallycharged.
• Themostcommonsentencesforsexualassaultandaggravatedsexualassaultconvictions
areincarceration,splitsentence,andprobation.
• Adismissalbythestatewasthelargestcategoryofdispositionsforallcharges.
• Thereappearstobesomevariationinsentencingforsexualassault,whilethereislittlesentencingvariationforaggravatedsexualassault.Thecountyvariablewasnotstatisticallyrelatedtothesentenceanoffenderreceived.
• AccordingtobivariateanalysisofcriminalhistorydatafromtheVermontCriminal
InformationCenter(VCIC),theoriginalchargelevelandwhetherthedefendantwasarecidivistareinfluentialinsentencing,whilethedefendant’srace,criminalhistory,age,andcountydonotseemtohaveanyimpact.
• In2006,theVermontLegislaturepassedtheSexualViolencePreventionAct(SVPA).Apre-
andpost-comparisonrevealedsimilarfinalcharges,disposalnumbers,andsentencing.
4
INTRODUCTIONInVermont,sexualassaultchargescanfallunderseveralstatutes.ThisreportincludesinformationonAggravatedSexualAssaultandSexualAssaultoffenseswherethevictimwasanadult1.Thisreportexaminesthedistrictcourtprocessingandsentencingofthesesexualassaultoffensesduringthestudyperiodof2004-20102.NATIONALINCIDENTBASEDREPORTSYSTEMOVERVIEW(NIBRS)
Betweentheyears2003-2010,over1,200sexoffenses(forciblerapesbyanadultoffender)werereportedtolawenforcement3.Figure1providestheforciblerapesbyanadultperyear.Municipalpolicedepartmentswereresponsibleforrespondingtoandinvestigatingmostoftheforciblerapes.TheVermontStatePolicewerethenextmostfrequentlawenforcementagencyresponsibleforinvestigatingtheseoffenses.Themajorityoftheoffendersweremale;howevertypicallyatleastfouroftheoffenderseachyearwerefemale.
Figure1:ForcibleRapesbyYear
1AggravatedSexualAssault(13V3253,13V3253A1-A7)andSexualAssault(13V3252,13V3252A1A,13V3252A1B,13V3252A1C,13V1379A,B,B1,B22Dataforthisstudyincludedoriginalsexualassaultandaggravatedsexualassaultchargesfrom2004-2009.Duetothelengthyprocessfortheaveragecasetoreachaconclusion,dispositionsandsentencinginformationwereincludedfrom2004-2010.3VermontCrimeOnline(VCON)http://vcic.vermont.gov/crime+statistics/Vermont+Crime+On-Line
0
50
100
150
200
250
2003 2004 2005 2006 2007 2008 2009 2010
NumberofForcibleRapes
Year
ForcibleRapesbyAdults
ForcibleRapes
5
ARRESTSVS.CITATIONS
InVermont,therearethreetypesofarrests:arrestwithawarrant,arrestwithoutawarrant,andacitationtoappearincourt.Allthreemustbebasedonprobablecauseandeachinitiatesacriminalcourtprosecution.However,acitationdoesnotinitiateabookingprocess.Therefore,nofingerprintsaretakenandthedefendantdoesnothaveanofficialarrestrecordonfileattheVermontCriminalInformationCenteruntilthecaseisarraignedinaVermontDistrictCourt.Ithasbeenarguedthatlawenforcementusescitationsforcasesthattheydeemlessstrongandusestraditionalarrestproceduresforstrongercases.4Stakeholdershavealsosuggestedthatlackofholdingfacilitiesfordefendantsinlocalpolicedepartmentsleadstocitationsoverarreststhatrequireprocessing.Thissectionexploresthearrestvs.citationdistinctionusingNIBRSdatafrom2003-2010.5
Duringthetimeperiod,771victimizationswerereportedtothepolice,representing752incidents.Onehundredandsixty-threeincidents(21.7%)wereclearedbyarrest.Onehundredandthirty-sixarrestswereforforciblerape,14forforciblefondling,10forforciblesodomyand3forsexualassaultwithanobject.Arrestswerealmostevenlysplitbetweenarrestswithawarrant(45.4%)andcitations(46%),arrestswithoutawarrantaccountedfor8.6%ofthearrests.Figure2belowillustratesthenumberofarrestsbytypeofarrestsandtypeofagency.
4Shernock,S.“PoliceCategorizationandDispositionofNon-LethalPartnerViolenceIncidentsInvolvingWomenOffendersinaStatewideRuralJurisdictionWithaPresumptiveArrestPolicy”FamilyViolence&SexualAssaultBulletinVolume:21Issue:2/3.Summer/Fall20055Victimizationsfrom2003-2010onadultvictimsofforciblesexualassaultwerematchedbyincidentnumber,incidentdateandvictimsequencenumbertothearresteesegmentforthesametimeperiod.
6
Circumstancesofthecrimeswereanalyzedtoexploretherelationshipbetweenthetypeofarrestandcharacteristicsofthecrime.Aregressionanalysiswasperformed,however,noneofthecircumstancesprovedtobestatisticallysignificantinpredictingthetypeofarrest6.Thismayindicatethatofficersarebasingtheirdecisiononfactorssuchasthedemeanorofwitnesses,strengthofthecase,holdingfacilityavailability,orotherfactorsnotcapturedbythedata.Thefollowingchartsillustratethatregardlessofthecircumstancesofthecrime,theproportionofarrestsvs.citationremainsrelativelyconstant.
Figure3belowillustratesthevictimoffenderrelationshipandthetypeofarrests.NIBRSvalueswerecombinedtomaketheanalysismoremeaningful.7
6Thefollowingvariableswereusedintheregressionanalysis:victim/offenderrelation,weapons,injuries,agency(local,sheriff,state),agency(rural,suburban,urban),agedifferencebetweenoffender&victims,multiplevictims,andlocation(public,private,school/prison).7Acquaintanceincludedthefollowingcategories:Acquaintance,employee,neighbor,friend,andotherwiseknown.Intimateincluded:spouse,commonlawspouse,boyfriend/girlfriend,ex-spouse.Familyincluded:child,step-child,in-law,sibling,step-siblingandotherfamilymember.StrangerincludedonlythestrangervalueinNIBRS.
46
25
4
47
26
17 7
00
10
20
30
40
50
LocalPolice SatePolice Sheriff
NumberofArrests
AgencyType
Figure2:NumberofArrests,byTypeof
ArrestandTypeofAgency2003-2010
Citation ArrestwithWarrant ArrestWithoutWarrant
7
Figure4illustratesthetypeofarrestsbylocationoftheoffense.Mostoffensesoccurredinaprivatespace.Arrestwithawarrantwasslightlymorelikelytooccurinapublicspaceorataschool/university.Again,NIBRSdatawascombinedtomaketheanalysismoremeaningful.
Figure5showsthetypeofarrestbythetypeofinjurysustainedbythevictim.Anoffenderwasgenerallymorelikelytoreceiveacitationwhentherewasnoinjuryandwasmorelikelytobearrestedwithawarrantwhenminorinjuriesoccurred.
42
20
74
43
16
73
6 61 1
05101520253035404550
Aquaintence Intimate Family Stranger
NumberofArrests
Victim'sRelationshiptoOffender
Figure3:RelationshipbyTypeofArrest
Citation
ArrestWithaWarrant
ArrestWithoutaWarrant
10
63
1
13
59
22
11
10
10
20
30
40
50
60
70
PublicSpace PrivateSpace School/University
NumberofArrests
Figure4:LocationTypebyTypeofArrest
Citation
ArrestwithWarrant
ArrestwithoutWarrant
8
Onlytwospecificweapontypesappearedinthedata:asphyxiationandpersonalweapons.Figure6illustratesthearresttypebyrecordedweapon.Personalweaponsweremostlikelyused;andthoseusingapersonalweapon,wereslightlymorelikelytobearrested(withandwithoutawarrantcombined)thancited.
38
33
1 20
30
42
1 0 14
8
1 1 00
5
10
15
20
25
30
35
40
45
None Minor Major Internal Unconscious
NumberofArrests
Figure5:ArrestTypebyInjury
Citation
ArrestWithWarrant
ArrestwithoutWarrant
1
65
4 42
58
94
0
12
2 00
10
20
30
40
50
60
70
Asphyxiation PersonalWeapons
None Other
NumberofArrests
Figure6:ArrestTypebyWeapon
Citation
ArrestwithWarrant
ArrestwithoutWarrant
9
SEXUALASSAULTANDAGGRAVATEDSEXUALASSAULTThereareoveradozenstatutesinVermontthatdealwithsexualassault.SexualAssaultisdefinedinVermontas,“Nopersonshallengageinasexualactwithanotherpersonandcompeltheotherpersontoparticipateinasexualact:(1)withouttheconsentoftheotherperson;or(2)bythreateningorcoercingtheotherperson;or(3)byplacingtheotherpersoninfearthatanypersonwillsufferimminentbodilyinjury.8”AggravatedSexualAssaultisdefinedas:
“Apersoncommitsthecrimeofaggravatedsexualassaultifthepersoncommitssexualassaultunderanyofthefollowingcircumstances:
(1) Atthetimeofthesexualassault,theactorcausesseriousbodilyinjurytothevictimortoanother
(2) Theactorisjoinedorassistedbyoneormorepersonsinphysicallyrestraining,assaultingorsexuallyassaultingthevictim
(3) Theactorcommitsthesexualactundercircumstanceswhichconstitutethecrimeofkidnapping
(4) Theactorhaspreviouslybeenconvictedinthisstateofsexualassaultundersubsection3252(a)or(b)ofthistitleoraggravatedsexualassaultorhasbeenconvictedinanyjurisdictionintheUnitedStatesandterritoriesofanoffensewhichwouldconstitutesexualassaultundersubsection3252(a)or(b)ofthistitleoraggravatedsexualassaultifcommittedinthisstate
(5) Atthetimeofthesexualassault,theactorisarmedwithadeadlyweaponanduses,orthreatenstouse,thedeadlyweapononthevictimoronanother
(6) Atthetimeofthesexualassault,theactorthreatenstocauseimminentseriousbodilyinjurytothevictimortoanotherandthevictimreasonablybelievesthattheactorhasthepresentabilitytocarryoutthethreat
(7) Atthetimeofthesexualassault,theactorappliesdeadlyforcetothevictim(8)Thevictimissubjectedbytheactortorepeatednonconsensualsexualactsaspartofthesameoccurrenceorthevictimissubjectedtorepeatednonconsensualsexualactsaspartoftheactor’scommonschemeandplan.9”
SexualAssaultCaseProcessingandOutcomesThecourtdatacontainedfinalchargeanddispositioninformationfor203sexualassaultcharges.Figure7showsthenumberoforiginalvs.finalchargesforsexualassaults10.Twentypercent(41)ofthesexualassaultchargesweredisposedofbyguiltyplea.Twopercent(5)ofsexualassaultchargeswasdismissedbythecourt,and68percent(139)wasdismissedbythestate.Ninepercent(18)ofsexualassaultchargeswenttotrial.Attrial,ninedefendants(50%)werefoundnotguilty.813VSA3252913VSA325310Thecaseprocessinginformationandoutcomeanalysiscoversthe61percent(203charges)ofchargesthatmovedforward.
10
Figure7:Originalvs.FinalSexualAssaultCharges,OffenseDateFY2004-2009,Disposition
DateFY2004-2010
Withchargesdismissedbythestatebeinghigh,additionalanalysiswasperformedtotryanddetermineifsomeofthosedismissedcaseswereactuallybeingconvictedofanotheroffense.Firstitneedstobementionedthatuptothispointtheanalysishasfocusedoncharges.Forabriefmoment,theanalysiswillshifttocases;acasebeingthetotalnumberofchargesscheduledtobearraignedatthesametime.Withregardtosexualassaultfrom2004-2009inVermont,therewere257casesresultingin333charges.Ofthose257cases,193casesendedwithsometypeofconviction(75%convictionrate).Figure8showsthetopfiveconvictionoffenses.
0
50
100
150
200
250
300
350
OriginalCharges FinalCharges
SexualAssault Charges
11
Figure8:TopFiveConvictionOffensesforSexualAssaultCases
Onaverage,sexualassaultchargesresultinginapleaweredisposedofin273.13days;thosebeingdismissedbythecourt,in167.75days;andthosedismissedbythestatein257.04days.Forthosesexualassaultchargesgoingtotrial,theaveragedispositiontimewas389.44days.Ofthe50sexualassaultchargesthatendedinconvictionsthemostcommonsentencewasincarceration(25),splitsentence(15)andprobation(7).
Figure9:SexualAssaultSentenceTypes
Informationwasavailablefor108originalsexualassaultchargesthatwereamendedtoalessercharge,convicted,andsentenced.Thetwomostcommonamendedchargeswere
Incarceration
SplitSentence
Probation
Deferred
50%
30%
14%
6%
12
Lewd/ProhibitedAct11with38percent(41)andLewd&LasciviousConduct12with33percent(36).Themostcommonsentencesgiventoanindividualoriginallychargedwithsexualassaultbutamendedtolewd/prohibitedactswasprobation(16)andincarceration(15).Figure10illustratesthesentencesforsomeoneoriginallychargedwithsexualassaultbutamendedtolewd&lasciviousconduct.Themostcommonsentencewassplitsentence(13)andprobation(10).Figure10:SentenceforSexualAssaultChargeAmendedtoLewd&LasciviousConduct
Attemptingtodetermineiftherewereanycountyleveldifferenceswithregardtosentencingwaschallengingduetothelownumberofcharges(severalcountieswithjustonetothreecharges).Thereappeared,however,tobesomedifferencesinsentencingbycounty.Somecountiessentencedmoretoincarceration(Addison,Bennington,Orleans,Rutland),whileotherssentencedmoretoasplitsentence(Caledonia,Essex).Othercountieshadafairlyequaldistributionbetweenthosereceivingasentenceofincarceration,asplitsentence,orprobation(Chittenden,Franklin,Orange,Washington).
1113V2632A81213V2601
Incarceration
SplitSentence
Probation
DeferredSentence
Sentence forAmended
toLewd&Lascivious
38%
29%
12%
21%
13
Figure11:SexualAssaultSentencingbyCounty,DispositionFY2004-2010
Tableone(attheendofthisreport)providestheaveragelengthofsentenceaswellastheminimumandmaximumforcountiesthathadatleastonesexualassaultchargeduringtheresearchperiod.Tabletwo(alsoatend)providestheaveragenumberofdaystodispositionbycountyforbothconvictionsandpledcases.Thestatewideaveragefortheminimumsentenceforanincarcerationsentence(convictions&pledcases)was10.7yearswhiletheaveragemaximumwas54.3years.Theaveragetimeforsplitsentenceswas3.9years(min)to15.4years(max).Theaveragedaystoservewas747days.Theaverageprobationsentencewas2.9yearsto13.2years.
AggravatedSexualAssaultCaseProcessingandOutcomesThecourtdatacontainedfinalchargeanddispositioninformationfor45aggravatedsexualassaultcharges.Twenty-fourpercent(11)offinalchargesweredisposedofbyguiltyplea.Fourpercent(2)weredismissedbythecourtand64percent(29)weredismissedbythestate.Foraggravatedsexualassaultcharges,sixpercent(3)wenttotrial;allthreewerefoundguilty.Onaverage,aggravatedsexualassaultchargesresultinginapleaweredisposedofin454.42days;thosebeingdismissedbythecourt,in130.0days;andthosedismissedbythestatein405.0days.Forthoseaggravatedsexualassaultchargesgoingtotrial,theaveragedispositiontimewas509.33days.Ofthe14aggravatedsexualassaultchargesthatendedinconviction,themostcommonsentencewasincarcerationwith86percent(12)receivingthatsentence.Splitsentence(1)andprobation(1)werethenextmostcommonsentence.Figure12illustratesthisinformation.
024681012
SexualAssaultSentencingbyCounty
Incarceration SplitSentence Probation
14
Figure12:AggravatedSexualAssaultSentenceTypes
Informationwasavailablefor27aggravatedsexualassaultchargesthatwereamended,convicted,andsentenced.Lewd/ProhibitedActs(8),Lewd&LasciviousConduct(5),andSexualAssault-NoConsent(4)werethemostcommonamendedcharges.Ofthoseconvictedoftheamendedchargeoflewd/prohibitedacts,themostcommonsentencewasincarceration(6).Ofthoseconvictedoftheamendedchargeoflewd&lasciviousconductthemostcommonsentenceswereincarceration(2)andsplitsentence(2).Ofthoseconvictedoftheamendedchargeofsexualassault-noconsentthemostcommonsentenceswereincarceration(2)andsplitsentence(2).Threeoutofthefourcountieswithaggravatedsexualassaultchargessentencedalloftheirchargestoincarceration(Bennington,Chittenden,Orange).TheoneexceptionwasWindhamCountywhereonly50percent(2)oftheirconvictionsweresentencedtoincarceration.Theotherhalfwassentencedtoeitherasplitsentenceorprobation.Unfortunatelywithsentencingdataforonly14aggravatedsexualassaultconvictionsduringtheresearchperiodmorecomparisonsbetweencountiescouldnotbemade.
Incarceration
SplitSentence
Probation
86%
7%
7%
15
Figure13:AggravatedSexualAssaultSentencingbyCounty,DispositionFY2004-2010
Thestatewideaveragefortheminimumofanincarcerationsentencewas25.1yearswhiletheaveragemaximumwas66.7years.Thestatewidemedianfortheminimumofanincarcerationsentencewas27.5yearswhilethemedianmaximumwaslife.Theaveragetimetoserveforsplitsentenceswas10years(min)and20years(max).Theaveragedaystoservewas366.Theaverageprobationsentencewas15to20years.
SENTENCINGANALYSISAdismissalbythestatewasthelargestcategoryofdispositionsforallcharges;guiltypleasweresecond.Figure14illustratesthatpoint.Fouroffenseshada100percentdismissalrate(SexualAssault-Agg.SeriousInjury,SexualAssault-Agg.Kidnap,SexualAssault-Agg.Weapon,andSexualAssault-Agg.ThreatenInjury).SexualAssault-NoConsent13andSexualAssault-AggravatedMorethanOne14hadthenexthighestdismissalrates(73%and70%respectively).VulnerableAdultSexualAbuse15andSexualAssault16hadthelargestpercentageofcasesdisposedofbyguiltyplea(approximately40%each).
1313V3252A1A1413V3253A21513V1379A,B,B1,B21613V3252
0%10%20%30%40%50%60%70%80%90%
100%
Addison
Benn
ington
Calend
onia
Chitten
den
Essex
Franklin
GrandIsle
Lamoille
Orange
Orle
ans
Rutla
ndWashington
Windh
amWindsor
Probation
SplitSentence
Incarceration
16
Figure14:PercentagesofAllCasesbyMethodsofCaseDisposal
Figure15illustratesthepercentageofchargesdisposedbystatedismissalvs.guiltyplea.
Figure15:PercentageofChargesDisposedofbyDismissalbyStateorGuiltyPleabyOffense
Forbothsexualassaultandaggravatedsexualassaultcharges,amajorityofconvictions63%wereforthesameoffensecategoryasthedefendantwasoriginallycharged.Ofthe318originalsexualassaultchargesduringthestudyperiod,258(81.1%)wereconvictedofafelony.Forcaseswhereanindividualwaschargedwithsexualassault,199(62.6%)wereconvictedofsexualassault.
0%
10%
20%
30%
40%
50%
60%
70%
80%
DismissedbyCourt
DismissedbyState
GuiltyPlea GuiltyatTrial
SexualAssault
AggravatedSexualAssault
0% 20% 40% 60% 80%
VulnerableAdultSexualAbuse
SexualAssault
SexualAssault-NoConsent
SexualAssault-Agg.MorethanOne
SexualAssault-Agg.Prior/Repeated
GuiltyPlea
DismissedbyState
17
Thepercentagesaresimilarforaggravatedsexualassault.Ofthe75originalaggravatedsexualassaultcharges,66(88%)wereconvictedofafelony.Forty-seven(62.7%)oftheaggravatedsexualassaultchargeswereconvictedofaggravatedsexualassault.Six(8%)wereconvictedofsexualassault.Sentencedistributionappearstoflowlogically;themoreseriousoffenses/chargesweremorelikelytobesentencedtoincarceration.Thebulkofaggravatedsexualassaultchargesweresentencedtoincarcerationwhiletherewasmorevariationamongsexualassaultcharges.
PREDICTORSOFSENTENCING
TheinformationintheabovesectionswasgatheredfromVermontcourtdata.VCICdatawasusedforthefollowinganalysis.Becauseoftheuseoftwodifferentdatasets,thenumberofchargesvaries.BelowarethespecificdemographicsoftheVCICdatathatwereutilizedfortheanalysisofthepredictorsofsentencing.
DemographicsofCohortDuringthestudyperiod,94chargesofsexualassaultonadultswerefiledanddisposedofinVermontDistrictCourts.Ofthesexualassaultcharges,93(98.9%)werefelonychargesandonewasamisdemeanorcharge.All94chargeswerefiledagainstmales.Raceofthedefendantwasavailableforapproximately75percentofthedata.Therewere61Caucasianmales(64.9%)andnineAfricanAmericanmales(9.6%)chargedwithsexualassault.Twenty-fivepercentofthedefendants’racewaseitherunknownormissing.Theaverageageattimeofdispositionwas35.96years.Themedianagewas34.77years.Theyoungestoffenderwas17.28attimeofdispositionwhiletheoldestwas67.30.Thirty-seven(39.4%)ofthechargeswereforSexualAssault-NoConsent17.Eighteen(19.1%)wereforSexualAssault-Aggravated-Repeatedand17(18.1%)wereforSexualAssault18.Oftheoffensesanalyzedinthisreport,thosewerethemostcommon.Figure16providesthefilingratesforthecounties.Aftertakingintoaccountthesizeoftheadultpopulationinthosecounties,BenningtonCountyhadthehighestfilingrateandLamoilleCountyhadthelowest.
1713V3252A1A1813V3252
18
Figure16:FilingRatesbyCounty
County FilingRate
Addison 0.10Bennington 0.47Caledonia 0.20Chittenden 0.14Essex 0.39Franklin 0.39GrandIsle 0.18Lamoille 0.05Orange 0.22Orleans 0.33Rutland 0.08Washington 0.15Windham 0.28Windsor 0.07
Theoriginalplanwastoconductmultivariateanalysisofthedatatodeterminefactorsthatpredictsentencing;however,withasampleoffewerthan100cases(N=94)itwasimpossibletoprovidereliableregression(multivariate)analysisforthedata.Thereforebivariateanalysiswascompleted.Cross-tabulations,whichshowarelationship/associationbetweentwovariables,wereutilized.Thefollowingvariableswerecross-tabulatedwiththe“Sentence”variable19:CriminalHistory,Age,Defendant’sRace,County,OriginalChargeOffenseLevel(felonyvs.misdemeanor),andRecidivist.Pearson’srwasemployedtodetermineifthecross-tabulationswerestatisticallysignificant20.Figure17presentstheresultsofthecorrelationalanalysis.
19Thesentencevariableisfromthedispositioncodesandisthetypeofdisposition.Itwasformattedtomatchthesentencesinthecourtdata.20Statisticalsignificanceillustratesthatthefindingsmostlikelydidnotoccurbychance.The.05levelofsignificancewasusedforthisresearch.Thismeansthatweare95%confidentthattherelationshiporassociationfounddidnothappenbychance.
19
Figure17:CrossTabulationResults
Variables
Pearson
Chi-Square
Value df Significance
CriminalHistory&Sentence 26.137 51 0.999DefendantRace&Sentence 3.851 6 0.697Age&Sentence 282 279 0.439County&Sentence 46.825 39 0.182OriginalChargeLevel&Sentence 7.627 3 0.05Recidivist 9.255 3 0.026
Therelationshipbetweencriminalhistoryandsentencewasnotstatisticallysignificant.Defendant’sraceandsentencedidnothaveastatisticallysignificantrelationship.Therelationshipbetweenageandsentencewasnotstatisticallysignificant.Thecountythedefendantwasprocessedinwasnotstatisticallyrelatedtothesentencevariable.Theoriginalchargeoffenselevelwasstatisticallyrelatedtothesentence.Whetherthedefendantwasarecidivistwasstatisticallyrelatedtothesentencevariable.Insum,itappearsfrombivariateanalysisthattheoriginalchargelevelandwhetherthedefendantwasarecidivistarerelatedtoandpotentiallyinfluence/predictsentencing.
BEFOREANDAFTERTHE2006SEXUALVIOLENCEPREVENTIONACTIn2006,VermontStateLegislatorspassedtheSexualViolencePreventionAct(SVPA).ThisactcreatedSpecialInvestigationUnitsacrossthestate;however,severalspecialinvestigationunitsalreadyexistedpriorto2006.BenningtonCountyhadsuchaunitin1989andChittendenCountycreatedonein1992.Othercommunitiesthoughdidnotcreatespecialinvestigationunitsuntilmuchlater.Figure18providestheyearinwhichspecialinvestigationunitswerecreatedthroughoutVermont21.Legislatorsalsoincreasedpenaltiesforforciblesexualassault.Thisreportalsoexaminedsexualassaultcaseprocessingkeepinginmindthislegislation.Unfortunately,thedataavailableforthisanalysisandreportdidnotprovideenoughinformationtoadequatelydetermineiftheSVPAimpactedsexualviolenceprosecutions.ThefollowinginformationispreliminaryandamorethoroughanalysisoftheSVPAshouldbeconducted.
21StateofVermont–FY121stQuarterStatisticsbySIU
20
Figure18:YearofCreationofSpecialInvestigationUnits
SexualAssault:PreandPost2006SexualViolencePreventionActFigure19presentsacomparisonofsexualassaultfilingsandsentencingpatternsbeforeandafterthepassageofthe2006SexualViolencePreventionAct.Statewideduringthestudyperiodof2004-2009,therewere363sexualassaultoriginalchargesfiledinDistrictCourts.PriortotheSexualViolencePreventionAct(2004-2006),therewere149(41%)sexualassaultchargesfiled.AftertheSVPA(2007-2010),214(59%)sexualassaultchargeswerefiled.TheaveragenumberofchargesfiledpriortotheSVPAwas49.6whiletheaveragenumberofchargesfiledaftertheSVPAwas53.5.Theaveragesarethemorecomparablenumberssincethepreandposterasdifferinlength.AccordingtoNIBRSdata,thenumberofforciblerapeswasdecliningpriortoSVPA.AfterthepassageofSVPA,thenumberofforciblerapesfluctuatedfromyeartoyear(seeFigure1earlierinthisreport).Theincreaseinfilingscouldbebecauseofthisfluctuationoritcouldbeduetothefactthatfouryearsofdatawasincludedinthepost-SVPAanalysiswhileonlythreeyearswereincludedinthepre-SVPAperiod.Ofthe81sexualassaultchargesthatendedinconvictionpriortoSVPA,27percent(22)weredisposedofbyguiltyplea,whiletwopercent(2)weredismissedbythecourt.Thebulkofsexualassaultcharges(64%,52)weredismissedbythestate.Sixpercent(5)wenttotrial.Attrial,two(40%)werefoundguilty.AfterSVPA,therewasfinalchargesandsentencinginformationfor122sexualassaultcharges.Sixteenpercent(19)ofthesexualassaultchargesweredisposedbyguiltypleawhiletwopercent(3)weredismissedbythecourt.Similartothepre-SVPA,overhalfofthedisposals
County YearAddison 2010Bennington 1989Calendonia 2008Chittenden 1992Essex 2009Franklin 1995GrandIsle 1995Lamoille 2007Orange 2008Orleans 2008Rutland 2007Washington 2008Windham 2007Windsor 2008
21
(71%,87)werebydismissalsbythestate.Elevenpercent(13)wenttotrial.Attrial,seven(54%)werefoundguilty.PriortoSVPA,sentencinginformationwasavailablefor24sexualassaultcharges.Forty-fivepercent(11)receivedincarcerationwhile29percent(7)receivedasplitsentence.Threereceivedprobationandthreereceiveddeferredsentences.AfterSVPA,sentencinginformationwasavailablefor26sexualassaultcharges.Ofthose14(54%)receivedincarceration,8(31%)receivedasplitsentence,and4(15%)receivedprobation.Therewerenodeferredsentences.
Figure19:PercentagesofSexualAssaultFilingsandSentencingBeforeandAfter
SexualViolencePreventionAct
AggravatedSexualAssault:PreandPostStatewideduringthestudyperiodof2004-2009,therewere90aggravatedsexualassaultoriginalchargesfiledinDistrictCourt.Figure20presentsacomparisonofaggravatedsexualassaultfilingsandsentencingpatternsbeforeandafterthepassageofthe2006SexualViolencePreventionAct.
0 20 40 60 80
ChargesFiled
DisposedofbyGuiltyPlea
DismissedbyCourt
DismissedbyState
Incarceration
SplitSentence
Percentage
AfterSVPA
BeforeSVPA
22
Figure20:PercentagesofAggravatedSexualAssaultFilingsandSentencesBeforeandAfter
SexualViolencePreventionAct
PriortoSVPA,therewerefinalchargesanddisposalinformationfor23aggravatedsexualassaultcharges.Ofthose26percent(6)weredisposedofbyguiltypleawhileonewasdismissedbythecourt.Sixty-fivepercent(15)weredismissedbythestate.Onlyoneaggravatedsexualassaultchargewenttotrial(foundguiltyattrial).AfterSVPA,therewerefinalchargesanddisposalinformationfor22aggravatedsexualassaults.Ofthose22percent(5)weredisposedofbyguiltypleawhileonewasdismissedbythecourt.Sixty-fourpercent(14)weredismissedbythestate.Twoaggravatedsexualassaultchargeswenttotrial.Attrial,bothwerefoundguilty.PriortoSVPA,sentencinginformationwasavailablefor7aggravatedsexualassaultcharges.Themajority(5)weresentencedtoincarceration.Onereceivedasplitsentenceandanotherreceivedprobation.AfterSVPA,sentencinginformationwasavailablefor7aggravatedsexualassaultcharges.Allofthose(100%)receivedasentenceofincarceration.
CaseStudy:ChittendenCountyTobetterdeterminethepotentialeffectsoftheSVPA,itwasdecidedtoexaminethelawfromtheperspectiveofonecounty.Asevidencedbythedataprovidedearlierinthisreport,ChittendenCountyhadthemostchargesforsexualassaultandaggravatedsexualassaultduringthestudytimeperiod.DataonavarietyofparameterswereavailableforChittendenCounty.AdditionallyChittendenCountyalreadyhadaspecialinvestigationunitpriortotheSVPAbecominglaw.ThereforeChittendenCountywasselectedforthecasestudyasitwouldprovideanopportunitytoseethelaw’simpactonacommunityalreadydoingwhatthelawintended.
0 20 40 60 80 100 120
ChargesFiled
DisposedofbyGuiltyPlea
DismissedbyCourt
DismissedbyState
Incarceration
SplitSentence
Percentage
AfterSVPA
BeforeSVPA
23
InlinewiththeparametersoftheSexualViolencePreventionAct,ChittendenCountyhastheChittendenUnitforSpecialInvestigations(C.U.S.I.)which“isamulti-agencytaskforcededicatedtoprovidingcriminalinvestigationsinresponsetoreportsofsexualassaultsandseriouschildabuse.22”Asmentionedpreviously,ChittendenCountyhaditsspecialinvestigationunitforover10yearspriortotheSVPAbecominglaw.TheSVPAdidnotimpactthefunctionalityoftheCUSI23;itsprocedures,policies,etc.werewellformedbythetimetheSVPAwentintoeffect.
SexualAssaultFinalchargesanddisposalinformationwasavailablefor38sexualassaultchargesinChittendenCountyduringthestudyperiod,2004-2009.Ofthose,17(45%)occurredbeforethepassageofSVPAand21(55%)occurredafteritspassage.PriortoSVPAinChittendenCounty,sixcharges(35%)weredisposedofbyguiltypleawhilenoneweredismissedbythecourt.Similartothestatewidedatatrends,mostofthedisposalswerebecausethestatedismissedthecharges.InChittendenCounty,ten(59%)weredismissedbythestate.Onlyonewenttotrial(foundguiltyattrial).AfterthepassageofSVPA,three(14%)ofchargesweredisposedofbyaguiltypleawhilenoneweredismissedbythecourt.Againmostcasesweredisposedbybeingdismissedbythestate.Eighteen(85%)ofsexualassaultchargesafterthepassageofSVPAweredismissedbythestate.Nonewenttotrial.Ofthe10chargesthatendedinconvictions(7-PriorSVPAand3-PostSVPA),three(43%)chargespriortoSVPAresultedinincarcerationsentences,two(29%)receivedsplitsentences,one(14%)receivedprobation,andone(14%)receivedadeferredsentence.AfterSVPAone(33%)chargeresultedinincarcerationandtwo(67%)resultedinsplitsentences.CaseprocessingpatternsweresimilarbeforeandaftertheSVPAinChittendenCounty.OverallbothbeforeandafterSVPA,thehighestcategoryofcasedisposalmethodwasbeingdismissedbythestate.Ifacasemadeitbeyondthatstage,itendedwithaguiltypleaorconviction.
AggravatedSexualAssaultFinalchargesanddisposalinformationwasavailablefor9aggravatedsexualassaultchargesinChittendenCountyduringthestudyperiod,2004-2009.Ofthose4(44%)occurredpriortoSVPAand5(55%)occurredafteritspassage.PriortoSVPAinChittendenCounty,two(50%)ofchargesweredisposedofbyguiltypleaandtheremainingtwochargesweredismissedbythestate.AfterSVPA,therewerenoguiltypleas.Threecharges(60%)weredismissedbythestatewhiletheremainingtwo(40%)chargeswent22http://www.cusi-vermont.org/23ThisinformationcamefromthecurrentDirectorofCUSI,anindividualwithover8yearsworkingforthatunit.
24
totrial.Attrial,bothwerefoundguilty.Ofthefourcharges(twopreandtwopost)thatendedinconvictions,allfourchargesresultedinincarcerationsentences.Aswithsexualassaultcaseprocessing,aggravatedsexualassaultcaseprocessinginChittendenCountywassimilarbeforeandafterSVPA.Ifacasewasn’tdismissedbythestate,itwouldendwithaguiltypleaorverdictandasentenceofincarceration.
CONCLUSIONKeyFindings:
• Betweentheyears2003-2010,over1,200sexoffenses(forciblerapesbyanadultoffender)werereportedtolawenforcement.
• Regardlessofthecircumstancesofthecrime,theproportionofdefendantsarrestedvs.citedremainsrelativelyequal.
• Overhalf(approximately63percent)ofsexualassaultandaggravatedsexualassaultconvictionsareforthesamecategoryofoffenseasthedefendantwasoriginallycharged.
• Themostcommonsentencesforsexualassaultandaggravatedsexualassaultconvictionsareincarceration,splitsentence,andprobation.
• Adismissalbythestatewasthelargestcategoryofdispositionsforallcharges.• Thereappearstobesomevariationinsentencingforsexualassault,whilethereislittle
variationforaggravatedsexualassaultsentencing.Thecountyvariablewasnotstatisticallyrelatedtothesentenceanoffenderreceived.
• AccordingtobivariateanalysisofcriminalhistorydatafromtheVermontCriminalInformationCenter(VCIC),theoriginalchargelevelandwhetherthedefendantwasarecidivistareinfluentialinsentencing,whilethedefendant’srace,criminalhistory,age,andcountydonotseemtohaveanyimpact.
• In2006,theVermontLegislaturepassedtheSexualViolencePreventionAct(SVPA).Apre-andpost-comparisonrevealedsimilarfinalcharges,disposalnumbers,andsentencing.
Adismissalbythestatewasthelargestcategoryofdispositionsforallcharges.Ofthesexualassaultandaggravatedsexualassaultchargesthatendedinconvictionthemajoritywereforthesameoffensecategoryandreceivedasentenceofincarceration.Theoriginalchargelevelandwhetherthedefendantwasarecidivistappeartobeinfluentialinsentencing.
Unfortunately,thedataavailableforthisanalysisandreportdidnotprovideenoughinformationtoadequatelydetermineiftheSVPAimpactedsexualviolenceprosecutions.SeveralfactorsmighthaveimpactedwhyitappearedthattheSVPAhashadlittleeffectonsexualviolencecharges,convictions,etc.First,itmighthavebeenthefactthatonlyafewyearshadpassedsincethelegislationbecamelawandpractitionersmightnothavehadadequatetimetomakechanges.Thisisespeciallyevidencedbythefactthatseveralcommunitiesdidnotestablishthespecialinvestigationunituntilyearsafterthelegislationpassed.Second,severalcountieshadspecialinvestigationunitslongbeforetheSVPA;thereforethelaw’seffectmighthavebeenlimited.Third,factorsotherthancriminaljusticepractitionersmightbethereasonforsimilarnumbersbeforeandafterthelaw.Sincesituationaland/orenvironmentalfactors
25
wereunavailable,thereisnowaytodetermineifthechargesfiled,casesdismissedbythestate,etc.beforeandafterthelawaresimilar.Forexample,therecouldhavebeenanimpactonthewayevidencewascollectedincertaintypesofcasesandthatmighthavemadeadifferenceonthechargesfiled,casesdismissed,andconvictions,butwithoutmoredetailsitishardtodeterminethelaw’seffect.FurtherresearchisneededtodeterminetheeffectivenessofSVPA24.Finally,thefactthatmostsexualassaultandaggravatedsexualassaultchargesweredisposedofbyadismissalbythestateshouldbeexaminedfurther.Agreaterunderstandingofwhyspecificallythisoccurscouldbetterinformcurrentpolicies,procedures,andfuturelegislation.
24Additionallyitwashopedthatthisreportcouldprovideanalysisoffactorsthatledtoprosecution.Unfortunately,thedataavailabletoresearchersdidnotincludethenecessaryinformationtoconductsuchanalysis.
26
Table1:SexualAssaultCountySummarySentencingStatistics
OffenseDate=FY2004-2009,DispositionDate=FY2004-
FY2010
AddisonCounty Min Max Mean S.D. NIncarcerationTotal
MinimumSentenceLength(years) 3.591 3.591 3.591 0.000 3MaximumSentenceLength(years) 99.000 99.000 99.000 0.000 3SplitTotal
MinimumSentenceLength(years) 5.000 5.000 5.000 - 1MaximumSentenceLength(years) 15.000 15.000 15.000 - 1DaystoServe 1,096 1,096 1,096 - 1
BenningtonCounty IncarcerationTotal MinimumSentenceLength(years) 1.169 40.000 17.930 19.069 10
MaximumSentenceLength(years) 1.253 99.000 46.055 45.854 10SplitTotal
MinimumSentenceLength(years) 4.000 5.000 4.500 0.707 2MaximumSentenceLength(years) 10.000 10.000 10.000 0.000 2DaystoServe 765 1,279 1,022 364 2
CaledoniaCounty IncarcerationTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1
MaximumSentenceLength(years) 6.000 6.000 6.000 - 1SplitTotal
MinimumSentenceLength(years) 3.000 3.000 3.000 0.000 2MaximumSentenceLength(years) 7.000 10.000 8.500 2.121 2DaystoServe 60 549 305 346 2
ChittendenCounty IncarcerationTotal MinimumSentenceLength(years) 2.505 8.000 4.376 2.495 4
MaximumSentenceLength(years) 12.000 99.000 37.750 41.007 4SplitTotal
MinimumSentenceLength(years) 1.000 3.000 2.001 0.817 4MaximumSentenceLength(years) 5.000 8.000 6.500 1.291 4DaystoServe 30 732 289 318 4ProbationTotal
MinimumSentenceLength(years) 2.000 2.000 2.000 - 1
27
MaximumSentenceLength(years) 5.000 5.000 5.000 - 1
EssexCounty SplitTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1
MaximumSentenceLength(years) 4.000 4.000 4.000 - 1DaystoServe 731 731 731 - 1
FranklinCounty IncarcerationTotal
MinimumSentenceLength(years) 10.000 20.000 14.000 5.292 3MaximumSentenceLength(years) 99.000 99.000 99.000 0.000 3SplitTotal
MinimumSentenceLength(years) 3.000 6.000 4.500 2.121 2MaximumSentenceLength(years) 12.000 99.000 55.500 61.518 2DaystoServe 90 2,192 1,141 1,486 2ProbationTotal
MinimumSentenceLength(years) 0.000 10.000 3.333 5.774 3MaximumSentenceLength(years) 20.000 20.000 20.000 0.000 3
GrandIsleCounty ProbationTotal MinimumSentenceLength(years) 4.000 4.000 4.000 - 1
MaximumSentenceLength(years) 8.000 8.000 8.000 - 1
OrangeCounty IncarcerationTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1
MaximumSentenceLength(years) 15.000 15.000 15.000 - 1ProbationTotal
MinimumSentenceLength(years) 1.000 1.000 1.000 - 1MaximumSentenceLength(years) 5.000 5.000 5.000 - 1
OrleansCounty IncarcerationTotal MinimumSentenceLength(years) 4.000 4.000 4.000 - 1
MaximumSentenceLength(years) 20.000 20.000 20.000 - 1
RutlandCounty IncarcerationTotal MinimumSentenceLength(years) 2.000 2.000 2.000 - 1
MaximumSentenceLength(years) 12.000 12.000 12.000 - 1
28
WashingtonCountyIncarcerationTotal
MinimumSentenceLength(years) 6.000 6.000 6.000 - 1MaximumSentenceLength(years) 99.000 99.000 99.000 - 1SplitTotal
MinimumSentenceLength(years) 4.000 4.000 4.000 - 1MaximumSentenceLength(years) 15.000 15.000 15.000 - 1DaystoServe 365 365 365
ProbationTotal MinimumSentenceLength(years) 3.000 3.000 3.000 - 1
MaximumSentenceLength(years) 15.000 15.000 15.000 - 1
WindhamCounty SplitTotal MinimumSentenceLength(years) 3.000 12.000 7.500 6.364 2
MaximumSentenceLength(years) 7.000 17.000 12.000 7.071 2DaystoServe 1,096 1,826 1,461 517 2
29
Table2:SexualAssaultDispositionTimeByCounty
OffenseDate=FY2004-
FY2009
AddisonCounty N
Mean#ofDaysto
Disposition
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 6 142.33TotalDisposedbyPlea 10 254.70TotalDisposedbyTrial 4 286.25Overall 20 227.30
BenningtonCounty
TotalDismissedbyCourt 2 90.00TotalDismissedbyProsecutor 29 203.86TotalDisposedbyPlea 25 287.91TotalDisposedbyTrial 3 315.00Overall 59 242.19
CaledoniaCounty
TotalDismissedbyCourt 1 161.00TotalDismissedbyProsecutor 8 253.87TotalDisposedbyPlea 8 276.50TotalDisposedbyTrial 0 -Overall 17 259.06
ChittendenCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 31 306.77TotalDisposedbyPlea 43 257.60TotalDisposedbyTrial 1 258.00Overall 75 277.93
EssexCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 0 -TotalDisposedbyPlea 1 671.00TotalDisposedbyTrial 0 -
30
Overall 1 671.00
FranklinCounty TotalDismissedbyCourt 0 -
TotalDismissedbyProsecutor 24 208.96TotalDisposedbyPlea 20 253.95TotalDisposedbyTrial 2 504.50Overall 46 241.37
GrandIsleCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 1 157.00TotalDisposedbyPlea 3 140.00TotalDisposedbyTrial 0 -Overall 4 144.25
LamoilleCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 4 448.25TotalDisposedbyPlea 5 222.60TotalDisposedbyTrial 1 716.00Overall 10 362.20
OrangeCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 5 315.60TotalDisposedbyPlea 4 336.25TotalDisposedbyTrial 0 -Overall 9 324.78
OrleansCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 6 348.83TotalDisposedbyPlea 4 385.25TotalDisposedbyTrial 1 365.00Overall 11 363.55
31
RutlandCountyTotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 3 351.33TotalDisposedbyPlea 2 331.00TotalDisposedbyTrial 0 -Overall 5 343.20
WashingtonCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 7 227.43TotalDisposedbyPlea 6 329.83TotalDisposedbyTrial 2 643.00Overall 15 323.80
WindhamCounty
TotalDismissedbyCourt 1 330.00TotalDismissedbyProsecutor 18 308.72TotalDisposedbyPlea 8 356.25TotalDisposedbyTrial 2 328.00Overall 29 323.90
WindsorCounty
TotalDismissedbyCourt 0 -TotalDismissedbyProsecutor 8 176.25TotalDisposedbyPlea 11 209.55TotalDisposedbyTrial 0 -Overall 19 195.53