SCOTUS, No. 84-6811 - Social Science Amicus Brief Vol. 1 of 2 (Redacted)
Working File
August 14, 1986 - August 21, 1986
125 pages
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Case Files, McCleskey Background Materials. SCOTUS, No. 84-6811 - Social Science Amicus Brief Vol. 1 of 2 (Redacted), 1986. 72c905e4-63cc-ef11-b8e8-7c1e520b5bae. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/68e70cfc-54b2-40c7-8d6a-ef97c70fdc39/scotus-no-84-6811-social-science-amicus-brief-vol-1-of-2-redacted. Accessed October 08, 2025.
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SUPREME COURT OF THE UNITED
October Term,
RALPH M. KEMP, Superintendent,
Georgia Diagnostic & Classi
Center.
On Writ of Certiorari To The United States
_Court of Appeals for the Eleventh Circuit
MOTION FOR LEAVE TO
FILE BRIEF AMICI CURI
Franklin M.
Lempert, Dr. Peter W.
leave
. Richard O.
, Dr. Marvin
SUPREME COURT OF THE UNITED STATES
October Term, 1985
ication
'o The Unite
he Eleventh
On Writ of Certiorari
_Court of Appeals for
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MOTION FOR LEAVE TO
FILE BRIEF AMICI CURIAE
ichard O. oO
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Lempert, Dr. Peter W. Sperlich, Dr. Marvin
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. Wolfgang, Professor Hans Zeisel and
Professor Franklin E. Zimring respectfully
move, pursuant to Rule 36.3 of the Rules of
the Court, for leave to file the attached
prie amicl curiae 1n support ol the
d= 5 d= .] qT =~ -~ . mm ~ a petitioner in this case. The consent of
- 1 & 7 = - ~ = ¥ - counsel ror the petitioner has been
respondent was reguested but refused,
necessitating this motion.
my £ —
<4 [his ase involves one of the most
ever to come before the Court. The
questions are of great national
significance, and the value and
nificance of social science evidence has
been a central issue in the case. Amici
curiae include an economist, statisticians
and social scientists who have devoted much
of their professional lives to economic and
social science research for legal ends.
They are eminent in their respective
|
fields. Their professional areas of
concentration, which are briefly outlined
below, demonstrate a strong and continued
~y
interest by amici in the proper legal use
of social scientific evidence such as that
presented here.
While the outcome of the 1iti
ultimately turn on constitutional issues
beyond the expertise of amici, it would be
highly regrettable, they respectfully
suggest, if the Court's judgment on those
legal questions were hampered by any
misapprehensions concerning the findings
reported in the Baldus studies. Such
misapprehensions, in their judgment, have
distorted the res 0 be
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courts below. In the event this Court
should decide that the racial disparities
3
in capital sentencing demonstrate
Professor Baldus are insufficiently large
to invoke Eighth or Fourteenth Amendment
protection, it ought not "to do "sO by
seriously underestimating the magnitude or
significance of those racial disparities,
as did the lower courts. Nor should it
~
Po
resolve the claims of the parties without
some basic understanding of the validity
and soundness of the Baldus research.
Amici therefore intend to limit their
submission to the two issues on which their
views might be most helpful to the Court:
and (il) the essential validity and
soundness of these studies.
The competence of amici to address
these issues stems from their distinguished
professional work in the areas of
econometrics, statistics, researct
methodology and criminal justice issues.
Dr. Fisher is Professor of Economics at the
Massachusetts Institute of Technology. He
ba
O os
0 0 rt
y
a
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tion's most distinguished
~
consulted on a wide range of econometric
and legal issues for over three decades.
His article Multiple Regression in Legal
- KS Qn 1-7 xq = J ~ 1 To \ Proceedings, 80 Colum. L. Rev. 702 (1980)
| fj —— E — pn LSE i ~ . j Pa. i - NS has had a majo: influence on the judicial
ca of doom d= 3 ond 5 + 1 ~ J | Bp
use OX Statistica. metnoas, and nis
the legal context of
issues has provided
at the
of Law.
widely on a
punishment. He has served on
boards of several
and he ha
term as the editor
ofessional journals including the Journal
Law and Human Behavior
recently completed
Q for
fe
de
(o
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fe
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of Sociology
has studied and
riety of legal and
<i ncluding c
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Social Science:
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He is a former president of the American 0}
Professor Hans Zeisel 1s Emeritus
Professor of Law and Sociology and
Associate of the Center for Criminal
Justice Studies at the University of
Chicago. Professor Zeisel is co-author of
of the most influential empirical studies
of the legal system ever published.
Professor Zeisel's empirical research on
the functioning of juries was relied upon
by this Court in Ballew v.
U.5.:.223 (1978).
and Director of the Earl Warren Institute
Berkeley. Professor Zimring has written
1stice issues, bo
o
C
e
~
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7) extensively on crimina
including juvenile crime and sentencing,
the deterrent value of punishment, and the
Pa
control of firearms. Professor Zimring
ct
served as
In view of their
New York,
21,
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Flrearms
Causes
also served as consultant
before the Court and
motion
this brief
M
8
amici
or of Research for
and
amici curiae believe
of assistance
and
MARTIN 1
ecora
INKELSTEI
CHMAN *
1 NOY. 10004
2-8180
Prevention
H
competence
the Court
curiae.
DTM A -
. RICHMAN
TDM ry Tm jr) mre TINTTTET = me
SUPREME COU 1 OF i105 UNITED STATES
WARREN McCLESKEY,
- RALPH M. KEMP, Superintendent
Georgia Diagnostic ]
Center.
To The United States
the Eleventh Circuit
' DR. FRANKLIN M.
D 0. LEMPERT,
rv. - DR. MARVIN E.
WOLFGANG, PROFESS HANS ZEISEL &
PROFESSOR FRANKLIN E. ZIMRING
issue: are a Series of state decisions and
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research. This is, in sum, the kind o
research that social scientists know how to
do, and it can be critically evaluated
according to well-established standards
with considerable conf
The racial results of the Baldus
: Georgia defendants
white, especially blac
are black. These remarkable results do not
A — —- = -~ - PAE Pap, J. SE dom nF end pen disappear after searching statistical
2
analysis. Neither chance nor any
legitimate sentencing considerations can
explain the powerful influence of these
racial factors.
The Baldus studies were obviously
conducted in careful compliance with
accepted study techniques. Their design
and execution appear to have been
meticulous and their analytical methods are
appropriate. This is among the best
empirical studies on criminal sentencing
ever conducted, and its results are
entitled to a high degree of confidence.
ct
The lower courts nevertheless displayed
a profound and unwarranted mistrust of the
Baldus studies and a misunderstanding of
their results. The District Court judged
the Baldus data sources by unrealistic and
unjustified standards. It guarreled with
data collection and coding methods that are
rt
well-established and widely used.
evinced a hostility towards methods of
statistical analysis -- especially multiple
regression analysis -- that is utterly
unwarranted. It expressed a skepticism
toward techniques of statistical modeling,
especially analyses conducted with smaller
models, that is uninformed and
indefensible. faulted Baldus fe
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results on a variety of minor statistical
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grounds. ‘these reflect at best a partial
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the deficiencies that can o~
inderstanding o
afflict such research and a failure to
those problems actually affected the
essential findings reported by the studies
before it. As a result of this series of
errors, the District Court inappropriately
devalued a first-rate empirical work
shedding significant light on the issue
The Court of Appeals, by contrast,
implications of their results. Yet that
court seems seriously to have misunderstood
the magnitude of the racial effects Baldus
reported -- misconceivin
size of the racial disparities and their
relative significance as a force in Georgia
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of Appeals, even while purportedly
accepting the Baldus research, demanded a
level of certainty that exceeds the powers
of any statistical research to achieve.
The Baldus results in fact demonstrate
that racial factors -—- race of the
defendant in white-victim cases and race of
the victim throughout -- played a real,
substantial and persistent role in death-
Georgia during the period studied. The
State's evidence did not contradict these
strong findings, which replicate the less
detailed, though similar conclusions
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Defendant/V- Death %
ictim Penalty Rate
black/white 50/233 22
white/white 58/748 8
black/black 18/1443 3
white/black 2/60 3
* * # r * % ke ¥ *
white victim 108/981 11
black victim 20/1503 1
In particular, as the table shows,
blacks who killed whites are sentenced to
blacks who killed blacks and more than 7
times the rate for whites who killed
blacks. The capital sentencing rate for
all white-victim cases is almost 11 times
the rate for all black-victim cases.
Unless there is an extraordinarily perfect
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confounding with other factors correlated
with race, the very large racial
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penalty,
104) of
received
percent
murdered
entencing
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sentencing rates were due
onfounded with race,
or example, in
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more than 2.5 times
Former Ga. Code Ann.
8
such sentences in black-on-black cases in
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category. When Professor Baldus
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separated out only those, like Mc(
whose contemporary felony was armed
robbery, the disparities were even more
stark: 34 percent (42/123) of blacks who
killed whites received a death sentence,
while only 5 percent (3/57) of blacks who
killed blacks did. (See DB 87). These
0 ross—-tabulations tell the basic story of
the magnitudes of racial effects. Felony
murders with white victims produce death
sentences in Georgia more than twice as
often as felony murders with black victims.
This basic finding, alone, is strong
evidence of racial impact.
The data from this study not only
establish the fact of racial discrimination
but tell us largely where it occurs.
Other cross-tabular results reveal
noticeably different treatment of cases, by
race, at various points in Georgia
9
£11 3 on A - avzamn 1a addraca ine
following table, rOX exXamnp.ie, addressing
conviction had been obtained, reveals, b
racial category, the rate at which the
chose to advance cases To a
capital sentencing hearing -- where a death
sentence was a possible outcome -- rather
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clan permit an auionaltlc Jlie sentence.
blac Ea > fF A black/white .70 (87/124)
3 3 x J on OQ /2A1 9 white/white +32: 199/312)
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(DB 94). Thus even among convicted black
defendants, where strength of the evidence
factors presumably no longer plaved a ma
role, Georgia prosecutors advanced black
defendants to a penalty trial, if their
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victims were black, and over three times
the rate of whites who killed blacks (.70
vs. 15)
Because there were insufficient numbers
ases, Baldus could not use cross- oO Fh
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tabulations to control simultaneously for
all combinations of possible confounding
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factors. This bo
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a common problem in
social science research, and to deal with
it, he resorted to multiple regression in
the forms of weighted least squares and
logistic regressions. These are standard
statistical methods For this type of
analvsis. Both forms of analvsis showed
Q Je
d substantial raci disparities in capital
sentencing rates. It is important to place
the regression effort accurately in the
context of the larger study. The
regression exercise is intended to check
the basic results established by cross-
tabulation against a wide variety of
possible alternative explanations—-
4 4
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hundreds of variables in the Baldus study.
The basic finding is that white-victim
cases are still more than twice as likely
to produce death sentences when all these
other factors are accounted for. Among the
regression results reported are many highly
statistically significant regression
coefficients for the race of the victim and
the race of the defendant, employing
statistical models of varying sizes. (See
DB 83). These results indicate that racial
factors have an independent influence on
death-sentencing rates after the effects of
all other legitimate sentencing variables
included in the models have been taken into
account.
In its discussion of the magnitude of
the average race-of- victim effect in
Georgia's capital sentencing system, the
Court of Appeals focused almost exclusively
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tyled a "6%" disparity. This bh &
figure was presumably derived from the .06
r
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least squares regression coefficien
estimated for the race-of-victim variable
in the 230 variable large scale multiple
regression model in the Baldus studies.
(DB 83). The court interprets this "6%'
average disparity to mean that "a white
victim crime is 6% more likely to result in
the [death] sentence than a comparable
black victim crime." McCleskey v. Kemp, 753
A
Z. 896 (11th Cir. 1985) (en banc). =~
] F.2d. .8
The implication of the statement is that
the death sentencing rate in white victim
cases would on average be 6% higher than
the rate for similarly situated black-
victim cases. Thus, for example, if the
death sentencing rate in a given class of
black victim cases were 10%, the white
victim rate would be 6% higher or 10.6%
Such an interpretation is incorrect and
highly misleading. The .06 race of victim
regression coefficient indicates that the
average death-sentencing rate in the system
13 a
is ©6 percentage points higher in white-
victim cases than it is in similarly
have seen, the percentage increase in the
rate is much greater because the base rates
Ter ve 9 en he heme 3 ~V~ oy Having misunderstood the basic results
implications of those results for
McCleskey case. To understand these
implications, one has tO focus on the
disparity in sentencing rates disclosed by
the studies for aggravation levels
comparable to those in McCleskev's case.
One can do this by looking at disparities
in capital sentencing rates at the average
cases (of which McCleskey's 1s one) or
more precisely at the cases in the mid-
range of aggravation (of which McCleskey is
also one). We examine both below.
The overall death-sentence rate in
white-victim cases is 11%. Since the
weighted least squares regression model
cited by the Court of Appeals tells us that
the overall rate in comparably aggravated
black-victim cases is six percentage points
less, the rate in such cases is estimated
at five percent. Thus, at the average level
of aggravating circumstances represented by
the white-victim cases, the rate of capital
sentencing in a white victim case is 120%
greater than the rate in a black-victim
case. Or to state the results slightly
differently: in six out of every 11 death
penalty cases in which the victim was
white, race-of-victim was a determining
aggravating factor in the sense that the
defendants would not have received the
death penalty if the victims had been
black.
The Court of Appeals properly points
out that the race-of-victim effect is
concentrated at the mid-range, where it is
approximately 20 percentage points. In
that range, the average death sentencing
rates (calculated from DB 90: col. D,
levels 3-7) is 14.4% for black-victim cases
and 34.4% for white-victim cases, an
increase of 139%. This means that out of
every 34 death-penalty cases in the mid-
range in which the victims were white, 20
defendants would not have received a death
penalty if their victims had been black.
McCleskey's case is, of course, a
white-victim, death- penalty case that is
in the mid-range in terms of aggravting
circumstances. Since the statistical
results show that in a ma
cases the death penalty would not have been
imposed if the victim were black, 1it is
appropriate to conclude that in McCleskey's
case (as in others of the same class) it is
1 more likely than not that the victim's race
was a determining aggravating factor in the
imposition of the death penalty. This,
obviously, is not a "marginal" difference.
THE BAL DUS STUDI DIES EMPLOYED EXCELLENT,
PROFESSIONAL METHODS OR EMPIRICAL
RESEARCH AND PRODUCED STRONG, RELIABLE
FINDINGS ON THE ROLE OF RACE IN
GEORGIA'S CAPITAL SENTENCING SYSTEM.
The
Court of Appeals, appear to have rejected > a o
the Baldus studies bt
= large measure because
of their misapprehensions about the quality
of the data gathered or the statistical
et
methods employed to analyze that data. In
our opinion, these reservations are
unwarranted: the design of the research
followed accepted scientific practice, the
research was carried out in a careful and
thorough manner, the statistical methods
employed were appropriate -- and the
results, consequently, are reliable.
The District Court's opinion, in
particular, raised a series of objections
to empirical methods and procedures, almost
y
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T wo pl JP Pp wn " - 1 - ~ Ny PR None of aldus' many models, even those
with over 230 variables, were deemed
sufficiently inclusive in the District
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Lnese objections are fundamentally
mT oe Tamar { om Eo Pa eu 1 5 4 ~ += misplaced. One essential quality £
~ de om 34 a P= - qe Ss qT =e FT - dm d= on 1 statistical analysis 1s its power to tell
phenomenon, with
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great rellablliity, without the necessity 01
especially when SO many legitimate
10
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variables were taken into account -— is
negligible. For any unaccounted for Ie
variables actually to make a difference in
the Baldus findings, it would have to
dimninish a death sentencing rate in white-
victim, felony murder cases more than
double that of black-victim cases. It is
extremely unlikely that any factor that
powerful has been overlooked in this study.
Q
By insisting on a standard of "absolute
knowledge" about every single case, the
District Court implicitly rejected the
value of all applied statistical analysis.
The District Court also expressed
general skepticism toward a range of well-
established social scientific methods
employed by Baldus, including multiple
regression analysis, which it found "ill
suited to provide the Court with
circumstantial evidence of the presence of
discrimination.” Id. at 372 (emphasis
omitted). Indeed the only statistical
method that the District Court did seem to
acknowledged that the inherent nature of
1 “wes 1 I] - ve my she our ame T Yer impossible to get any statistically
(emphasis omitted). This preference for
cross—tabular methods lacks any scientific
rvs yr) & » Tt 7 Ply cv " hel - xl n= 9 Toy foundation. Baldus' methods ar clearly
Finally, in evaluating Baldus' results,
the District Court seized upon a somewhat
confused welter of statistical issues,
including Baldus' conventions for coding
"unknown" data, id. at 357-59, the possible
- 1 vy — Lp] . - - -.
363-64, and the reported R<4 of his model,
ultimate conclusion that Baldus' results
cannot be relied upon. However, Baldus and
20 a
Hh
his colleagues satisfactorily addressed
each of these concerns and demonstrated
that the racial results were not adversely
affected by them. Baldus not only employed
the correct method of treating "unknowns";
he also conducted alternative analyses to
rt
demonstrate tha racial influences
persisted irrespective of the method of
treatment adopted. Multicollinearity
undoubtedly did affect some of the larger
models employed by Baldus, but the District
Court failed to realize that the presence
of multicollinearity would not change the
estimate of the racial results reported.
inally, the court's
concern with the reported R44 of Baldus'
models is unfounded. Apart from the
questionable relevance of the R
for logistic models of the type he used an
R¢ of .40 or higher is quite acceptable.
In sum, since the District Court's
the legal consequences
research.
of social scienti
90, the Cou announced
validii ralidity
yff-target.
Appeals took
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the Baldus
> evidence,
"that generalized
Teng
use
deciding whether a particular defendant has
been unconstitutionally sentenced to death
. [and] at most are probative of how
Id. at 893. That observation misses the
point. Although statistics cannot
determine with absolute certainty whether
any individual defendant has been sentenced
to death because of race, statistical
evidence can determine with great
reliability whether racial factors are
playing a role in the sentencing system as
a whole. Baldus' studies provide just such
evidence.
When he Court turns to Baldus'
studies, it relies almost entirely upon one
summary figure drawn from the entire body
of results -- a reported .06 disparity by
race of wvictim in overall death-sentencing
rates. As we showed above, this was but
one of a number of important, meaningful
results indicating a consistent racial
presence in the state of Georgia's capital
sentencing system. Moreover, as also
demonstrated earlier, the Court of Appeals
seemed fundamentally to have misunderstood
the magnitude and significance even of thi 0)
single result upon which it focused.
Although Baldus has been conservative
in his findings, the adjusted influence of
racial factors on Georgia's capital
sentencing system, remains both clear and
significant. Race, especially the race of
the victim, plays a large and recognizable
part in determining who among Georgia
defendants convicted of murder will be
sentenced to life and who among them will
be sentenced to death.
CONCLUSION
The contributions of social scientific
evidence to the resolution of legal issues
has increased significantly in recent
decades, as statistical methods have
improved and the confidence of the courts
has grown. This Court has led the lower
federal courts toward an appreciation of
the nature of statistical evidence, and has
developed legal principles -- including
standards o
,
A proof
understanding of the powerful utility of
Ay
T 3 =n 3 - —~ 1 ps - a em. -
rellable socilal scientific evidence.
fe
+
e.g., Hazelwood School Dist
ry > - ~ A ” 4 f= ; “ ~y ~y Tey 3 += ~ — om A 2 TI 0 1 OQ 7 3 ~ nied states, ao 1 UD, fo (1977); see
i : 7 } Z72aA8 2 ~ "AQ fF ™ i 8.850 Segar V. Smith, 738 F.2d 1249 (D.C.
1980), vacated
Cleskey insists
believe,
complex
come
-
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MART PANS
model
proper].
before
New
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YOIrK
1986
CHAEL
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422-8180
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of methodological
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submitted,
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CERTIFICATE OF SERVICE
TI herel Cc vv ifv That: 1 ay a member of ~ nerepy certity that ii am a mnmemoer OL
the bar of this Court, anc that I served
the 3 exved Motio for I ve t File Brief cle annexed MOotTlion 1or Leave OO Fl1lil€ hHhrlieél
Amici Curiae and Brief Amici Curiae on the
parties by placing copies in the United MAL LATO M4 ’ wh “ . | JB - ot 4 LW | Vill WA
= . a 3 wr gu B - 31 op States mail, first class mail, postage
addressed
John CharlesBoger
-
as follows: wb
’
NAACP Legal Defense Fund
99 Hudson Street
New York, New York 10013
Mary Beth Westmoreland, Esd.
132 State Judicial Building
40 Capitol Square, S.W.
Atlanta, Georgia 30334
Done this _ = day of August, 1986.
MARTIN F. RICHMAN
-
& 1) w]
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WARREN McCLESKEY,
Petitioner,
-y. =
RALPH M. KEMP, Superintendent,
Georgia Diagnostic & Classification
Center.
On Writ of Certiorari To The United States
Court of Appeals for the Eleventh Circuit
MOTION FOR LEAVE TO
FILE BRIEF AMICI CURIAE
Dr. Franklin M. Fisher, Dr. Richard O.
Lempert, Dr. Peter W. Sperlich, Dr. Marvin
E. Wolfgang, Professor Hans Zeisel and
Professor Franklin E. Zimring respectfully
move, pursuant to Rule 36.3 of the Rules of
the Court, for leave to file the attached
T
T
T
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WARREN McCLESKEY,
Petitioner,
-,-
RALPH M. KEMP, Superintendent,
Georgia Diagnostic & Classification
Center.
On Writ of Certiorari To The United States
Court of Appeals for the Eleventh Circuit
MOTION FOR LEAVE TO
FILE BRIEF AMICI CURIAE
Dr. Franklin M. Fisher, Dr. Richard O.
Lempert, Dr. Peter W. Sperlich, Dr. Marvin
E. Wolfgang, Professor Hans Zeisel and
Professor Franklin E. Zimring respectfully
move, pursuant to Rule 36.3 of the Rules of
the Court, for leave to file the attached
No. 84-6811
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WARREN McCLESKEY,
Petitioner,
-_y a.
RALPH M. KEMP, Superintendent,
Georgia Diagnecstic & Classification
Center.
On Writ of Certiorari To The United States
Court of Appeals for the Eleventh Circuit
MOTION FOR LEAVE TO FILE BRIEF AMICI CURIAE
AND BRIEF AMICI CURIAE FOR DR. FRANKLIN M. FISHER,
DR.. RICHARD O. LEMPERT?, DR, PETER W. SPERLICH,
DR. MARVIN E. WOLFGANG, PROFESSOR HANS ZEISEL
& PROFESSOR FRANKLIN E. ZIMRING IN SUPPORT OF
PETITIONER
MICHAEL O. FINKELSTEIN
MARTIN F. RICHMAN *
BARRETT SMITH SCHAPIRO SIMON
& ARMSTRONG
26 Broadway
New York, New York 10004
(212) 422-8180
ATTORNEYS FOR AMICI CURIAE
* Counsel of Record
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WARREN McCLESKEY,
Petitioner,
-.
RALPH M. KEMP, Superintendent,
Georgia Diagnostic & Classification
Center.
On Writ of Certiorari To The United States
Court of Appeals for the Eleventh Circuit
MOTION FOR LEAVE TO
FILE BRIEF AMICI CURIAE
Dr. Franklin M. Fisher, Dr. Richard 0. Lempert, Dr. Peter
W. Sperlich, Dr. Marvin E. Wolfgang, Professor Hans Zeisel and
Professor Franklin E. Zimring respectfully move, pursuant to Rule
36.3. 0Ff. the Rules of the Court, for leave to file the attached
brief anlicl curiae In support of ‘the petition. for certiorari
filed In this case. The consent of counsel for the petitioner
has been obtained. The consent of counsel for respondent was
requested but refused, necessitating this motion.
This case involves one of the most carefully studied
criminal justice issues ever to come before the Court. The
underlying constitutional and policy questions are of great
national significance, and the value and significance of social
science evidence has been a central issue in the case. Amici
curiae include an economist, statisticians and social scientists
who have devoted much of their professional lives to the correct
use of economic and social science research for legal ends. They
are eminent in their respective fields. Their professional areas
of concentration are briefly outlined below, and demonstrate a
strong and continued interest by amici in the proper legal use of
social scientific evidence such as that presented here.
While the outcome of the litigation will ultimately turn on
consitutional issues bevond the expertise of amici, it would be
highly regrettable, they respectfully suggest, if the Court's
judgment on those legal questions were hampered bY any
misapprehensions on the data collected in the Baldus studies.
Such misapprehension, in their judgment, has distorted the
resolution of the case by the courts below. While this Court may
decide that the racial disparities in capital sentencing
demonstrated by Professor Baldus are of insufficient magnitude to
invoke Eighth or Fourteenth Amendment protection, it ought not to
do so by seriously underestimating the magnitude or significance
of those racial disparities, as did the lower courts. Nor should
it resolve the claims of the parties without some basic
understanding of the validity and soundness of the Baldus
research.
Amici therefore intend to limit their submission to the two
issues on which their views might be most helpful to the Court:
(i) the significance of the racial disparities reported in the
Baldus studies, and (ii) the essential validity and soundness of
these studies.
The competence of amici to address these issues stems from
their distinguished professional work in the areas of
econometrics, statistics, research methodology and criminal
justice issues. Dr. Fisher is Professor of Economics at the
Massachusetts Institute of Technology. He is one of the nation's
most distinguished econometricians, having taught, written and
consulted on a wide range of eccnometric and legal issues for
over three decades. His legal writings, including his article
Multiple Regression in Legal Proceedings, SO Colum. “L. Rev.
(1980) have had a major influence on the judicial use of
statistical methods, and his research on sentencing guidelines
and on economic issues In a legal context provided major
empirical contributions to the fields of law and economics.
Dr. Lempert is Professor of Sociology at the University of
Michigan and a former Professor of Law. He has studied and
written widely on a variety of legal and criminal justice issues,
including capital punishment. He has served on the editorial
boards of several distinguished professional journals including
the Journal of Law and Human Behavior and Education Review, and
has recently completed a term as the editor of Law & Society
Review. His most recent book is An Invitation to Law and Social
Science: Desert, Disputes and Distribution (1986).
Pr. Speriich ls Professor of Political. Science at the
University of California at Berkeley. Dr. Sperlich has taught,
consulted and published widely on many criminal justice issues,
including the role of juries and the use of scientific evidence
in legal settings. His writings were cited prominently by the
Court of Appeals in McCleskev v. Kemp.
Dr. Wolfgang is Professor of Criminology and Criminal Law
and Director of the Center for tudies in Criminology and
Criminal Law at the University of Pennsylvania. During his
distinguished career, Dr. Wolfgang has made numerous
contributions to the development of empirical research on legal
issues. His pioneering study on the influence of racial factors
in the imposition of death sentences for rape was the object of
intensive legal examination during the Maxwell Vv. Bishop
litigation of the 1960s. He is a former president of the American
Society of Criminology.
Professor Hans Zeisel is Emeritus Professor of Law and
Sociology and Associate of the Center for Criminal Justice
Studies at the University of Chicago. Professor Zeisel is co-
author of The American Jury, widely recognized as one of the most
influential empirical studies of the legal system ever published.
Professor Zeisel's empirical research on the functioning of
juries was relied upon by this Court in Ballew v. Georgia, 435
B.S. 233 (1978).
Professor Zimring is Professor of Law and Director of the
Earl Warren Institute at Boalt Hall, University of California at
Berkeley. Professor Zimring has written extensively on criminal
justice issues, including juvenile crime and sentencing, the
deterrent value of punishment, and the control of firearms.
Professor Zimring served as Director of Research for the Task
Force on Firearms of the National Commission on the Causes and
Prevention of Violence, and has also served as consultant to many
private and public organizations.
In view of their long-standing interest in the issues before
the Court and their extraordinary professional competence to
address those issues, amici curiae believe that their views might
be of assistance to the Court. They therefore urge the Court to
grant their motion and permit the submission of this brief amici
curiae.
Dated: New York, New York
August 21, 1986
Respectfully submitted,
MICHAEL O. FINKELSTEIN
MARTIN F. RICHMAN *
Barrett Smith Schapiro
Simon & Armstrong
26 Broadway
New York, New York 100C4
(212) 422-8180
ATTORNEYS FOR AMICI CURIAE
BY:
MARTIN F. RICHMAN
*Attorney of Record
No. 84-6811
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1985
WARREN McCLESKEY,
Petitioner,
-Vo.e™
RALPH M. KEMP, Superintendent,
Georgia Diagnostic & Classification
Center.
On Writ of Certiorari To The United States
Court of Appeals for the Eleventh Circuit
BRIEF AMICI CURIAE OF DR. FRANKLIN M. FISHER,
DR. RICHARD O. LEMPERT, DR. PETER W. SPERLICH,
DR. MARVIN E. WOLFGANG, PROFESSOR HANS ZEISEL
& PROFESSOR FRANKLIN E. ZIMRING
SUMMARY OF ARGUMENT
The factual issues presented by this case are among thcse
that can be tested by established methods of social science.
resolution. At issue are a series of careful State decisions and
actions carried out, in a single state over a limited period of
time. The sources of information about those decisions were, in
this case, Official state files containing unusually rich and
detailed data. The scientific techniques for the collection and
analysis of such data are well-developed and are highly reliable.
Furthermore, the profession has developed criteria for the
evaluation of such research. This is, in sum, the sort of
research social scientists know how to do and it can De
critically evaluated according to well-established standards with
considerable confidence.
The racial results of the Baldus research are striking:
Georgia defendants whose victims are white, especially black
defendants, face death-sentencing rates many times higher than
those whose victims are black. These remarkable results do not
disappear after searching statistical analysis. Neither chance
nor other, legitimate sentencing considerations, can explain the
powerful influence of these racial factors.
The Baldus studies were obviously conducted in careful
compliance with accepted study techniques. Their design and
execution appear to have been meticulous and their analytical
methods are appropriate. This is among the best empirical studies
on criminal sentencing ever conducted, and its results are
entitled to a high degree of confidence. That confidence should
be increased by the fact that other studies, made subsequent to
Baldus' work, have reached essentially similar conclusions.
The lower courts nevertheless displayed a profound and
unwarranted, mistrust of the Baldus studies and a
misunderstanding of their results. The District Court judged the
Baldus data sources by standards that are unrealistic and
unjustified. It quarreled with data collection and coding
methods that are well-established and widely used. It displaved
hostility towards methods of statistical analysis -- especially
multiple regression analysis -- that is utterly unwarranted. It
expressed a skepticism toward techniques of statistical modeling,
especially those involving smaller models, that is uninformed and
indefensible. Finally, it faulted Baldus's results on a variety
of minor statistical grounds that reflect at best a partial
understanding of the deficiencies that can afflict such research
and a failure to appreciate the negligible extent to which those
problems affected the essential findings reported by the Baldus
study before it. As a result of this series of errors, the
District Court has inapprropriately devalued a first-rate study
that sheds significant light on the issue before it.
The Court of Appeals, by contrast, purported to accept the
validity. of. the Baldus studies and address the legal
imprlications of their results. Yet that court seems seriously
to have seriously misunderstood the magnitude of the racial
effects Baldus reported -- misconceiving both the actual size of
the racial disparities and their relative significance as a force
in Georgia sentencing decisions. Further, the Court of Appeals,
even while purportedly accepting the Baldus research, demanded a
level of certainty that exceeds the powers of any statistical
research to achieve.
The Baldus results in fact demonstrate that racial factors-
- race of the defendant in white victim cases and race of the
victim throughout -- played a real, substantial and persistent
role in death-sentencing decisions in the State of Georgia during
the period studied. The State's evidence did not contradict
these strong Baldus findings, which replicate the less detalled,
though similar conclusions reached in other studies. Whatever
the legal implications of these facts, they should be accepted as
proven to scientific satisfaction.
ARGUMENT
I.
THE BALDUS STUDIES DEMONSTRATE THAT IN THE
CASES STUDIED, THE RACE OF THE HOMICIDE
VICTIM HAS BEEN AN IMPLICIT AGGRAVATING
CIRCUMSTANCE WITH A SUBSTANTIAL IMPACT
ON THE RATE OF CAPITAL SENTENCING
The unadjusted results reported by Professor Baldus for the
various combinations of race-of-defendant and race-of-victim in
the State of Georgia are these:
a Defndas Who
VA. Ceive The
Defendant/¥ictim Death Penalty %
©
black/whi KS > 50233 + of g2
white/whife 58/748 od 3
black/blackems> 187TTTs out &F ]
white/black 2 60 ———ou tof 2
17 vidgtim : 108¢7981 0] 13
black vigtim 20/1503 o 1
In particular, as the table shows, blacks who killed whites
are sentenced to death at nearly 22 times the rate of such
sentences for blacks who killed blacks and more than 7 times the
rate of such sentences for whites who killed blacks. The capital
sentencing rate for all white victims is almost 11 times the rate
for .all black victims, Unless there is an extraordinarily
perfect confounding with other factors that correlated with race,
the very large racial disparities indicate that race is at least
an implicit aggravatingg factor in the capital sentencing
decision.
To test whether the disparities in capital sentencing rates
were due to factors that were confounded with race, Baldus first
made cross tabulations based on the most important factors that
might have been confounders. The racial disparities did not
disappear. For example, in all cases that were death-eligible
under statutory aggravating factor (by{2), murder by a defendant
who had commited a % felony, a category
which included petitioner McCleskey's case -- 38 percent (60 out
of 160) of the blacks who murdered whites received the death
penalty, but only 14 percent (15 out of 104) of the blacks who
murdered blacks received thnis penalty. {See DB 87) Thus,
blacks who murdered whites were sentenced to death at more than
2.5 times the rate of such sentences in black-on-black cases in
this category. When Professor Baldus separated out only those,
like McCleskey, whose contemporaryp felony was armed robbery, the
Sh snp A L
disparities were even more RR: . 34 percent (42/123) of blacks
who killed whites received & death sentence, while only 5 percent
(3/57) of blacks who killed blacks did. (See ay 57).
These cross-tabular results ! l =——mroticeabdy different
AS Mahi d
treatment of cases, by race, == various points in Georgia's
1 Former Ga. Code Ann. $27-2534.1(b){2).
5
charging and sentencing system. The following table, for example,
addressing only Georgia cases in which a murder conviction has
been obtained, reveals the total number the prosecutors chose to
advance to a capital senencing phase -- where a death sentence
was possible -- versus the number which the prosecutor permitted
to receive an automatic life sentence:
Defendant /Victim
black/white JI0+(87/124)
white/white .32 (99/312)
black/black 15 (38/250)
white/black 3944/21)
(DB 94). Thus even among convicted black defendants, where
strength of the evidence factors presumably no longer played a
major role, Georgia prosecutors advanced nearly five times (.70
vs.: 15) as many black defendants to a penalty trial if their
victims were white.
Because there were not sufficient numbers of cases, Baldus
could not use cross-tabulations to control simultaneousliy for
combinations of possible confounding factors. This is a common
problem in social science research, and to deal with it, he
resorted to multiple regression in the forms of weighted least
squares and logistic regression. These are standard statistical
methods for this sort of analysis. Both forms of analysis showed
substantial racial disparities in capital sentencing rates.
5
Among the regression results reported are highly seatisticaNy
significant regression coefficients for the race of the victim
and the race of the defendant employing statistical models of
varying sizes. (See DB 83). These results indicate that racial
factors have an independent influence on death-sentencing rates
after the effects of all other legitimate sentencing variables
included in the models have been taken into account. In its
discussion of the magnitude of the average race of victim effect
in Georgia's capital sentencing system, the Court of Appeals
focused almost exclusively on what it styled a "6%" disparity.
This figure was presumably derived from the .06 least squares
regression coefficient estimated for the race of victim variavple
in the 230 variable large scale multiple regression model in the
CSS (DB 83). The court,interprets ' this "83" averfe disparity to
mean that "a white ictim crime is more likely to result in the
[death] sentence than a comparable black victim crime." McCleskey
V. Kann, 753 F.24 587 {11th Cir. l1985)(en Hanc}. The implication
of the statement is | that the death sentencing rate In white
victim cases wou on average be 6% higher than the rate for
similarly situated/ black victim cases. Thus, for exampie, if the
death sentencing rate in a given class of black victim cases were
10%, the white victim rate would be 6% higher or 10.6% Such an
interpretation is incorrect and highly misleading. The .06 race
of victim regression coefficient indicates that the average death
sentencing rafe in the system is 6 percentage points higher in
white victim/cases than it is in similarly situated cases witn
male Rn [6°
black victims. As we have oo) the percentage increase in the
rate is much greater because the base rates are low.
Having misunderstood the basic results of the Baldus
studies, it is not surprising that the lower courts also
misunderstood the implications of those results for McCleskey's
case. To understand these implications more precisely, one has
to look at the disparity in sentencing rates disclosed by the
studies for aggravation levels comparable to those in McCleskev's
case. (The data given in the tables above were for the average
aggravation levels for all cases in the sample.) One can do this
by looking at disparities in capital sentencing rates at the
average aggravation levels for all white victim cases (of which
McCleskey's is one) or, more precisely, at the cases in the miid-
range of aggravation (of which McCleskey is also one). We look
at both below.
The overall death-sentence rate in white-victim cases is
11%. Since the weighted least squares regression model cited by
the Court of Appeals tells us that the overall rate in comparably
aggravated black-victim cases is six percentage points less, the
rate in such cases is estimated at five percent. Thus, at the
average level of aggravating circumstances represented by the
white-victim cases, the rate of capital sentencing In a white
victim case is 120% greater than the rate in a black victim case.
Or to state the results simile AIT Cetently; in six. out of
every 11 death penalty cases in which the victin We waite, race-
of-victim was a determining aggravating factor in the sense that
the defendants would not have received the death penalty if the
victims had been black.
The Court of Appeals properly points out that the race-of-
victim effect is concentrated at the ee. where it is
approximately 20 percentage points. In that range, the average
death sentencing rates (calculated from DB 90: col. D, levels 3-
7) is 14.4% for black-victim cases and is 34.4% for white-victim
cases, an increase of 139%. This means that out of every 34 death
penalty cases in the mid-range in which the victims were white,
20 defendants would not have received a death penalty if their
victims had been black.
McCleskey's case is,=ssof—course, a death-penalty, white-
victim case that is in the mid-range in terms of aggravting
circumstances. Since the statistical results show that In a
majority of such cases the death penalty would not have been
imposed if the victim were black, it is appropriate to conclude
that in McCleskey's case (as in others of the same class) it is
more. likely than not that the race of the victim was a
determining aggravating factor in the imposition of the death
Camp dt Ue
penalty. This t a "marginal" difference.
II.
THE BALDUS STUDIES EMPLOYED EXCELLENT,
PROFESSIONAL METHODS FOR EMPIRICAL
RESEARCH AND HAVE PRODUCED STRONG,
RELIABLE FINDINGS ON THE ROLE OF RACE
IN GEOCRGIA'S CAPITAL SENTENCING SYSTEM
The District Court, as well as the Court of Appeals, appear
to have rejected the Baldus studies in large measure because of
9
misapprehensions about the quality of the data gathered or the
statistical methods employed to analyze that data. In our
opinion, these reservations are unwarranted: the design of the
research followed accepted scientific practice, the research was
carried out in a careful and thorough manner, the statistical
methods employed were appropriate, and the results, consequently,
are reliable.
The District Court's opinion, in particular, raised a series
of objections to empirical methods and procedures, almost none of
which are well-founded. It asserts that Baldus' data base was
"substantially flawed" because it "could not capture every nuance
of every case," McCleskev v. Zant, 580 F. Supp. 338, 356 (N.D.
Ga. 1984). None of Baldus' many models, even those with over 230
variables, were demed sufficiently inclusive in the District
= Court's eves, since they "have not accounted for
unaccounted-for factors." Id. at 3862.
These objections are fundamentally misplaced. ©
cal analysis is 1ts power to tell us many
wWei=tyorre the
i aa
wd Vil
scientific matter, the likelihood that any omitted variable couid
significantly affect Baldus' robust racial findings -- especially
when so many legitimate variables were taken into account -- is
negligible. By insisting on a standard of "absolute knowledge"
about every case, however, the District Court implicitly rejects
the value of all applied statistical analysis.
10
’
The District Court also expressed general skepticism toward
a range of well-established social scientific methods employed by
Baldus, including multiple regression analysis, which it found
"ill suited to provide the Court with circumstantial evidence of
the presence of discrimination." Id. at 372 (emphasis omitted).
Indeed the only statistical method the District Court did seem to
approve is the simple cross-tabular approach, id. at 354, even
though the Court acknowledged that the inherent nature of the
problem under study here makes it "impossible to get any
statistically significant results in comparing exact cases using
a cross tabulation method." "Id, at 354. This preference for
cross-tabular methods lacks any scientific foundation. Baldus'
methods are clearly valid and appropriate to his data.
Finally, in evaluating Baldus' results, the District Court
seized upon a somewhat confused welter of statistical issues,
including Baldus' conventions for coding "unknown" data, id. at
357-59, the possible multicollinearity of Baldus' variables, id.
at 363-64, and the reported R? of his model, id. at 351, 361, as
reasons for its ultimate conclusion that Baldus' results cannot
be relied upon. However, Baldus and his colleagues
satisfactorily addressed each of these issues and demonstrated
that the racial results were not adversely affected by such
concerns. Baldus not only employed the correct method of
treating "unknowns"; he conducted alternative analysis to
demonstrate that racial influences persisted irrespective of the
method of treatment adopted. Multicollinearity undoubtedly
affected some of the larger models emplyed by Baldus; however,
the District Court failed to realize that the presence of
multicollinearity would not affect the estimate of the racial
——
results reported. It would only affect the standard error of
that SSS Tinmia the court's concern with A Ca
of Baldus' models is unfounded. Apart from the questionable
relevance of the R2 measure for logistic models of the type used
by Baldus, an R2 of .40 or higher is quite acceptable.
In sum, the District Court's opinion was flawed by basic
statistical errors and misunderstandings. Its evaluation of the
validity of the Baldus studies is off-target.
* * kk
The Court of Appeals tock a different approach to Baldus'
research: 1t announced that it would "assum[e] [the study's]
validity and that it proves what it claims to prove," McCleskey
y. Kemp, 783 F.24 877, 885 (llth Cir, 1985) (en banc), and would
base its judgdment solely on the legal consequences which flow
from that research. Yet the skepticism which pervaded the
District Court's analysis continued to dominate the treatment of
Baldus' reearch by the Court of Appeals. After first knitting
together citations from several scholarly articles that caution
courts against an unreflective use of social scientific evidence,
id. at 887-90, the Court announced "that generalized statistical
studies are of little use In deciding whether a particular
defendant has been unconstitutionally sentenced to death
[and] are at most probative of how much disparity is present.”
Craw Wemnseoe
12
Id. at 894, That observation misses the point: although
statistics cannot determine with absolute certainty whether any
one defendant may have been sentenced to death because of race,
statistical evidence can determine with great reliability whether
racial factors are playing a role in the sentencing system as a
whole. Baldus' studies provide just such evidence.
When the Court turns to Baldus' studies, it relies zamos+
QLiranty | wk
l¥ upon one summary figure drawn from the entire body of
Baldus' results -- a reported .06 disparity by race of victim in
overall death-sentencing rates. As we indicated above, this was
but one of a number of important, meaningful results indicating a
consistent racial presence in Georgia's capital sentencing
system. Moreover, as we have indicated above, the Court of
Appeals appeared fundamentally to have misunderstood the
magnitude and significance even of this one result upon which it
focussed.
Although Baldus has been conservative in his findings the
adjusted influence Of racial factors on Georgia's capital
sentencing system, as we have noted, remains clear and
significant. Race, especlally the race of the homicide victin,
plays a large and recognizable part in determining who among
convicted Georgia defendants will be sentenced to life and who
will be sentenced to death.
* *k *
CONCLUSION
The contributions of social scientific evidence to the
13
resolution of legal issues has increased significantly in recent
decades, as statistical methods have improved and the confidence
of the courts has grown. This Court has led the lower federal
courts toward an appreciatiion of the nature of such evidence,
and has developed legal principles, including standards of proof
for parties presenting statistical evidence, that reflect a clear
understanding of the powerful utility of reliable social
scientific evidence. See, e.g. Hazelwood School District v.
United States, 433 U.S. 2999 (1977); Teamsters v. United States,
431 U.S. 324 (1977); see also Segar v. Smith, 7388 PF.24 1249
{D.C.: Civ. 1984); Vuvanlich Vv. Republic Nat'l Baniz, 505 F. Supp.
0
244 (N.D. Tex. 1980), vacated on other grounds, 723 F.24 11985
{5th Clr. 1984),
The Court of Appeals has disregarded these basic standards
of proof that have been fashioned by the Court. Its opinion in
McCleskey insists upon a level of methodological purity in data
quality, model design, and analysis that can be achieved only in
theory. If not reversed, the opinion of the Court of Appeals will
erect formidable barriers against the use of reliable statistical
evidence that can, and amici believe, properly should be used by
the courts to resolve complex legal issues that regularly cone
before them for decision.
Dated: New York, New York
August 21, 1986
Respectfully submitted,
MICHAEL O. FINKELSTEIN
MARTIN F. RICHMAN *
Barrett Smith Schapiro
14
*Attorney of Record
Simon & Armstrong
26 Broadway
New York, New York 10004
(212) 422-8180
ATTORNEYS FOR AMICI CURIAE
BY:
MARTIN F. RICHMAN
15
CERTIFICATE OF SERVICE
I hereby certify that I am a member of the bar of this
Court, and that I served the annexed Motion for Leave to File
Brief Amici Curiae and Brief Amici Curiae on the parties by
placing copies in the United States mail, first class mail,
postage prepaid, addressed as follows:
John Charles Boger, Inc.
NAACP Legal Defense Fund
99 Hudson Street
New York, New York 10013
Mary Beth Westmoreland, Esq.
132 State Judicial Building
40 Capitol Square, S.W.
Atlanta, Georgia 30334
16
MARVIN E. WOLFGANG
Business Address Director
Sellin Center for Studies in Criminology and
Criminal Law
The Wharton School
University of Pennsylvania
3733 Spruce Street, Room 437
Philadelphia, Pennsylvania 19104-6301
(215) 898-7411
Home Address
Education
Ph.D. University of Pennsylvania, 1955
Stanford University, Palo Alto, Summer Institute in
Mathematics for Social Scientists (SSRC), 1955
M.A. University of Pennsylvania, 1950
University of Oslo, Summer 1948 (Diploma of
Excellence)
A.B. Dickinson College, Carlisle, Pennsylvania
Pennsylvania State University, 1942-43
(interrupted by military service)
Academic Positions
1982- Professor of Criminology and of Law, The Wharton
School, University of Pennsylvania
1985-86 Visiting Professor, School of Criminal Justice,
Rutgers University, Newark
MARVIN E. WOLFGANG - page 2
1973-82 Professor of Sociology and Law, University of
Pennsylvania
1979 Lady Davis Visiting Professor, Faculty of Law,
Hebrew University, Jerusalem
1978-79 Visiting Professor, School of Criminal Justice,
State University of New York, Albany
1968-72 Chairman, Department of Sociology, University of
Pennsylvania
1962 Director, Center for Studies in Criminology and
Criminal Law, University of Pennsylvania
1852-72 Instructor, Assistant Professor, Associate
Professor, and Graduate Chairman, Department of
Sociology, University of Pennsylvania
1969-70 Visiting Professor, University of Cambridge,
England
1951-52 Chairman, Department of Sociology and Political
Science; Professor of Social Sciences, General
Education Program, Lebanon Valley College,
Annville, Pennsylvania
1948-50 Instructor, Assistant Professor, Department of
Sociology and Political Science, Lebanon Valley
College, Annville, Pennsylvania
Honors and Awards
Phi Beta Kappa
Pi Gamma Mu (Social Science Honorary Society)
James Fowler Rusling Prize for General Excellence in Scholarship
and Character for the Four Years (Dickinson College)
Gaylord H. Patterson Prize for Excellence in the Field of Sociology
Charles Mortimer Giffin Prize in English Bible (Dickinson College)
Social Science Research Grant, Mathematics for Social Scientists
(1955)
Faculty Research Grant, University of Pennsylvania (1956)
MARVIN E. WOLFGANG - page 3
John Simon Guggenheim Memorial Foundation Fellowship (1957-58,
1968-69)
United States Government Research Grant (Fulbright) (1957-58)
Shared in honors for the Dennis Carrol Prize, presented by the
International Society for Criminology (The Hague, 1960)
August Vollmer Research Award, presented by the American Society of
Criminology at the meetings of the American Association for the
Advancement of Science (New York, 1960)
Elected Fellow, Churchill College, University of Cambridge, England
(1969)
Elected to membership in the American Philosophical Society (1975)
Elected to membership in the American Academy of Arts and Sciences
(1976)
Elected Fellow, American Society of Criminology (1977)
Honorary Doctor of Laws, City University of New York (June 1978)
Honorary Doctor of Laws, Academic Mexicana de Derecho Internacional
(1978)
Roscoe Pound Award, presented by the National Council on Crime and
Delinquency for distinguished contribution to the field of
criminal justice (1979)
Professional Positions
1983-85 Board of Commissioners, Fellowship Commission,
Philadelphia
1979-82 Trustee, Thomas Skelton Harrison Foundation,
Philadelphia
1977~ Research Committee, American Philosophical Society
1977 Steering Committee, "Technical Support and Training
Activities Related to a National Criminal Justice
Data Archive,” Center for Political Studies,
Institute of Social Research, University of
Michigan
1975 Behavioral Sciences Interdisciplinary Cluster of
the President's Biomedical Research Council
1975-78
1974-
1974-83
1974-75
1973~75
1973-74
1973-77
1972-
1971-
1970-75
1970-73
1970-73
MARVIN E. WOLFGANG - page 4
Panel for the Evaluation of Crime Surveys,
Committee on National Statistics, National Academy
of Sciences
International Committee for Science and Anti-Crime,
Center for Theoretical Studies, University of Miami
Advisory Panel, National Academy of Sciences,
National Research Council
National Advisory Team of Experts, U.S. Department
of Justice, National Institute of Law Enforcement
and Criminal Justice
Juvenile Justice Standards Project, Institute of
Judicial Administration, American Bar Association
National Advisory Council, Center for the Study and
Reduction of Violence, UCLA
Advisory Council, Princeton University, Sociology
Department
International Advisory Board, Sage Criminal Justice
System Annuals, Sage Publications
International Advisory Council, Neuvo Penisamineto
Penal, Buenos Aires
Chairman, International Advisory Board, Institute
-0f Criminology, Law School, University of Tel-Aviv,
Israel
Chairman, Review Commission of the Center on Crime
and Delinquency, National Institute of Mental
Health, Washington, D.C.
Advisory Council, Governor's Justice Commission,
Harrisburg, Pennsylvania
MARVIN E. WOLFGANG - page 5
1967-68
1967-68
1966-75
1961-63
1962-
1962
1961
1958
1958
1957-58
1956-58
1955-57
Panel on Social Indicators, U.S. Department of
Health, Education and Welfare, Washington, D.C.
Crime Commission of Pennsylvania
U.S. National Delegate and Associate Secretary
General, International Society of Criminology,
Paris
Chairman, Committee on Penal Affairs, Advisory
Council of the Pennsylvania State Joint Government
Commission
U.S. Representative, Scientific Committee,
International Society of Criminology
National Science Foundation Panel Evaluator for
Social Science Grants and Fellowships
Official Delegate of the American Sociological
Asociation to the Sixth International Congress of
Social Defence, United Nations, Belgrade,
Yugoslavia
Participant, First International Congress of
Clinical Criminology, Rome
Participant, Fifth International Congress for
Social Defence, United Nations, Stockholm
Historical research in Florence, Italy, and
research on crime and punishment in Renaissance
Florence--under grants from the Guggenheim
Foundation and the Fulbright Program
Follow-up study of criminal homicide offenders,
under University of Pennsylvania faculty research
grant
Prepared four Educational Survey reports for the
University of Pennsylvania, three for the Wharton
School and one for the University in general
MARVIN E. WOLFGANG - page 6
Research and study in mathematics in the social
sciences, under grant from Social Science Research
Council
1952-55 Unofficial member of and participant observer in
the Homicide Squad of the Philadelphia Police
Department for purposes of collecting data and
acquiring insight for a study of criminal homicide
Professional observer; with permission from the
Italian Ministry of Justice visited fourteen penal
institutions in Italy; published analysis
Analysis of prison population, included in annual
report of the Dauphin County Prison, Pennsyvlania
Postgraduate work at the University of Oslo;
visited several prisons and other correctional
institutions
Research Directorships
1977- Center for the Study and Prevention of Handgun
Violence, Washington, D.C.
1968-69 National Commission on the Causes and Prevention of
Violence, Washington, D.C. (co-director of
research)
1963-69 National Institute of Mental Health research grant,
Extent and Character of Delinquency in an Age
Cohort (co-principal investigator)
1962-64 Socio-Psychological Reseach on Violence, Social
Science Research Center, University of Puerto Rico
(co-director)
1960-63 Ford Foundation Research on the Measurement of
Delinquency
MARVIN E. WOLFGANG - page 7
1951-52 Educational Survey of Lebanon Valley College for
Middle States Association of Colleges and Secondary
Schools
1951-52 Religious Census of a Rural Community, Lebanon,
Pennsylvania
1950-51 Study of Interagency Referrals to Social Work
Agencies, Lebanon, Pennsylvania (co-director)
1949-50 Housing Needs of Low-Income Families, Family and
Children's Service, Lebanon, Pennsylvania
(co-director)
Elected Positions
1972- President, American Academy of Political and
Social Science
1966-67 President, American Society of Criminology
1965 Vice-President and President-Elect, American
Society of Criminology
1962-65 Member, Executive Committee, American Sociological
Association, Criminology Section
1960-68 President, Pennsylvania Prison Society,
Philadelphia
Board of Directors Appointments
}1983~ International Criminal Justice Association, Inc.
19383- International Society of Victimology
1983- National Council of Crime and Delinquency
1982-83 Institute for the Continuous Study of Man,
University of Pennsylvania
MARVIN E. WOLFGANG - page 8
1977- Citizens Crime Commission of Delaware Valley
1977 Joseph J. Peters Institute, Philadelphia
1975~ Institute for Public Program Analysis
1970- Thomas Skelton Harrison Foundation, Philadelphia
1969- Centre International de Criminologie Comparee,
Montreal
1960- Pennsylvania Prison Society, Philadelphia
Editorial and Advisory Positions
1985- Advances in Criminological Theory
1984- Journal of Quantitative Criminology
1983 National Center on Institutions and Alternatives
1982-83 National Bureau of Justice Statistics (charter
member)
1978- Institute of Criminal Justice, Jersey City State
College
1977 ~ Anderson Publishing Co., Criminal Justice National
Advisory Board
1977~ Centre of Criminology, University of Toronto
1977 Vera Institute of Justice
1976- Journal of Law and Human Behavior
1976 Sage Evaluation Studies Review Annuals, Sage
Publications
1974 Aggressive Behavior
MARVIN E. WOLFGANG - page 9
1974-
1973
1972
1972
1972+
1972~
1969
1966-
1960-68
1956-57
American Justice Institute
Aldine Crime and Justice Annual
International Journal of Criminology and Penology
Journal of Cross-Cultural Psychology
Journal of Psychiatry and Law
Journal of Research in Crime and Delinquency
Abstracts on Criminology and Penology
Journal of Criminal Law and Criminology
(criminology editor)
Excerpta Criminologica
The Annals of the American Academy of Political and
Social Science (assistant editor)
Commission and Consultant Positions
1975-85
1974-
1973
1971-73
1970~
1968-70
National Research Council, Assembly of Behavior and
Social Sciences, Committee on Research on Law
Enforcement and Criminal Justice, Washington, D.C.
The Police Foundation, Washington, D.C.
Tulane University, Departments of Epidemiology and
Sociology, Project on Rape
National Commission on Marihuana and Drug Abuse,
Washington, D.C.
United Nations Social Defence Research Institute,
Rome
National Commission on Obscenity and Pornography,
Washington, D.C.
MARVIN E. WOLFGANG - page 10
1967- Governments Division, U.S. Bureau of the Census,
Washington, D.C.
1966- President's Commission on the Causes and
Prevention of Violence, Washington, D.C.
1965- NAACP Legal Defense and Educational Fund, New York
1965-70 Philadelphia General Hospital, Group Therapy for
Sex Offenders
1965-67 President's Commission on Law Enforcement and
Administration of Justice, Washington, D.C.
1962~ Institute of Criminal Anthropology, University of
Rome
1960-61 Social Science Research Center, University of
Puerto Rico
1955-38 Institute of Legal Research, Law School, University
of Pennsylvania
1954-55 Philadelphia Commission on Detention, Commitment,
and Discharge of Prisoners
1850-51 Governor's Commission on Displaced persons,
Harrisburg, Pennsylvania
Professional Memberships
American Academy of Arts and Sciences
American Academy of Political and Social Science
American Correctional Association
American Philosophical Society
American Society of Criminology
American Sociological Association
Commission on Correctional Facilities and Services of the
American Bar Association
Eastern Sociological Society
Interdisciplinary Group in Criminology
MARVIN E. WOLFGANG - page 11
International Society of Criminology
International Society of Victimology
Law and Society Association
National Council on Crime and Delinquency
Pennsylvania Committee to Abolish the Death Penalty
Pennsylvania Prison Society
Phi Beta Kappa
Pi Gamma Mu
Renaissance Society of America
Society for the Study of Social Problems
United Nations International Congress of Social Defence
United Prison Association
Invited Papers
"A Florentine Prison: Le Carceri della Stinche.” The Renaissance
Society of America, 1960.
"The Viable Future of Criminology." Seventeenth International
Course in Criminology, Montreal, August 1967.
"On Devising a Crime Index." Council of Europe, Strasbourg, France,
1968.
"Violence and Human Behavior." Annual Meeting of the American
Psychological Association, Washington, D.C., August 1969.
"Violent Behaviour.” Churchill College Overseas Fellowship
Lectures, Cambridge, 1969.
"A Note on International Criminal Statistics.” United Nations
Social Defence Research Institute, Rome, June 1971.
"Aggression in Youth.” Mental Health Association of Southeastern
Pennsylvania, December 1972.
"Theory and Research in Crime and Delinquency.” National Institute
of Mental Heath, January 1973.
"Developments in Criminology in the United States with Some Comments
on the Future.” University of Cambridge, England, July 1973.
MARVIN E. WOLFGANG - page 12
"Freedom and Violence." Fifth Annual Conference of the Council for
Educational Development and Research, Washington, D.C., December
1975.
"Child and Youth Violence.” Symposium on the Violent Child, Center
for Forensic Psychiatry and Department of Psychiatry, New York
University School of Medicine, March 1976.
"Family Violence and Criminal Behavior.” Symposium on Violence in
Families, Philadelphia, March 1976.
"The Condition of Criminology and Policy Research in the United
States.” Meeting of the International Centre of Comparative
Criminology, International Society of Criminology, Rome, May 1976.
"Aggression and Violence--Crime and Social Control.” Conference on
Psychological Issues Changing Aggressive Behavior: Theory and
Practice, Polish Academy of Sciences, Warsaw, July 1976.
"Concluding Remarks.” Second International Symposium on
Victimology, Boston, September 1976.
"The Death Penalty: Social Philosophy and Social Science Research.”
Colloquium on Capital Punishment, State University of New at Albany,
April 1977.
"Concluding Plenary Address.” International Conference to
Commemorate the Bicentenary of John Howard's The State of Prisons,
Canterbury, England, June 1977.
"From Boy to Man--From Delinquency to Crime.” National Symposium on
the Serious Juvenile Offender, Minneapolis, September 1977.
"Overview of Research into Violent Behavior." DISPAC, New York,
January 1978.
"Change and Stability in Criminal Justice.” Northeastern
University, Boston, June 1978.
"The Sociology of Aggression--Crime and Violence.” Australian
Academy of Forensic Sciences, Sydney, July 1978.
MARVIN E. WOLFGANG - page 13
"Sociocultural Overview of Criminal Violence.” Twelfth Annual
Symposium on Violence and the Violent Individual, Texas Research
Institute of Mental Sciences, Houston, November 1978.
"Current Trends in Penal Philosophy.” Hebrew University, Jerusalem,
June 1979.
"Basic Concepts in Victimological Theory: Individualization of the
Victim." Keynote Lecture, Third International Symposium on
Victimology, Muenster /Westphalia, Federal Republic of Germany,
September 1979.
"The Longitudinal Study of Delinquency and Crime.” Annual Meeting
of the Israel Society of Criminology, Jerusalem, April 1980.
"Time and the Penalty of Death.” Interdisciplinary Conference on
Capital Punishment, Georgia State University, Atlanta, April 1980.
"Crime and Crime Control in Developing Countries.” Keynote address,
Conference on Crime and Crime Control in Developing Countries,
University of Ibadan, Nigeria, July 1980.
"Some New Findings from the Longitudinal Study of Crime.”
Australian Academy of Forensic Sciences, October 1980.
"Ethics and Research in Criminology.” Conference on Ethics, Public
Policy, and Criminal Justice, University of Delaware, Newark,
October 1980.
"Delinquency in a Birth Cohort II: Some Preliminary Results.”
Attorney General's Task Force on Violent Crime, Chicago, June 1981.
"Delinquency in a Birth Cohort II: Some Preliminary Findings." The
Forum: The Violent Juvenile Offender, Media, Pennsylvania, October
1981.
"Rationales for Punishment.” Safeco Lecture, University of
Washington, December 1981:
"Delinquency in Two Birth Cohorts.” American Association for the
Advancement of Science, Washington, D.C., January 1982.
MARVIN E. WOLFGANG - page 14
"The 1945 and 1958 Birth Cohorts: A Comparison of the Prevalence,
Incidence, and Severity of Delinquent Behavior.” Conference on
Public Danger, Harvard University, Cambridge, February 1982 [with
Paul E. Tracy].
"Victim Intimidation, Resistance, and Injury: A Study of Robbery.”
Keynote Lecture, Fourth International Symposium on Victimology,
Tokyo, August 1982.
"The Violent Juvenile: A Philadelphia Profile.” National Policy
Exchange, 1983.
"Cross-Cultural Consensus and Dissensus about the Gravity of Crime.”
International Symposium on Crime in Different Cultures,
Inter-American University of Puerto Rico, February 1985.
"Youth, Crime, and Justice.” Seventh United Nations Congress on the
Prevention of Crime and the Treatment of Offenders, March 1985.
"Victim Precipitation in Victimology and in Law.” Fifth
International Congress of Victimology, Zagreb, Yugoslavia, August
1985.
"Homicide in Other Industrialized Countries.” New York Academy of
Medicine, October 1985.
"Interpersonal Violence and Public Health Care: New Directions, New
Challenges.” Surgeon General's Workshop on Violence and Public
Health, October 1985 [with Neil A. Weiner].
"Paper on Issues and Effectiveness and Efficiency in Both Juvenile
and Criminal Justice Systems.” UNAFEI, Tokyo, November 1985.
BIBLIOGRAPHY OF MARVIN E. WOLFGANG
Professor of Criminology and of Law
The Wharton School
University of Pennsylvania
1949 Annual Report of the Dauphin County Prison. Harrisburg, Pa.
Housing Needs of Low-Income Families. Lebanon, Pa.
1950 Survey of Inter-Agency Referrals, Family and Children's Services.
Lebanon, Pa.
1951 Educational Survey of Lebanon Valley College. N.p.: Middle
Atlantic States Association of Colleges and Secondary Schools.
Religious Census of a Rural Community. Annville, Pa.
1954 "Political Crimes and Punishments in Renaissance Florence."
Journal of Criminal Law, Criminology and Police Science 44:
555-81.
"Travel Notes on Italian Prisons.” Journal of Criminal Law,
Criminology and Police Science 45:133-50.
1956 "The Contribution of Freud to Our Understanding of Delinquency.”
Educational Outlook 31 (November): 14-21.
"Husband-Wife Homicides." Journal of Social Therapy 2:263-71.
"The Relationship between Alcohol and Criminal Homicide."
Quarterly Journal of Studies on Alcohol 17:411-25 [with R.
Strohm] .
"Socio-Economic Factors Related to Crime and Punishment in
Renaissance Florence.” Journal of Criminal Law, Criminology
and Police Science 47:311-30.
1957 "Achievements and Activities of the Wharton Teaching Staff.”
Philadelphia: Wharton School Educational Survey, University of
Pennsylvania, Report No. F-6.
"Criminology in the United States.” The University Teaching of
Social Sciences: Criminology. Paris: UNESCO, 92-110.
"An Incomplete List of Publications of Current and Former Members
of the Wharton Teaching Staff (Academic Year 1956-57)."
Philadelphia: Wharton School Educational Survey, University of
Pennsylvania, Report No. F-7.
"Making More Effective Utilization of Faculty Resources.”
Philadelphia: Special Report to the President of the University,
Educational Survey, University of Pennsylvania.
"Victim-Precipitated Criminal Homicide." Journal of Criminal
Law, Criminology and Police Science 48:1-11.
"The Wharton Faculty Attitude Survey.” Philadelphia: Wharton
School, University of Pennsylvania, Report No. F-3.
1958 "An Analysis of Homicide-Suicide."” Journal of Clinical and
Experimental Psychopathology and Quarterly Review of Psychiatry
and Neurology 19:208-18.
"Criminal Homicides and Executions in Pennsylvania--1919-1957."
The Prison Journal 38:1:74.
"Delinquency and Crime as Part of a Course of Social Studies.”
Social Studies 49:20-24.
"John Melish--An Early American Demographer.” The Pennsylvania
Magazine of History and Biography 82:65-81.
Patterns in Criminal Homicide. Philadelphia: University of
Pennsylvania Press.
1959 Articles in The World Book Encyclopedia: "Criminology,"
"Garrote,"” "Guillotine," "Hanging," "Lethal Chamber,
"Pillory,” "Stocks," "Torture,"
Field Enterprises.
Lynching,”
and "Whipping Post.” Chicago:
"Analysis of Selected Aspects of the Board of Pardons.” The
Prison Journal 39:1:8-22.
1960
1961
"Conformity and the Middle Class.” Sociology and Social Research
43:432-38.
"Murder, the Pardon Board, and Recommendations by Judges and
District Attorneys.” Journal of Criminal Law, Criminology and
Police Science 50:338-46.
"Rebuttal to 'The Low Cost of Murder.'"” Philadelphia Medicine
55:880-81.
"Suicide by Means of Victim-Precipitated Homicide.” Journal of
Clinical and Experimental Psychopathology 20:335-49.
"Analisi quantitativa dell'adattamento alla comunita carceraria
[Quantitative Analysis of Adjustment to the Prison Community].”
Quaderni di Criminologica Clinica 2:137-67.
"Criminal Homicide Analyzed by Use of Police Records.”
Pennsylvania Chiefs of Police Association Bulletin Spring: 2-3,
26-27.
"A Florentine Prison: Le Carceri delle Stinche.'
Renaissance 7:148-66.
Studies in the
"Juvenile Delinquency.” Encyclopedia Britannica Junior.
"Cesare Lombroso (1935-1909)." In Hermann Mannheim, ed.,
Pioneers in Criminology, 168-227. London: Stevens and Son.
"Pennsylvania Judicial Statistics.” The Prison Journal
40:1:31-32.
"Research in Corrections.” The Prison Journal 40:2:37-51.
Sociological contribution to Symposium on the Sex Offender.
Philadelphia: Philadelphia Psychiatric Society.
"La Sottocultura della violenza [The Subculture of Violence]."”
Rassegna Italiana di Sociologia 1:57-71 [with Franco Ferracuti].
"11 delitto e la pena nel Rinascimento Fiorentino [Political
Crimes and Punishments in Renaissance Florence].” Rassegna
Italiana di Sociologia 2:187-203 [with Lenora Wolfgang].
1962
Chapter in Armand Mergen, ed., Kriminologie-Heute, 121-62.
Hamburg: Kriminalistik.
"Cesare Lombroso."” Quaderni di Criminologia Clinica 3:27-97.
"Pioneers in Criminology: Cesare Lombroso (1835-1909)." Journal
of Criminal Law, Criminology and Police Science 52:361-91.
"Podkultura nasilja: Interpretativna analiza uboja [Subculture of
Violence: An Interpretive Analysis of Homicide]."” Revija za
kriminologijo in Kriminalistiko 2:1-10 [with Franco Ferracuti.
"Quantitative Analysis of Adjustment to the Prison Community.”
Journal of Criminal Law, Criminology and Police Science
51:607-18.
"The Sixth International Congress of Social Defence.” The
British Journal of Criminology 2:182-85.
"A Sociological Analysis of Criminal Homicide.” Federal
Probation 25 (March) :48-55.
"La subcultura de violencia: un analisis interpretativo del
homicidio [The Subculture of Violence: An Interpretive Analysis
of Homicide]." Revista de Ciencias Sociales 5 (June) :167-77
[with Franco Ferracuti].
“Comparison of the Executed and the Commuted among Admissions to
Death Rows.” Journal of Criminal Law, Criminology and Police
Science 53:301-11 [with Arlene Kelly and Hans C. Nolde].
"Comparison of the Executed and the Commuted among Admissions to
Death Rows.” In Norman Johnston, Leonard Savitz, and Marvin E.
Wolfgang, eds., The Sociology of Punishment and Correction,
63-68. New York: Wiley [with Arlene Kelly and Hans C. Nolde].
"Indagine sugli errori della polizia nella classificazione dei
reati [A Study of Police Errors in Crime Classification].”
La Scuola Positiva 2:1-16 [with Franco Ferracuti and Rosita Perez
Hernandez].
1963
"Measuring Prison Adjustment.” In Norman Johnston, Leonard
Savitz, and Marvin E. Wolfgang, eds., The Sociology of Punishment
and Correction, 165-76. New York: Wiley.
The Sociology of Crime and Delinquency. New York: Wiley [edited
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[edited with Norman Johnston and Leonard Savitz].
’
"A Study of Police Errors in Crime Classification.” Journal of
Criminal Law, Criminology and Police Science 53:113-19 [with
Franco Ferracuti and Rosita Perez Hernandez].
"Subculture of Violence: An Interpretive Analysis of Homicide."
International Annals of Criminology 1:52-60 [with Franco
Ferracuti].
Chapter on "Subculture of Violence" in volume in honor of
Professor V. M. Palomieri, 202-11. Naples: Casa Editrice V.
Idelson [with Franco Ferracuti].
"Victim-Precipitated Criminal Homicide.” In Marvin E. Wolfgang,
Leonard Savitz, and Norman Johnston, eds., The Sociology of
Crime and Delinquency, 388-96. New York: Wiley.
Constructing an Index of Delinquency: A Manual. Philadelphia:
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"Criminology and the Criminologist.” Journal of Criminal Law,
Criminology and Police Science 54:155-62.
"Design for a Proposed Study of Violence: A Socio- Psychological
Study of a Subculture of Violence.” The British Journal of
Criminology 15:377-88 [with Franco Ferracuti].
"[Design for a Proposed Study of Violence]." Archivos de
Criminologia Neuro-Psiquiatria y Disciplinas Corexas 11:41:23-43
[with Franco Ferracuti].
"The Diagnostic and Classification Center at Rebibbia, Rome.’
Federal Probation 27:3:31-35 [with Franco Ferracuti and Mario
Fontanesi].
1965
1966
"Mobilization of Total Community Resources for the Offender.”
Cooperative Efforts between Community Health Clinics and
Correctional Agencies toward Rehabilitating the Offender, 48-59.
N.p. (New Jersey).
"The Prediction of Violent Behavior." Corrective Psychiatry and
Journal of Social Therapy 10:289-300.
"A Sociological Analysis of Criminal Homicide.” In Hugo A.
Bedau, ed., The Death Penalty in America, 74-89. New York:
Doubleday.
"Victim Compensation in Crimes of Personal Violence.’
Interdisciplinary Problems in Criminology, papers of the American
Society of Criminology, 169-80.
"Violent Aggressive Behavior as a Socio-Psychological
Phenomenon.” International Journal of Social Psychiatry 4
(August) :12-20 [with Franco Ferracuti].
"El centro diagnostico y de clasificacion en Rebibbia, Roma [The
Diagnostic and Classification Center at Rebibbia, Rome].”
Criminalia 31:49-56 [with Franco Ferracuti and Mario Fontanesi].
L'Integrazione della criminologia. Rome: Mantellate [with Franco
Ferracuti].
"L'Integrazione della criminologia.” Quaderni di Criminologia
Clinica 7:155-306 [with Franco Ferracuti].
"Victim Compensation in Crimes of Personal Violence.’
Minnesota Law Review 50:223-41.
I1 Comportamento Violento [Violent Behavior]. Milan: Giuffre
[with Franco Ferracuti].
“Crimes of Violence." Position paper for the President's
Commission on Law Enforcement and Administration of Justice.
Washington, D.C.
The Culture of Youth. Washington, D.C.: U.S. Government Printing
Office.
1967
Delinquency Statistics for Research and Administration in Puerto
Rico. Rio Piedras: University of Puerto Rico.
"Mathematical Methods in Criminology.” International Social
Science Journal 18:200-47 [with Harvey A. Smith].
"A Preface to Violence." The Annals 364:1-7.
"Race and Crime.” In Changing Concepts of Crime and Its
Treatment, Centenary Symposium of the Howard League for Penal
Reform, 35-74. London: Pergamon Press.
Ricerca sul trattamento rieducativo. Rome: Italian Ministry of
Justice.
[The Sociology of Crime and Delinquency]. Moscow [with Leonard
Savitz and Norman Johnston] [in Russian].
"Urban Crime.” In Urban Problems. Cambridge, Mass.: MIT-Harvard
Joint Center for Urban Studies.
"Analytical Categories for Research on Victimization.” In Armand
Mergen and H. Schafer, eds., Kriminologische Wegzeichen, 165-85.
Hamburg: Kriminalistik.
"Criminal Homicide and the Subculture of Violence.” In Marvin E.
Wolfgang, ed., Studies in Homicide, 3-12. Philadelphia:
University of Pennsylvania Press.
"The Culture of Youth.” In President's Commission on Law
Enforcement and Administration of Justice: Task Force Report
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"Basic Concepts in Victimological Theory: Individualization of
the Victim.” In Hans Joachim Schneider, ed., The Victim in
International Perspective: Papers and Essays Given at the "Third
International Symposium on Victimology”™ 1979 in Munster/
Westfalia, 47-58. New York: Walter de Gruyter.
25
"Beyond Scapegoating.” In Seventh Philadelphia Conference on
the Holocaust, 1981, 73-77. Philadelphia: Philadelphia
Coordinating Council on the Holocaust.
Criminal Violence. Beverly Hills: Sage [edited with Neil A.
Weiner].
Criminal Violence and Race: A Selected Bibliography. Washington,
D.C.: U.S. Department of Justice, National Institute of Justice
[compiled with Neil A. Weiner and W. Donald Pointer].
Criminal Violence: Biological Correlates and Determinants—-A
Selected Bibliography. Washington, D.C.: U.S. Department of
Justice, National Institute of Justice [compiled with Neil A.
Weiner and W. Donald Pointer].
Criminal Violence: Psychological Correlates and Determinants
--A Selected Bibliography. Washington, D.C.: U.S. Department of
Justice, National Institute of Justice [compiled with Neil A.
Weiner and W. Donald Pointer].
Domestic Criminal Violence: A Selected Bibliography. Washington,
D.C.: U.S. Department of Justice, National Institute of Justice
[compiled with Neil A. Weiner and W. Donald Pointer].
"Ethics and Research.” In Frederick Elliston and Norman Bowie,
eds., Ethics, Public Policy, and Criminal Justice, 391-418.
Cambridgem, Mass.: Qelgeschlager, Gunn & Hain.
"Grundbegriffe in der viktimologischer Theorie:
Individualisierung des Opfers [Basic Concepts in Victimological
Theory] .” In Hans Joachim Schneider, ed., Das Verbrechensopfer
in der Strafrechtspflege [The Victim in International
Perspective], 45-59. Berlin: Walter de Gruyter [translated by
Adriane Rinsche].
International Terrorism. The Annals 463 [special editor]
"[Longitudinal Study of Offenders and Crime]’
Bar-Ilan University Law Journal 15-17.
[in Hebrew].
1983
26
The Subculture of Violence: Towards an Integrated Theory in
Criminology. Beverly Hills, Calif.: Sage Publications (reprint
of 1967 ed.) [with Franco Ferracuti].
The Violent Offender in the Criminal Justice System: A
Selected Bibliography. Washington, D.C.: U.S. Department of
Justice, National Institute of Justice [compiled with Neil A.
Weiner and W. Donald Pointer].
Criminological Diagnosis: An International Perspective.
Lexington, Mass.: D. C. Heath [edited with Franco Ferracuti].
"Delinquency in Two Birth Cohorts.” American Behavioral
Scientist 27 (September /October):75-86.
"Delinquency in Two Birth Cohorts.” In Katherine Teilmann Van
Dusen and Sarnoff A. Mednick, eds., Prospective Studies in
Crime and Delinquency, 7-37. Boston: Kluwer-Nijhoff.
"Homicide: 1. Behavioral Aspects.” In Encyclopedia of Crime
and Justice, 849-55. New York: Macmillan and Free Press.
Introduction to "Symposium on Current Death Penalty Issues.”
Journal of Criminal Law and Criminology 74:3 (Fall):659-60 [with
Michael Meltsner].
Nuclear Armament and Disarmament. The Annals 469 [special editor
with Robert H. Kupperman].
"Symposium on Current Death Penalty Issues.” Journal of Criminal
Law and Criminology 74:3 (Fall):659-1114 [coedited with Michael
Meltsner].
"The Violent Juvenile: A Philadelphia Profile.” In Kenneth R.
Feinberg, ed., Violent Crime in America, 17-24. Washington,
D.C.: National Policy Exchange.
1984 China in Transition. The Annals 476 [special editor].
1985
27
"Implications of Recent Research on Juvenile Repeat Offenders.”
Proceedings of the Conference of Juvenile Repeat Offenders,
sponsored by the Institute of Criminal Justice and Criminology,
University of Maryland at College Park, Maryland Crimnal Justice
Coordinating Council, Maryland Juvenile Justice Advisory
Committee, September 1983. Annapolis, Md.: Maryland Criminal
Justice Coordinating Council.
Changing Patterns of Power in the Middle East. The Annals 482
[special editor with Thomas Naff].
"The Extent and Character of Violent Crime in America, 1969 to
1982." In Lynn Alan Curtis, ed., American Violence and Public
Policy, 17-39. New Haven, Conn.: Yale University Press [with
Neil A. Weiner].
The National Survey of Crime Severity. Washington, D.C.: U.S.
Department of Justice, Bureau of Justice Statistics [with Robert
M. Figlio, Paul E. Tracy, and Simon I. Singer].
"Surveying Violence across Nations: A Review of the Literature,
with Research and Policy Recommendations.” International Review
of Criminal Policy [United Nations] 37 (1981 [issued in
1985]):62-95.
"Weighing Social Responsibility: How Perceptions Differ for
Individual and Corporate Crimes.” The Wharton Annual 1985.
Philadelphia: The Wharton School, University of Pennsylvania
[with Robert M. Figlio].
July, 1986
VITA
Name: Richard Owen Lempert Office Hutchins Hall
Date of Birth: June 2, 1942 Address: University of Michigan
Birth Place: Hartford, Connecticut Law School
Ann Arbor, Michigan 48109
Home Address: (313) 763-0332
(313) 662-9644
Schools Attended Year Degrees Awarded
N. Arlington High School 1956-1960 Diploma
Oberlin College 1960-1964 A.B.
Harvard Law School 1964-1965
University of Michigan
School of Graduate Studies 1965-1971 Ph.D. (Sociology)
Law School 1966-1968 J.D.
Academic Honors
Oberlin:
Graduate School:
Law School:
Elected to membership in Phi Beta Kappa and Delta Sigma
Rho - Tau Kappa Alpha (speech honorary fraternity)
Awarded "Griswold Scholarship" to Harvard Law School
A.B. awarded magna cum laude with Highest Honors in
Government
Elected to membership in Phi Kappa Phi
Invited to join Harvard and University of Michigan
Law Reviews
Various awards for highest average in particular classes
and for general scholarship; Order of the Coif
J.D. awarded summa cum laude
Fellowships and Scholarships
Griswold Scholarship for study at Harvard Law School (1964-1965)
Horace H. Rackham Fellowship in Sociology (1965-1966)
NSF Fellowship in Sociology (refused)
Russell Sage Residency in Sociology and Law (1966-1968)
Kent Fellowship in Sociology and Law (1966-1971)
Occupational History
Principal Research Assistant to Professor Kiyoshi Ikeda Summers of
of Oberlin College in study of public housing in Hawaii 1964, 1965, 1966
Teaching Fellow in Sociology
University of Michigan 1967-1968
Assistant Professor
University of Michigan Law School 1968-1972
Russell Sage Fellowship and Lecturer in Law
Yale Law School 1571-1972
Associate Professor
University of Michigan Law School 1972-1974
Professor of Law
* University of Michigan Law School 1974-present
Mason Ladd Visiting Distinguished Professor of Law
University of Iowa Law School Fall of 1981
Visiting Fellow, Centre for Socio-Legal Research Winter and Spring
Wolfson College, Oxford 1982
Professor of Sociology (part-time appointment)
University of Michigan 1985-present
Publications
"Strategies of Research Design in The Legal 1 Law & Society Review 111
Impact Study: The Control of Plausible (Fall 1966) (Reprinted in
Rival Hypotheses" a number of books)
"Evictions from Public Housing: Effects of 35 American Sociological
Independent Review" (with Kiyoshi Ikeda) Review 852 (October 1970)
(Reprinted in G. Sternlieb
and L. Sagalyn (eds.))
Housing 1970-71, New York
Ams, 1972
Review of G. Hazard (ed.) Law in a Changing 36 American Sociological
America Review 366 (April 1971)
"Evictions from Public Housing: A Ph.D. dissertation
Sociological Inquiry" (December 1971)
"Law School Grading: An Experiment 24 Journal of Legal
with Pass-Fail" Education 251
(Spring 1972)
"Norm-Making in Social Exchange: A
Contract Law Model"
"Toward a Theory of Decriminalization"
"Uncovering 'Non-Discernible Differences’:
Empirical Research and the Jury Size Case"
The Role of Research in the Delivery of
Legal Services (edited with Lester Brickman)
Special Issue Editor (with Lester Brickman)
Law & Society Review, Volume 11, Number 2
"Mobilizing Private Law"
Transcript of Proceedings: Conference on
Determining a Research Agenda for
Improving the Delivery of Legal
Services
A Modern Approach to Evidence (with
Stephen Salzburg)
"Modeling Relevance"
"Trial-Type Ceremonies and Defendant Behavior:
Moralizing and Cooling in an Eviction
Setting”
"Jury Size and the Peremptory Challenge:
Testimony on Jury Reform"
"More Tales of Two Courts: On Exploring
Changes in the Dispute Settlement
Function of Trial Courts"
Review of Barbara Curran, The Legal Needs
of the Public
7 Law & Society Review 1
(Fall 1972)
3 et al, 1 (1974)
73 Michigan Law Review 643
(1975)
Published privately under
grant from NSF (1976)
11 Law & Society Review
173 (Revises and reprints
essays in The Role of
Research in the Delivery
of Legal Services) (1976)
In The Role of Research
revised and reprinted
11 Law & Society Review
173 .(1976)
In The Role of Research
revised and reprinted
11 Law & Society Review
319 (1976)
West Publishing Company,
St. Paul, Minnesota (1977)
75 Michigan Law Review
1021 (1577)
1 Journal of Law and
Human Behavior 343
(1977)
23 Law Quad Notes,
No. 1 (1978) Reprinted
in Owen Fiss and Robert
Cover, The Structure
of Procedure, Foundation
Press Mineola (1979)
13 Law & Society Review 91
(1978)
85 American Journal of
Sociology 471 (1979)
"Desert and Deterrence: An Evaluation of In The Penalty of Death,
the Moral Bases for Capital Punishment" pp. 61-107, Final Report
Annual Chief Justice Earl .
Warren Conference on
Advocacy in the United
States (June 1980)
"A Right to Every Woman's Evidence" 66 Iowa Law Review
725 (1981)
"Grievances and Legitimacy: The 15 Law & Society Review
Beginnings and End of Dispute Settlement” 707 (19881)
"Desert and Deterrence: An Assessment of 79 Michigan Law Review
the Moral Bases of the Case for 1177 (1981)
Capital Punishment"
"civil Juries and Complex Cases: Let's 80 Michigan Law Review
Not Rush to Judgment" 68 (1981)
A Modern Approach to Evidence, Second West Publishing Company
Edition (with Stephen Salzburg) St. Paul, Minnesota (1982)
"Organizing for Deterrence: Lessons from a 16 Law & Society Review
Study of Child Support" 513 (1532)
"From the New Editor" 17 Law & Society Review
3 (1852)
"The Impact of Executions on Homicide: 29 Crime and Delinquency
A New Look in an 0ld Light" 88 (1983)
"From the Editor" 17 Law & Society Review
233 (1983)
"From the Editor" 17 Law & Society Review
401 (1983)
"From the Editor" 17 Law & Society Review
541 (1983)
"Capital Punishment in the 80's: 74 Journal of Criminal
Reflections on the Symposium" Law and Criminology
3101 (1983)
"The Force of Irony: On the Morality Ethics (1984)
of Affirmative Action and United
Steelworkers v. Weber"
Review of James Loewen, Social Science in
the Courtroom: Statistical Techniques
and Research Methods for Winning Class-
Action Suits
"From the Editor"
"From the Editor"
"From the Editor"
"From the Editor"
"From the Editor”
"Statistics in the Courtroom:
Building on Rubinfeld"
"From the Editor"
"From the Editor"
An Invitation to Law and Social Science:
Desert, Disputes, and Distribution
(with Joseph Sanders)
"Error Behind the Plate and in the Law"
"Social Science in Court, On 'Eyewitness
Experts' and Other Issues"
Lectures
13 Contemporary Sociology
171 (1984)
18 Law & Society Review
5 (1984)
18 Law & Society Review
153 (1984)
18 Law & Society Review
317 (1984)
18 Law & Society Review
505 (1984)
19 Law & Society Review
5.41985)
85 Columbia Law Review
1098 (1985)
19 Law & Society Review
333 (1985)
19 Law & Society Review
529 (1985)
Longman's Publishing
Company, New York.
(1986)
59 Southern California
Law Review 407 (1986)
10 Law and Human
Behavior 167 (1986)
Mason Ladd Lecture, "A Right to Every Woman's Evidence"
Towa Law School, March 1981
Papers presented to groups at Indiana, Wisconsin, and Yale Law Schools
and to the American Bar Foundation
Talks on Jury Decision Making, Third Circuit Judicial Conference
Williamsburg, Virginia 1984; ABA Litigation Section 1984; Seventh
Circuit Judicial Conference Chicago, Ill. 1985, District Judges
Retreat, Eastern District of Michigan, 1985, International Society
of Barristers, 1986
Professional Associations
Member: American Sociological Association (1964 - )
Law and Society Association (1966 - )
Society of American Law Teachers (1976 - )
Subcommittee on Law, Committee on Training in Statistics
for Selected Professions, American Statistical Association
Professional Service
Editorial Advisory Board
Law & Society Review (1972-77)
Advisory Panel for Law and Social Sciences
National Science Foundation (1976-79)
Organizer, Session on the Sociology of Law at the 1977 Meetings
American Sociological Association
Trustee
Law and Society Association (1977-80; 1982 -86)
Executive Committee
Law and Society Association (1979-80; 1982 -86)
Session Reporter, Conference on the American Jury
American Trial Lawyers Association, Roscoe Pound Foundation (1977)
Session Reporter, Conference on Ethics in Advocacy
American Trial Lawyers Association, Roscoe Pound Foundation (1978)
Session Reporter, Conference on Problems of Federalism
American Trial Lawyers Association, Roscoe Pound Foundation (1979)
Advisory Committee
Program for the Study of Dispute Resolutions (1977-79)
Subcommittee on Legal Indicators
Social Science Research Council (1977-79)
Program Committee
American Judicature Society (1977-79)
Organizer, Session on Methodology at 1978 Meetings
Law and Society Association
Editorial Board
Evaluation Review (1979-82)
Organizer, Session on Policy Issues in Criminal Justice at 1980 Meetings
American Sociological Association
Member, Committee on Law Enforcement and the Administraion of Justice
National Research Council, National Academy of Science (1980-84),
Vice Chair (1984- )
Editorial Board
Journal of Law and Human Behavior (1980-83)
Organizer, Thematic Session on Courts and Social Change at 1981 Meetings
American Sociological Association
Instructor, Workshop on the Teaching of Evidence
Association of American Law Schools (1981)
Member, Panel on Statistics and the Law
National Research Council, National Acadamy of Science (1982-85)
Editor
Law & Society Review (1982-85)
Visiting Committee to evaluate the American Bar Foundation (1984-1985)
Member, National Research Council Panel on Tax Compliance (1984-1986)
Chair, Visiting Committee to Review the Law and Social Science
Program of the National Science Foundation (1985)
Editorial Board, Violence and Victims (1985 - )
Board of Advisors, Law in Social Context Series (1985 - )
(Keith Hawkins and John M. Thomas eds.)
Paper presenter or discussant on numerous panels at Meetings of the
Law and Society Association, American Sociological Association, and
a variety of conferences devoted to some aspect of law and social
science.
Outside reviewer for numerous papers at the request of editors of such
journals as Law & Society Review, American Sociological Review,
American Journal of Sociology, American Political Science Review,
Evaluation Review, Social Problems, and granting agencies
such as the National Science Foundation and the National Institute
of Justice.
University-Wide Committees
SACUA Tenure Committee (1977-78)
Committee to Evaluate the Institute for Public Policy Studies (1979)
Born:
Married:
Degrees:
CURRICULUM VITAE
Franklin M. Fisher
December 13, 1934, New York, New York
Ellen Jo Paradise, June 22, 1958
A.B., Summa Cum Laude, Harvard University, 1956
M.A., Harvard University, 1957
Ph.D., Harvard University, 1958
Ph.D. Dissertation: A Priori Information and Time Series Analysis
Fellowships, Scholarships
and Professional Honors:
Positions:
Detur Prize, 1953
John Harvard Scholarship, 1953-54; 1954-55
Social Science Research Council Undergraduate Research
Stipend, 1953
Harvard College Scholarship, 1955-56
Phi Beta Kappa, 1955
Rodgers Fellowship, 1956-57
Austin Fellowship, 1956-57
Junior Fellow of the Society of Fellows, Harvard University,
1957-59
Fellow of the Econometric Society, 1963-
Irving Fisher Lecturer at Econometric Society Meetings,
Amsterdam, September 1968
Operations Research Society of America Prize for best paper
dealing with a military subject published in
Operations Research, 1967
Fellow of the American Academy of Arts and Sciences, 1969-
Council Member of the Econometric Society, 1972-
John Bates Clark award, American Economic Association, 1973
F. W. Paish Lecturer, Association of University Teachers
of Economics, Sheffield, England, April 1975
David Kinley Lecturer, University of Illinois, 1978
Vice President of the Econometric Society, 1977-78
President of the Econometric Society, 1979
Fellowship, John Simon Guggenheim Foundation, 1981-82
Erskine Fellow, University of Canterbury, summer 1983
National Academy of Sciences, Distinguished Scholar Exchange
Program: Visitor to Huazhong University of Science and
Technology, The People's Republic of China, 1984
Teaching Fellow, Harvard University, 1956-57
Junior Fellow of the Society of Fellows, Harvard University,
1957-59
Assistant Professor of Economics, University of Chicago,
1959-60
Positions (continued)
Assistant Professor of Economics, Massachusetts Institute of
Technology, 1960-62
Associate Professor of Economics, Massachusetts Institute
of Technology, 1962-65
Professor of Economics, Massachusetts Institute of
Technology, 1965-
National Science Foundation Postdoctoral Fellow, Econometric
Institute, Netherlands School of Economics
Ford Foundation Faculty Research Fellow in Economics, London
School of Economics and Hebrew University, 1966-67
Visiting Professor of Economics, Hebrew University, 1967,
1973, 1985
Visiting Professor of Economics, Tel-Aviv University, 1973,
1977-
Member, Board of Governors, Tel-Aviv University, 1976-;
American Friends of Tel-Aviv University, 1976-1985
Chairman, Faculty Advisory Cabinet, United Jewish Appeal,
1975-77
Board of Trustees, Combined Jewish Philanthropies, 1975-
(Board of Manager, 1978-; Campaign Chairman, Harvard
and MIT, 1975; Academic Team, 1976-77; Co-chairman,
Lexington, 1975; Assoc. Chairman, Metropolitan
Division, 1979-)
Board of Trustees, Temple Isaiah, Lexington, 1971-74;
1976-79
Board of Directors, Combined Jewish Philanthropies, Business
Men's Council, 1980-
Honorary Board, American Friends of Tel Aviv University,
1985-
Commissioner, B'nai B'rith Hillel Foundations, 1977-
Community Representative, Board of Trustees of the Jewish
Community council, 1977-
Consultant, Arthur D. Little, Inc., 1964-75
Consultant, Federal Power Commission, 1965-69
Consultant, Federal Reserve Board, Price Statistics
Committee, 1965-69
Consultant, Director, Charles River Associates, Inc., 1967-
Member, The Brookings Institution Advisory Committee on
Studies in the Regulation of Economic Activity, 1967-70
Consultant, National Association of Broadcasters, 1964-65
Consultant, The RAND Corporation, 1964-75
Consultant, Institute of Naval Studies, 1965-66
Consultant, General Services Administration, 1966-67
Consultant, President's Task Force on Communications Policy,
1968
Consultant, IBM, 1970-
Consultant, United Transportation Union, 1970-
Consultant, CBS, 1972
Positions (continued)
Assistant Professor of Economics, Massachusetts Institute of
Technology, 1960-62
Associate Professor of Economics, Massachusetts Institute
of Technology, 1962-65
Professor of Economics, Massachusetts Institute of
Technology, 1965-
National Science Foundation Postdoctoral Fellow, Econometric
Institute, Netherlands School of Economics
Ford Foundation Faculty Research Fellow in Economics, London
School of Economics and Hebrew University, 1966-67
Visiting Professor of Economics, Hebrew University, 1967,
1973, 1085
Visiting Professor of Economics, Tel-Aviv University, 1973,
1977-
Member, Board of Governors, Tel-Aviv University, 1976-;
American Friends of Tel-Aviv University, 1976-1985
Chairman, Faculty Advisory Cabinet, United Jewish Appeal,
1975-77
Board of Trustees, Combined Jewish Philanthropies, 1975-
(Board of Manager, 1978-; Campaign Chairman, Harvard
and MIT, 1975; Academic Team, 1976-77; Co-chairman,
Lexington, 1975; Assoc. Chairman, Metropolitan
Division, 1979-)
Board of Trustees, Temple Isaiah, Lexington, 1971-74;
1976-79
Board of Directors, Combined Jewish Philanthropies, Business
Men's Council, 1980-
Honorary Board, American Friends of Tel Aviv University,
1985-
Commissioner, B'nai B'rith Hillel Foundations, 1977-
Community Representative, Board of Trustees of the Jewish
Community council, 1977-
Consultant, Arthur D. Little, Inc., 1964-75
Consultant, Federal Power Commission, 1965-69
Consultant, Federal Reserve Board, Price Statistics
Committee, 1965-69
Consultant, Director, Charles River Associates, Inc., 1967-
Member, The Brookings Institution Advisory Committee on
Studies in the Regulation of Economic Activity, 1967-70
Consultant, National Association of Broadcasters, 1964-65
Consultant, The RAND Corporation, 1964-75
Consultant, Institute of Naval Studies, 1965-66
Consultant, General Services Administration, 1966-67
Consultant, President's Task Force on Communications Policy,
1968
Consultant, IBM, 1970-
Consultant, United Transportation Union, 1970-
Consultant, CBS, 1972
Consultant, United Technologies, 1974-75
Positions (continued)
Member, National Academy of Sciences Panel on Effects of
Deterrence and Incapacitation, 1975-78
Consultant, Cravath, Swaine & Moore
Consultant, Koteen & Burt
Consultant, Jones, Day, Leavis & Pogue
Consultant, Crowell & Moring
Research Associate, National Bureau of Economic
Research, Inc., April, 1980-
Member, National Research Council, Panel on Sentencing
Research, 1981-82
Visiting Professor, Harvard University, Economics
Department, 1981-82
Member: American Economic Association; Econometric Society
Program Chairman: Econometric Society Winter Meetings, 1964
Associate Editor: Journal of the American Statistical Association,
1965-68
American Editor: Review of Economic Studies, 1965-68
Editor: Econometrica, 1968-1977
1
BIBLIOGRAPHY
Books
1962 A Priori Information and Time Series Analysis: Essays in
Economic Theory and Measurement (Amsterdam:
North-Holland Publishing Co., 1962).
A Study in Econometrics: The Demand for Electricity in
the United States, in assoclation with Carl Kaysen
(Amsterdam: North-Holland Publishing Co., 1962).
1963 Essays on the Structure of Social Science Models, with Albert
Ando and Herbert A. Simon (Cambridge: M.I.T. Press
1963).
1964 Supply and Costs in the United States Petroleum Industry: Two
Econometric Studies, for Resources for the Future, Inc.
(Baltimore: Johns Hopkins Press, 1964).
1966 The Identification Problem in Econometrics (New York: McGraw-
Hill Book Co., 1966).
1972 The Economic Theory of Price Indices, with Karl Shell (New York:
Academic Press, 1972).
1983 Folded, Spindled, and Mutilated: Economic Analysis and U.S. v.
IBM, with John J. McGowan and Joen E. Greenwood
(Cambridge: M.I.T. Press, 1983).
IBM and the U.S. Computer Industry; an Economic History, with
J. McKie and R. J. Mancke (New York: Praeger, 1983).
Disequilibrium Foundations of Equilibrium Economics (New York,
Cambridge University Press, 1983).
1985 Antitrust and Regulation: Essays in Memory of John J. McGowan,
editor (Cambridge: M.I.T. Press, 1985).
Der Anti-Trust-Fall US gegen IBM (German edition of Folded,
Spindled, and Mutilated, trans. by C. C. von
Weizsacker ) (Tubingen, J.C. B. Mohr, 1985).
Articles and Comments
1956 "Tncome Distribution, Value Judgments, and Welfare," Quarterly
Journal of Economics, vol. LXX, No. 3 (August 1956).
1957 "Income Distribution, Value Judgments and Welfare: A Correc-
tion," Quarterly Journal of Economics, vol. LXXI, No. 2
(May 1957) with Peter B. Kenen.
1958 "Negro-White Savings Differentials and the Modigliani-Brumberg
Hypothesis," Review of Economics and Statistics,
vol. XL, No. 1 (February 1958) with Robert Brown.
"The Mathematical Analysis of Supreme Court Decisions: The Use
1950
1960
1961
1962
2
and Abuse of Quantitative Methods," American
Political Science Review, vol. LII, (June 1958),
reprinted in Bobbs-Merrill Reprint Series in the
Social Sciences.
"Generalization of the Rank and Order Conditions for Identi-
fiability," Econometrica, vol. 27, No. 3 (July 1959).
"New Developments on the Oligopoly Front: Cournot and the
Bain-Sylos Analysis," Journal of Political Economy
vol. LXVII, No. 4 (August 1959)
"On the Existence and Linearity of Perfect Predictors in 'Content
Analysis,'" MULL (March 1960).
"On the Analysis of History and the Interdependence of the Social
Sciences," Philosophy of Science, vol. 27, No. 2,
(April 1960).
"The Stability of the Cournot Oligopoly Solution: The Effects of
Speeds of Adjustment and Increasing Marginal Costs,"
Review of Economic Studies, vol. XXVIII, No. 1
(February 1961).
"How Income Ought to be Distributed: Paradox Lost," Journal
of Political Economy, vol. LXIX, No. 2 (April 1961)
with J. Rothenberg.
"On the Cost of Approximate Specification in Simultaneous Equa-
tion Estimation," Econometrica, vol. 29, No. 2
(April 1961).
"Identifiability Criteria in Non-Linear Systems," Econometrica,
vol. 29, No. 4 (October 1961).
"How Income Ought to be Distributed: Paradox Enow," Journal of
Political Economy, vol. LXX, No. 1 (February 1962)
with J. Rothenberg.
"A Proposal for the Distribution of the United States Food
Surplus Abroad," Review of Economics and Statistics,
vol. 44 (February 1962); "Una Proposta per le Eccedenze
Agricole Americane,"” (Mercurio, Anno VI, N. 2
(Febbraio 1963).
"wo Theorems on Ceteris Paribus in the Analysis of Dynamic
Systems," American Political Science Review, vol. 56
(March 1962) with Albert Ando. Reprinted in Causal
Models in the Social Sciences, ed. H. M. Blalock, Jr.,
(Aldine-Atherton, 1971; 1984).
"An Alternative Proof and Extension of Solow's Theorem on Non-
Negative Square Matrices," Econometrica, vol. 30,
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3
"The Place of Least Squares in Econometrics: Comment," Econo-
metrica, vol. 20, No. 3 (July 1962), reprinted in
F. V. Waugh, Selected Writings on Agricultural Policy
and Economic Analysis, (Minneapolis: University of
Minnesota Press, 1984).
"The Costs of Automobile Model Changes Since 1949," Journal of
Political Economy, vol. 70, No. 5 (October 1962) with
Z. Griliches and C. Kaysen. Reprinted in D. S. Watson
(ed.), Price Theory in Action (Boston: Houghton
Mifflin Co., Part 7, 1965) and in D. R. Kamerschen
(ed.) Readings in Microeconomics (New York: John Wiley
& Sons, 1969). Abstract reprinted in P. A. Samuelson
(ed.) Readings in Economics (New York: McGraw-Hill,
1970).
1963 "Near-Decomposability, Partition and Aggregation and the Rele-
vance of Stability Discussions," International
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A. Ando. Reprinted in Essays on the Structure of
Social Science Models.
"Decomposability, Near-Decomposability and Balanced Price Change
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the Structure of Social Science Models.
"Uncorrelated Disturbances and Identifiability Criteria,"
International Economic Review, vol. 4 (May 1963).
"Balanced Growth and Intertemporal Efficiency in Capital Accumu-
lation: Comment," International Economic Review,
vol. 4, No. 2 {May 1963),
"Properties of the von Neumann Ray in Decomposable and Nearly-
Decomposable Technologies," Chapter 8 in Essays on the
Structure of Social Science Models.
"Food Surplus Disposal, Price Effects, and the Cost of Agricul-
tural Policies in Underdeveloped Countries: A Theore-
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Analysis of the Impact of Food Surplus Disposal on
Agricultural Production in Recipient Countries,"
Journal of Farm Economics, vol XLV, No. 4 (November
Annals of Collective Economy, vol. XXXIV, No. 2-3
(April-September 1963), pp. 337-51; (3) "Vendita delle
Eccedenze Alimentari, Effetti sul Prezzo e Costi delle
Politiche Agricole nei Paesi Sottosviluppati,” La
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Congresso Internazionnale dell' Economia Colletiva
(September 1963, pp. 127-43).
1964 "A Note on Estimation from a Cauchy Sample," Journal of the
American Statistical Association, vol. 59 (June 1964),
1965
1966
4
with T. J. Rothenberg and C. B. Tilanus.
"Influenze degli Incentivi Economici sulla Perforazione dei Pozzi
Esplorativi e sulla Scoperta di Nuovi Giacimenti
negli Stati Uniti," La Scuola in Azione, (July 31,
1964).
"Valutazione degli Effeti della Profondita dei Pozzi e della
Mutazione Technologiche sul Costo delle Perforazioni
in U.S.A.," La Scuola in Azione, (July 31, 1964).
"Identifiability Criteria in Nonlinear Systems: A Further Note,"
Econometrica, vol. 33, No. 1 (January 1965).
"Phe Choice of Instrumental Variables in the Estimation of
Economy-Wide Econometric Models," International
Economic Review, vol. 6, No. 3 (September 1965).
Reprinted in H. M. Blalock, Jr. (ed.), Causal Models in
the Social Sciences 2d. ed. (New York, Aldine
Publishing Company, 1985.
"Dynamic Structure and Estimation of Economy-Wide Econometric
Models," (1) Chapter 15 in The Brookings Quarterly
Econometric Model of the United States, J. Duesenberry,
G. Fromm, L. Klein and E. Kuh (eds.)(Chicago: Rand-
McNally Publishing Co., and Amsterdam: North-Holland
Publishi®ng Co., 1965); (2) Proceedings of the Study
Week (October 1963) on "Le Role de L'Analyse Econo-
metrique dans la Formulation de Plans de Developpe-
ment," Pontifical Academy of Sciences, Vatican City
(1965), pp. 385-447.
"Price and Output Aggregation in the Brookings Econometric
Model," Chapter 17 in The Brookings Quarterly Econo-—
metric Model of the United States, J. Duesenberry,
G. Fromm, L. Klein, and E. Kuh (eds.), (Chicago: Rand-
McNally Publishing Co.; Amsterdam: North-Holland
Publishing Co., 1965), with L. R. Klein and Y. Shinkai.
"Near-Identifiability and the Variances of the Disturbance
Terms," Econometrica, vol. 33, No. 2 (April 1965).
"Choice of Units, Column Sums, and Stability in Linear Dynamic
Systems with Non-Negative Square Matrices,"
Econometrica, vol. 33, No. 3, (April 1965).
"On the Goals of the Firm: Comment," Quarterly Journal of
Economics, vol. 79, No.3 (August 1965).
"Embodied Technical Change and Existence of an Aggregate Capital
Stock," Review of Economic Studies, vol. 32, No. 4
(October 1965).
Restrictions on the Reduced Form and the Rank and Order Condi-
1967
1968
5
tions," International Economic Review, vol. 7, No. 1
(January 1966).
"Community Antenna Television Systems and the Regulation of Tele-
vision Broadcasting," Papers and Proceedings, American
Economic Review, vol. 56, No. 2 (May 1966).
"Community Antenna Television Systems and Local Television
Station Audience," Quarterly Journal of Economics,
vol. LXXX, No. 2 (May 1966), with Victor E. Ferrall,
Jr. in association with David Belsley and Bridger M.
Mitchell.
"Cost/Effectiveness of Reenlistment Incentives," Navy Manpower
Considerations 1970-1980 (U), Study 13, Institute of
Naval Studies of the Center for Naval Analyses (Janu-
ary-February 1966), with A. S. Morton and D. M.
Nitzberg (For Official Use Only).
"The Relative Sensitivity to Specification Error of Different
k—=Class Estimators," Journal of the American
Statistical Association, vol. 61, No. 2 (June 1966).
"The Costs and Effectiveness of Reenlistment Incentives in the
Navy," Operating Research, vol. 15, No. 3 (May-June
1967), with A. S. Morton.
"Reenlistments in the U.S. Navy: A Cost Effectiveness Study,"
American Economic Review, vol. 57, No. 3 (May 1967),
with A. 8S. Morton.
"On the Independent Use of Two or More Sets of Policy Variables,"
Journal of Political Ecoomy, vol 75, No. 1 (February
1967). Translation of "Acerca del Uso Independiente
de Dos o Mas Conjuntos de Variables de la Politica
Economica," Latin American Review, No. 10, (April-
June 1963).
"Embodied Technology and the Existence of Labor and Output Aggre-
gates," Review of Economic Studies, vol. XXXV, No. 4
(October 1968).
"Approximate Specification and the Choice of a k-Class
Estimator,” Journal of the American Statistical
Association, vol. 62 (December 1967).
"Statistical Identifiability," International Encyclopedia of the
Social Sciences, 1968, vol. I>.
"Taste and Quality Change in thee Pure Theory of the True Cost of
Living Index," in J. N. Wolfe (ed.), Value, Capital and
Growth; Papers in Honour of Sir John Hicks (Edinburgh:
University of Edinburgh Press, 1968), with K. Shell.
Reprinted in Z. Griliches (ed.), Price Indexes and
1969
1970
6
Quality Change (Cambridge: Harvard University Press,
1970). And in The Economic Theory of Price Indices,
with Karl Shell.
"The Educational Opportunity Bank: An Economic Analysis of a
Contingent Repayment Loan Program for Higher
Education," National Tax Journal, vol. 21, (March 1968)
with K. Shell, D. K. Foley and A. F. Friedlaender, in
association with J. J. Behr, Jr., S. Fischer, and R. D.
Mosenson.
"Embodied Technology and the Aggregation of Fixed and Movable
Capital Goods," Review of Economic Studies, vol. XXXV,
No. 4 (October 1968).
"An Analysis of Boston Voting Patterns, 1963-1967," MIT Depart-
ment of Economics Working Paper No. 30, (October 1968),
with Ellen P. Fisher.
"Aspects of Cost-Benefit Analysis in Defense Manpower Plan-
ning," in N. A. B. Wilson (ed.), Manpower Research
(London: The English Universities Press, Ltd., 1969).
"U.S. Experience: The Recent I.N.S. Study," presented at the
Sixth Edinburgh Seminar in the Social Sciences, on
The Services and Society (Edinburgh, May 1969), in
The Armed Services and Society, J. Erickson and J. N.
Wolfe (eds.) (Chicago: Aldine Publishing Co., 1970).
"Causation and Specification in Economic Theory and Econo-
metrics," Synthese, vol. 20 (1969).
"On the Sensitivity of the Level of Output to Savings: Embodi-
ment and Disembodiment: A Clarificatory Note,"
Quarterly Journal of Economics, vol. 83, No. 2 (May
1969), with D. Levhari and E. Sheshinski.
"Approximate Aggregation and the Leontief Conditions,"
Econometrica, vol. 37, No. 3 (July 1969).
"The Existence of Aggregate Production Functions," presented as
the Irving Fisher Lecture at the Econometric Society
Meetings, Amsterdam, September 1968; Econometrica,
vol. 37, No. 4 (October 1969).
"A Correspondence Principle of Simultaneous Equation Models,"
Econometrica, vol. 38, No. 1 (January 1970).
"Radical Students and Political Universities," Boston Globe,
Sunday Magazine Section, March 1, 1970.
"Tests of Equality Between Sets of Coefficients in the Linear
Regressions: An Expository Note," Econometrica,
vol. 38, No. 2 {March 1970).
197)
1972
"Regional Specialization and the Supply of Wheat in the United
States, 1867-1914," Review of Economics and Statistics,
vol. LII, No. 2 (May 1970).
"The Choice of Instrumental Variables in the Estimation of
Economy-Wide Econometric Models: Some Further
Thoughts," International Economic Review, vol. 11
(June 1970) with B. Mitchell.
"Quasi-Competitive Price Adjustment by Individual Firms: A
Preliminary Paper," Journal of Economic Theory,
{June 1970) vol. 2, No. 2. :
"Simultaneous Equations Estimation: The State of the Art,"
IDA Economic Papers, July 1970.
"The Covariance Matrix of the Limited Information Estimator
and the Identification Test: Comment," Econometrica,
vol. 40, No. 5 (September 1972) with J. Kadane.
"Regional specialization and the Supply of Wheat in the United
States,1857-1914: A Reply," Review of Economics and
Statistics, vol. LIII, No. 1 (February 1971), with
P. Temin.
"Would Increasing Residential Electric Rates Help Preserve
Environmental Quality?" Public Utilities Fortnightly,
vol. 87, No. 7 (April 1971) with William R. Hughes.
"The Existence of Aggregate Production Functions: Reply,"
Econometrica, vol. 39, No. 2 (March 1971).
"The Effect of the Removal of Firemen on Railroad Accidents:
1962-1967," Bell Journal of Economics and Management
Sciences, Autumn 1971, with G. Kraft.
"Aggregate Production Functions and the Explanation of Wages: A
Simulation Experiment," Review of Economics and
Statistics, vol. LIII, No. 4 (November 1971).
"Discussion" in G. Fromm (ed.), Tax Incentives and Capital Spend-
ing (Amsterdam: North-Holland Publishing Co., 1971).
"Gross Substitutes and the Utility Function," Journal of Economic
Theory, vol. 4, o. 2 (February 1972).
"On Price Adjustment Without an Auctioneer," Review of Economic
Studies, vol. XXXIX, No. 117 (January 1972).
"A Simple Proof of the Fisher-Fuller Theorem," Proceedings of the
Cambridge Philosophical Society, 1972.
"An Econometric Model of the World Copper Industry," Bell Journal
1973
1974
1976
1977
8
of Economics and Management Science, Autumn 1972, with
Bb. H. Cootner, in association with M. N. Bailey.
"The Covariance Matrix of the Limited Information Estimator and
the Identification Test: Comments," Econometrica,
vol. 40, No. 5 (September 1972) with J. Kadane.
"Discussion of Papers in Session I," in Board of Governors of the
Federal Reserve System and Social Science Research
Council, The Econometrics of Price Determination
Conference, Washington Board of Governors; 1972.
"An Econometric Simulation: Model of Intra-Metropolitan
Location: Housing, Business, Transportation and Local
Government," American Economic Review, Papers and Pro-
ceedings Issue, vol. LIII, No. 2 (May 1972) with R. F.
Engle, J. Harris, and J. Rothenberg.
"Returns to Scale in R&D: What Does the Schumpeterian Hypothesis
Imply?" Journal of political Economy, vol. 81, No. 1
(January-February 1973).
"Stability and Competitive Equilibrium in Two Models of Search
and Individual Price Adjustments," Journal of Economic
Theory, vol. 6, No. 5 (October 1973).
"Technological Change and the Drilling Cost Depth Relationship:
1960-66," in E. W. Erickson and L. Waverman (eds.)
The Energy Question: An International Failure of
Policy, vol. 2, University of Toronto Press, 1974.
"The Hahn Process with Firms But No Production," Econometrica,
vol. 43, (May 1974).
"Alcoa Revisited: Comment," Journal of Economic Theory, vol. 9,
No. 3 (1974).
"A Non-Tatonnement Model with Production and Consumption,"
Econometrica, (September 1976).
"The Stability of General Equilibrium: Results and Problems,"
F. W. Paish Lecture, delivered at the A.U.T.E.
Meetings, Sheffield, England, April 1975; in Artis and
Nobay (eds.) Essays in Economic Analysis, Proceedings
of the Association of University Teachers of Economics
Annual Conference, Sheffield, 1975, Cambridge
University Press, 1976
"Continuously Dated Commodities and Non-Tatonnement with Produc-
tion and Consumption," in Blinder and Friedman (eds. ),
Natural Resources, Uncertainty and General Equilibrium
Systems; Essays in Memory of Rafael Lusky (New York:
Academic Press, 1977).
1978
1979
1980
1981
1982
9
"On Donor Sovereignty and United Charities, American Economic
Review, (September 1977).
"On the Feasibility of Identifying the Crime Function in a Simul-
taneous Model of Crime and Sanctions," Report of the
Panel on Deterrent and Incapacitative Effects, Assembly
of Behavioral and Social Sciences, National Research
Council, National Academy of Sciences, Washington,
D.C 1978.
"Aggregate Production Functions: Some CES Experiments,”
Review of Economic Studies, vol. XLIV (2), No. 137,
with R. Solow and J. Kearl.
"Quantity Constraints, Spillovers and the Hahn Process," Review
of Economic Studies, vol. XLV (1), No. 139.
"On the Relations Between Econometric Sectoral and Macro Models,”
paper delivered at Sogesta Conference, January 1978.
"The Schumpeterian Hypothesis: Reply," with P. Temin, Journal
of Political Economy, vol. 87, No. 21 (1979);
partially reprinted in "Advertising and Welfare:
Comment," with J. J. McGowan, The Bell Journal
of Economics, vol. 10, No. 2 (Autumn 1979).
"Diagnosing Monopoly," Quarterly Review of Economics and
Business, vol. 19, No. 2 (Summer 1979).
Reprinted in The Journal of Reprints for Antitrust
Law and Economics, vol. XIV, No. 2 (1984).
"Multiple Regression in Legal Proceedings," Columbia Law Review,
vol. 80, No. 4 (May 1980).
"Diagnosing Monopoly: Reply," Quarterly Review of Economics and
Business, vol. 20, No. 2 (Summer 1980).
"The Effect of Simple Specification Error," in L. R. Klein, M.
Nerlove, S. C. Tsiang (eds.),T. C. Liu Memorial volume,
(New York: Academic Press, 1980).
"The Audience-Revenue Relationship for Local Television
Stations,” The Bell Journal of Economics, vol. 11,
No.2, (Autumn 1980), with J. McGowan and D. Evans.
"Stability, Disequilibrium Awareness, and the Perception of New
Opportunities," Econometrica, vol. 49, No. 2 (March
1981).
"On Perfect Aggregation in the National Output Deflator and
Generalized Rybczynski Theorems," International
Economic Review, vol. 23, No. 1 (February 1982).
"Stability, Disequilibrium Awareness, and the Perception of New
Opportunities: Some Corrections," Econometrica,
10
vol. 50, No. 3 (May 1982), with Fernando M. C. B.
Saldanha.
"Aggregate Production Functions Revisited: The Mobility of
Capital and the Rigidity of Thought," Review of
Economic Studies, vol. XLIX (October 1982).
1983 "On the Simultaneous Existence of Full and Partial Capital
Aggregates," Review of Economic Studies, vol. L
(January 1982).
"On the Misuse of Accounting Rates of Return to Infer Monopoly
Profits," The American Economic Review, vol. 73, No. 1,
(March 1983), with John J. McGowan.
"Empirically Based Sentencing Guidelines and Ethical Considera-
tions," in Research on Sentencing: The Search for
Reform, vol. II, (Washington, D.C.: National Research
Council, Panel on Sentencing Research, 1983, with
Joseph B. Kadane.
1984 "The Financial Interest and Syndication Rules in Network Tele-
vision: Regulatory Fantasy and Reality," in Franklin M.
Fisher (ed.) Anti-Trust and Regulation: Essays in
Memory of John J. McGowan (MIT Press, 1985).
"can Exclusive Franchises Be Bad?" in Franklin M.Fisher (ed.)
Anti-Trust and Regulation: Essays in Memory of
John J. McGowan (MIT Press, 1985).
"The Misuse of Accounting Rates of Return: Reply," American
Economic Review, vol. 74, No. 3 (June 1984).
"The Commodity Pattern of Trade and the Heckscher-Ohlin Theorem
in the Presence of Aggregate and Commodity-Specific
Factor-Intensity Reversals," Journal of International
Economics , 17, pp. 159-172 (1984) with A. L. Hillman.
1985 "The Social Costs of Monopoly and Regulation: Posner
Reconsidered," Journal of Political Economy, vol. 93,
No. 2 (April 1985).
"Statisticians, Econometricians and Adversary Proceedings,"
forthcoming in Journal of the American Statistical
Association.
"On the Misuse of the Profits—Sales Ratio to Infer Monopoly
Power," submitted to American Economic Review.
Reviews
Review of J. deV. Graff, Theoretical Welfare Economics; Review
1}
of Economics and Statistics, vol. 40, No. 3
(August 1958).
Review of K. Arrow, et al., Mathematical Methods in the Social
Sciences (1959); Proceedings of the First Stanford
Symposium, The Journal of Political Economy
(August 1961).
Review of William Baumol, Business Behavior,Value and Growth,
Journal of Political Economy. vol. 69, No. 1
(February 1961).
Review of T. Thin, Theory of Markets; Journal of Political
Economy, vol. 69, No. 1 (February 1961).
Review of R. D. Schlaifer, Probability and Statistics for
Business Decisions: Review of Economics and Statistics,
vol. 43, No. 3 (August 1961).
Review of J. A. S. Cramer, The Ownership of Major Consumer
Durables; Economica (November 1963).
Review of C. F. Christ, et al., Measurement in Economics;
Journal of Political Economy, vol. 72, No. 1
(February 1964).
Review of J. Johnston, Econometric Methods, and A. S.Goldberger,
Econometric Theory; American Economic Review, vol. 54,
No. 6 (December 1964).
Review of E. Malinvaud, Methodes Statistiques de 1l'Econometrie;
Econometrica, vol. 33, No. 2 (April 1965).
Review of P. Balestra, The Demand for Natural Gas in the United
States: American Economic Review, vol. 57, No. 5
(December 1967).